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Form N-CR/A Filings

SEC Form N-CR/A is a formal amendment filing used by money market funds to update or correct information previously reported on Form N-CR after a material event has already been disclosed to the SEC. It is submitted through EDGAR as the amendment version of the current report for money market fund material events

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What Is SEC Form N-CR/A?

SEC Form N-CR/A is an important filing used by registered open-end management investment companies, or series thereof, that operate as money market funds to amend a previously filed Form N-CR. It is used when a fund needs to provide additional required information, correct an earlier filing, or supplement disclosures related to a reportable material event.

This form is typically filed after an initial Form N-CR has already been submitted for an event such as a default or insolvency involving a portfolio security issuer, the provision of financial support to the fund, a deviation from the fund’s intended stable price, or a liquidity threshold event. In certain cases, Form N-CR requires later amended disclosures within four business days, which are made through Form N-CR/A. Investors reviewing SEC  fund filings activity may encounter this amendment when tracking updates to an earlier current report.

Form N-CR/A helps ensure transparency by allowing a money market fund to supplement or revise information connected to a previously reported material event. While it does not replace the original reportable event trigger, it provides a structured way to update the record on EDGAR.

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

  • Name of the registrant and series
  • CIK number and EDGAR series identifier
  • Legal entity identifier (LEI), if applicable
  • Reference to the previously reported material event
  • Amended or supplemental information tied to the applicable event category
  • Electronic submission through EDGAR as Form N-CR/A

SEC Form N-CR/A Filing Deadlines

SEC Form N-CR/A has timing requirements tied to the underlying reportable event and the specific amended disclosure being provided. These deadlines are important because Form N-CR is event-driven, and certain follow-up disclosures must be filed shortly after the initial report.

Filing Stage Timeline Details
Initial Form N-CR Report Within one business day after the occurrence of the event Filed for the initial reportable material event
Form N-CR/A Amendment Within four business days after the occurrence of the event, where required Used for amended or supplemental disclosures for certain Parts of Form N-CR
EDGAR Submission As needed Filed electronically with the SEC
Public Availability Immediately upon filing The report becomes public when filed

Key Things to Know About Form N-CR/A Filing Rules

  • Amendment to a Current Report: Form N-CR/A is the amended version of Form N-CR and is used to revise, correct, or supplement a previously filed current report.
  • Event-Driven Filing: This filing is not annual or periodic. It is used only when a money market fund needs to amend disclosures related to a reportable material event under Form N-CR.
  • Follow-Up Disclosures May Be Required: For certain reportable events, Form N-CR requires initial information within one business day and amended disclosures within four business days.
  • Filed Electronically Through EDGAR: Form N-CR/A is submitted through EDGAR as the amendment submission type for Form N-CR.
  • Used for Money Market Fund Material Events: The form applies to money market funds reporting material events covered by Form N-CR, including specified events in Parts B through F of the form.

To monitor money market fund events, liquidity developments, and related disclosure activity, our SEC Edgar 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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