Form N-CEN

Registered investment companies can submit Form N-CEN using the following submission form types:

• N-CEN: Annual Report for Registered Investment Companies.
• N-CEN/A: Amendment to Annual Report for Registered Investment Companies.

Filers can use the EDGAR Filing Website to create and submit these forms by clicking the File N-CEN link. Filers may submit TEST filings until December 31, 2017 and then again from March 1, 2018 through May 31, 2018. Form N-CEN can be filed LIVE and TEST beginning June 1, 2018.

The SEC recommends testing using fictional data. Please be sure when submitting test filings to remove any confidential information or information that you wish to keep confidential prior to submitting your test filings.

Form N-PORT

Registered investment companies can submit Form N-PORT using the following submission form types:

• NPORT-P: Monthly Portfolio Investments Report on Form N-PORT (Public).
• NPORT-P/A: Amendment to Monthly Portfolio Investments Report on Form N-PORT (Public).
• NPORT-NP: Monthly Portfolio Investments Report on Form N-PORT (Non-Public).
• NPORT-NP/A: Amendment to Monthly Portfolio Investments Report on Form N-PORT (Non-Public).
• NPORT-EX: Portfolio Holdings Exhibit to Form N-PORT.
• NPORT-EX/A: Amendment to Portfolio Holdings Exhibit to Form N-PORT.

Filers can create N-PORT submissions using the EDGAR Form N-PORT XML Technical Specification. There are no tools for creating N-PORT submissions available via the EDGAR Filing Website. Filers may submit TEST filings until December 31, 2017 and then again from March 1, 2018 through May 31, 2018. The N-PORT forms can be filed LIVE and TEST beginning June 1, 2018.

The SEC recommends testing using fictional data. Please be sure when submitting test filings to remove any confidential information or information that you wish to keep confidential prior to submitting your test filings.

New Forms

The following forms were added to EDGARLink Online:

• NT-NCEN: Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-CEN.
• NT-NCEN/A: Amendment to Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-CEN.
• NPORT-EX: Portfolio Holdings Exhibit to Form N-PORT.
• NPORT-EX/A: Amendment to Portfolio Holdings Exhibit to Form N-PORT.

Emerging Growth Companies

–  Two new optional fields were added for co-registrants to the following forms: S-1, S-1/A, S-3, S-3/A, S-4, S-4/A, S-8, S-11, S-11/A, F-1, F-1/A, F-3, F-3/A, F-4, F-4/A, 10-12B, 10-12B/A, 10-12G, 10-12G/A, 8-K, 8-K/A, 8-K12B, 8-K12B/A, 8-K12G3, 8-K12G3/A, 8-K15D5, 8-K15D5/A, 10-Q, 10-Q/A, 10-QT, 10-QT/A, 10-K, 10-K/A, 10-KT, 10-KT/A, 20-F, 20-F/A, 20FR12B, 20FR12B/A, 20FR12G, 20FR12G/A, 40-F, 40-F/A, 40FR12B, 40FR12B/A, 40FR12G, and 40FR12G/A.

–  These fields are used to indicate if the co-registrant is an emerging growth company and if the co-registrant has elected not to use the extended transition period for complying with any new or revised accounting standards.

Form TA

–  Form type TA-1/A was updated to change the field from “1(e)(1). File Number” to “1(e)(i). File Number:”.

–  Form types TA-1 and TA-1/A display the “1(e). Is this filing an amendment to a previous filing?” and the “1(e)(i). File Number:” fields and their corresponding values in the print current form when a filer selects the “Print Current” function when using the SEC’s online form editor.

Version 4.20a of the GoFiler family addresses these changes to EDGAR. If you need to update your version of GoFiler, use the Check for Updates function within your software. For a full list of improvements that were made for Version 4.20a, read our release notes.

Sources:

EDGAR Filer Manuals (Volume I-III) (www.sec.gov)