N-CEN 2022-08-25T11:24:54+00:00

SEC Form N-CEN Highlights:

The SEC is adopting a new Form N-CEN, which will require registered investment companies, other than face-amount certificate companies, to annually report certain census-type information to the Commission in a structured data format. This census-type information will be aggregated and analyzed by Commission to better understand industry trends, inform policy, and assist with the Commission’s examination program.

Form N-CEN

  • Must be filed by registered investment companies, including money market funds.
  • Filed in extensible markup language (XML) format, which will allow reported information to be more efficiently and effectively validated, aggregated, compared, and analyzed through automated means and,
    therefore, more useful to end users.
  • Replaces Form N-SAR (will be phased out August 1 of compliance year).
  • Will be filed annually, rather than semi-annually as required by Form N-SAR.
  • Must be filed no later than 75 days after fiscal year end (calendar year end for UITs).

The sections of Form N-CEN that a fund is required to complete will depend on the type of registrant in order to better tailor the reporting requirements.

Parts A and B will apply to all registered investment companies, while subsequent sections will be completed dependent on fund or trust structure.

  • Part A: General Information
  • Part B: Information about the Registrant
  • Part C: All management companies, other than Small Business Investment Companies
  • Part D: Closed-End Funds and Small Business Investment Companies will complete
  • Part E: Exchange-Traded Funds (including those that are Unit Investment Trusts)
  • Part F: Unit Investment Trusts
  • Part G: Attachments, as applicable

Compliance dates: June 1, 2018 (for all registrants)


Similar to Form N-PORT, FilePoint® has leveraged a proprietary web-based platform to prepare a Form N-CEN solution for registered investment companies. This platform serves as a tool to help automate the collection and aggregation of data across any number of funds. Additionally, this platform will provide a workflow management tool to facilitate a streamlined process for reviewing and tracking the status of any N-CEN filings.

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N-CEN filings.