SEC Form N-CSR

AAA

DEFINITION of 'SEC Form N-CSR'

A form completed by registered management investment companies and filed with the Securities and Exchange Commission following the transmission of annual and semiannual reports to stockholders. The form must be filed within 10 days of sending such reports to shareholders.

INVESTOPEDIA EXPLAINS 'SEC Form N-CSR'

The filing requirements for form N-CSR are covered under Section 30 of the Investment Company Act of 1940 and Sections 13 and 15(d) of the Securities Exchange Act of 1934, which require investment companies and trusts to file semiannual and annual reports with the SEC and shareholders.

The form should be filed electronically, unless a company files for a hardship exemption from electronic filing. Forms must be signed and include additional information as needed, including (but not limited to):
- a copy of the report to stockholders
- a copy of the firm's code of ethics
- name of the firm's audit committee financial expert
- disclosure of principal accountant fees and services for the previous two fiscal years
- disclosure of audit committee of listed registrants or reason for exemption
- firm's security holdings
- disclosure of proxy voting policies

RELATED TERMS
  1. SEC Form NT15D2

    A form that is a variant of Form 12b-25, which is a notification ...
  2. Electronic Data Gathering, Analysis ...

    The electronic filing system created by the Securities and Exchange ...
  3. Annual Report

    1. An annual publication that public corporations must provide ...
  4. Securities And Exchange Commission ...

    A government commission created by Congress to regulate the securities ...
  5. Securities Act Of 1933

    A federal piece of legislation enacted as a result of the market ...
  6. Securities Exchange Act Of 1934

    The Securities Exchange Act of 1934 was created to provide governance ...
Related Articles
  1. SEC Filings: Forms You Need To Know
    Investing Basics

    SEC Filings: Forms You Need To Know

  2. January: Time To Read Your Mutual Fund's ...
    Mutual Funds & ETFs

    January: Time To Read Your Mutual Fund's ...

  3. Policing The Securities Market: An Overview ...
    Investing Basics

    Policing The Securities Market: An Overview ...

  4. The Government And Risk: A Love-Hate ...
    Insurance

    The Government And Risk: A Love-Hate ...

comments powered by Disqus
Hot Definitions
  1. Ghosting

    An illegal practice whereby two or more market makers collectively attempt to influence and change the price of a stock. ...
  2. Elasticity

    A measure of a variable's sensitivity to a change in another variable. In economics, elasticity refers the degree to which ...
  3. Tangible Common Equity - TCE

    A measure of a company's capital, which is used to evaluate a financial institution's ability to deal with potential losses. ...
  4. Yield To Maturity (YTM)

    The rate of return anticipated on a bond if held until the maturity date. YTM is considered a long-term bond yield expressed ...
  5. Net Present Value Of Growth Opportunities - NPVGO

    A calculation of the net present value of all future cash flows involved with an additional acquisition, or potential acquisition. ...
  6. Gresham's Law

    A monetary principle stating that "bad money drives out good." In currency valuation, Gresham's Law states that if a new ...
Trading Center