SEC Form N-Q

DEFINITION of 'SEC Form N-Q'

A form that is completed by registered investment management companies and filed with the Securities and Exchange Commission in order to disclose its complete portfolio holdings. The SEC Form N-Q must be filed within 60 days of the end of the first and third quarters of each fiscal year.

BREAKING DOWN 'SEC Form N-Q'

The filing requirements for Form N-Q are covered under Section 30(b) of the Investment Company Act of 1940 and Sections 13(a) 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. Small business investment companies are not required to file form N-Q, but rather form N-5.

Form N-Q must be filed electronically, unless the company applies for hardship exemption from electronic filing.

RELATED TERMS
  1. SEC Form N-CSR

    A form completed by registered management investment companies ...
  2. SEC Form NSAR-U

    An annual filing with the Securities and Exchange Commission ...
  3. SEC Form NSAR-BT

    An annual filing with the Securities and Exchange Commission ...
  4. SEC Form NSAR-AT

    A semi-annual filing with the Securities and Exchange Commission ...
  5. SEC Form N-5

    A filing with the Securities and Exchange Commission (SEC) required ...
  6. SEC Form 13F

    A filing with the Securities and Exchange Commission (SEC), also ...
Related Articles
  1. Investing

    How A Company Files With The SEC

    Filing with the SEC is not as complicated as you might thing -- just be meticulous about following the steps.
  2. Markets

    Understanding The Top SEC filing forms

    It's easier than ever to keep track of your SEC filing status online.
  3. Markets

    SEC Filings: Forms You Need To Know

    The forms companies are required to file provide a clear view of their histories and progress.
  4. Personal Finance

    Late with Your Taxes? Grab IRS Form 4868

    Fill out this form to get a few more months to file your tax return. But remember, April 15 is still the payment due date if you owe taxes.
  5. Personal Finance

    6 Tax Forms for Investors Who Have Money Abroad

    If you're a U.S. citizen or resident, and you own assets in other countries, you might need to file these six forms with the government.
  6. Trading

    Using Public SEC Filings To Analyze Companies

    Reports from the Securities and Exchange Commission provide investors with an edge in determining the investment value of companies. Learn what to look for in these financial reports.
  7. Personal Finance

    How & Where to File Form 1040 (And Which Version)

    All taxpayers need to know three things when filing a 1040: which form to use, how to file and where to file. After reading this, you'll know all three.
  8. Personal Finance

    What IRS Form 990 Tells About a Nonprofit

    Want a picture of an organization's activities? This annual form, open to the public, sums up everything from salaries paid to missions accomplished.
  9. Investing

    Policing The Securities Market: An Overview Of The SEC

    Find out how this regulatory body protects the rights of investors.
  10. Financial Advisor

    Late to File and Suspend? Extend with Form 795

    Can't get an appointment before the file and suspend deadline? Here's a solution.
RELATED FAQS
  1. How often do mutual funds report their holdings?

    Learn how mutual funds are required by the Securities and Exchange Commission to disclose their portfolio holdings on a quarterly ... Read Answer >>
  2. What are the tax implications if I sold my private company stock options?

    I am 29 years old and have taken a full-time position with a company who offers me the option to buy 5,000 shares currently ... Read Answer >>
  3. Do we have to file taxes?

    Our only income is social security and a very small pension amount. We were told by our accountant that we did not need to ... Read Answer >>
  4. How do I use the IRS Free File tax forms?

    Free File is a way for taxpayers to prepare and file their federal taxes online for free. The service is available to individuals ... Read Answer >>
  5. Are mutual fund withdrawals all capital gains losses?

    Someone age 88 sells mutual fund shares. The 1099-B shows all sales to be capital gains losses. This person has no gains ... Read Answer >>
  6. Does everyone have to file a federal tax return?

    This may come as a surprise to many individuals, but not everyone needs to file a federal tax return. According to the IRS, ... Read Answer >>
Hot Definitions
  1. Sell-Off

    The rapid selling of securities, such as stocks, bonds and commodities. The increase in supply leads to a decline in the ...
  2. Brazil, Russia, India And China - BRIC

    An acronym for the economies of Brazil, Russia, India and China combined. It has been speculated that by 2050 these four ...
  3. Brexit

    The Brexit, an abbreviation of "British exit" that mirrors the term Grexit, refers to the possibility of Britain's withdrawal ...
  4. Underweight

    1. A situation where a portfolio does not hold a sufficient amount of a particular security when compared to the security's ...
  5. Russell 3000 Index

    A market capitalization weighted equity index maintained by the Russell Investment Group that seeks to be a benchmark of ...
  6. Enterprise Value (EV)

    A measure of a company's value, often used as an alternative to straightforward market capitalization. Enterprise value is ...
Trading Center