An SEC filing that is specific to registered investment management companies, and requires that those companies disclose some financial information (sales of shares, portfolio turnover rate). The information is usually included in the company's shareholder reports.


Prior to the Sarbanes-Oxley Act of 2002, form N-SAR was also required to be filed under Sections 13 and 15(d) of the Securities Exchange Act of 1934. Form N-SAR and all of its related filings are covered under Section 30 of the Investment Company Act of 1940, which requires investment companies and trusts to file semiannual and annual reports with the SEC.

The Act also removed the requirement that form N-SAR be certified by a registered investment company's principal executive and financial officers.

  1. SEC Form N-14AE

    A form related to Form N-14, which, in general, is a form used ...
  2. Securities And Exchange Commission ...

    A government commission created by Congress to regulate the securities ...
  3. Quiet Filing

    The name given to an IPO filing where important details are intentionally ...
  4. Securities Act Of 1933

    A federal piece of legislation enacted as a result of the market ...
  5. Electronic Data Gathering, Analysis ...

    The electronic filing system created by the Securities and Exchange ...
  6. Securities Exchange Act Of 1934

    The Securities Exchange Act of 1934 was created to provide governance ...
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