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.


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.

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