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What Is Form N-SAR?

Registered investment management companies use Form N-SAR to disclose information about fund operations and portfolio holdings. Filed with the Securities and Exchange Commission (SEC) on a semi-annual basis, the form protects investors by providing basic information to help them choose a company to trust with their investments. 

In compliance with Section 30 of the Investment Company Act of 1940, Form N-SAR provides some detail on an investment management company's leadership, advisors, underwriters and affiliations. In addition, it gives financial information also included in a company’s annual or semi-annual shareholder reports, such as sales of shares, portfolio turnover rate, income and expenses, and total assets and income distributions per security type. The Act eliminated the requirement that a registered investment company’s principal executive and financial officers certify Form N-SAR.

Form N-SAR is filed using the SEC’s EDGAR (Electronic Data Gathering, Analysis and Retrieval) system, where it can be viewed freely by the public.

How Can Merrill Help You?

Merrill's N-SAR Manager web-based software solution simplifies your N-SAR filings through a series of Q&A fields and file uploads, removing the need for an accountant or CPA. An automated system, N-SAR Manager generates validation files for your review and automatically submits them after approval, saving you significant time and need for expertise. With Merrill, you can manage regulated disclosure with absolute security, precision and accuracy.

Interested in finding out more? Get in touch.

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