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Form N-CR Filings

SEC Form N-CR is a current report used by registered money market funds to report certain material events to the Securities and Exchange Commission (SEC). It is filed when specified events occur that may affect a fund’s portfolio, liquidity, pricing, or operations.

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What Is SEC Form N-CR?

SEC Form N-CR is an important filing required under Rule 30b1-8 of the Investment Company Act of 1940. It is used by registered open-end management investment companies, or series thereof, that are regulated as money market funds under Rule 2a-7 to report current material events to the SEC.

This form is typically filed when a money market fund experiences a default or insolvency event involving a portfolio security issuer, receives financial support, records a significant deviation from its intended stable price, or crosses specified liquidity thresholds. It is event-driven and filed electronically through EDGAR.

Form N-CR ensures transparency by formally notifying investors and regulators of certain material developments affecting a money market fund. While it is not an annual or periodic report, it provides structured disclosure about events that may influence a fund’s stability, liquidity, or pricing, and can complement broader fund filing activity.

Key elements typically found in SEC Form N-CR include:

  • Name of the registrant and series
  • CIK number and EDGAR series identifier
  • Legal entity identifier (LEI), if applicable
  • Date of the reportable event
  • Description of the specific material event being reported
  • Details relating to financial support, NAV deviation, liquidity threshold event, or optional disclosure, as applicable

SEC Form N-CR Filing Deadlines

SEC Form N-CR has specific timing requirements that money market funds must follow after the occurrence of a reportable event. These deadlines are crucial to ensure regulatory compliance and provide timely notice to investors and the SEC.

Filing Stage Timeline Details
Initial Form N-CR Filing Within one business day after the event Filed electronically with the SEC for events specified in Parts B through E
Amended Filing for Certain Events Within four business days after the event Additional information is required for certain items in Parts B through E
Optional Disclosure Filing As needed A fund may provide optional disclosure under Part F at any time
Public Availability Immediately upon filing The report is made public when filed with the SEC

Key Things to Know About Form N-CR Filing Rules

  • Event-Driven Filing Requirement: A money market fund files Form N-CR only when a reportable material event specified in the form occurs. It is not a routine periodic filing.
  • Applies to Money Market Funds: Form N-CR is used by registered open-end management investment companies, or series thereof, that are regulated as money market funds under Rule 2a-7.
  • Some Events Require Follow-Up Amendments: Certain parts of the form require an initial filing within one business day and an amended filing within four business days for additional details.
  • Filed Electronically Through EDGAR: Reports on Form N-CR must be submitted electronically in accordance with Regulation S-T using the SEC’s EDGAR system.
  • Covers Multiple Material Event Types: Form N-CR can be used to report defaults or insolvency events, financial support provided to a fund, significant NAV deviations, liquidity threshold events, and optional disclosures.

To monitor money market fund events, liquidity developments, and related disclosure activity, our SEC filing search tools track Form N‑8A, Form N‑8F, Form N-CR/A, and Form N-CR for initial registration, UIT registration, periodic payment plan registration, and termination filings under the Investment Company Act of 1940.

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