What is a Form N-CEN filing? Fund census report
A Form N-CEN filing is the annual census that a registered investment company files with the US Securities and Exchange Commission (SEC). It is the operational profile of a fund: how it is organized, who runs and services it, and what practices it follows, reported once a year in a structured, machine-readable format. It is not a list of what the fund owns. This guide explains what a Form N-CEN filing covers, what it replaced, and when it is due. It is not investment advice.
Definition
A Form N-CEN filing
is the annual census a registered investment company files with the SEC. It reports operational and organizational data, such as the fund's structure, its service providers, and practices like securities lending, rather than portfolio holdings. It is due within 75 days of fiscal year-end. Source: SEC.
What does a Form N-CEN filing contain?
Form N-CEN collects structured data about how a fund operates, including:
- The fund's organizational structure, and its series and class identifiers.
- The service providers it relies on, such as advisers, administrators, custodians, and auditors.
- Operational practices like securities lending, borrowing, derivatives use, and swing pricing.
Because it is filed in a structured format, the data is machine-readable, which makes it useful for mapping the plumbing behind a fund rather than its investments. For what a fund actually holds, the portfolio report is the Form N-PORT.
What did Form N-CEN replace?
Form N-CEN replaced the older Form N-SAR. Since June 1, 2018, registered funds file this census annually on N-CEN in a modern structured format, in place of the earlier semi-annual N-SAR regime.
When is a Form N-CEN due?
A Form N-CEN is due within 75 days of the fund's fiscal year end. Unit investment trusts file within 75 days of the calendar year end.
75 days
Window to file Form N-CEN after the fund's fiscal year-end
Source: SEC, 17 CFR 249.330
Every registered investment company files it, whether an open-end fund, a closed-end fund, or a unit investment trust, with no asset-size threshold or event trigger.
Where the Form N-CEN sits among a fund's filings
The N-CEN is the yearly operational census; the N-PORT reports the portfolio, and the N-PX reports how the fund voted its proxies. For the census next to the holdings report, see N-PORT vs N-CEN. A separate manager-level ownership disclosure of large US equity positions is the 13F. Every N-CEN is on the SEC's EDGAR system, which you can search for free.
Flock reads disclosure filings and keeps each one dated and linked back to its source, so you can go from a summary to the original N-CEN in one step. What any of it means for your money is your call to make.
Frequently asked questions
What is a Form N-CEN used for?
A Form N-CEN is the annual census a registered investment company files with the SEC. It reports operational and organizational data: the fund's structure, its service providers, and practices like securities lending and derivatives use, rather than a list of holdings. Source: SEC.
When is a Form N-CEN due?
A Form N-CEN is due within 75 days of the fund's fiscal year end. Unit investment trusts file within 75 days of the calendar year end. All registered investment companies file it, with no asset-size threshold. Source: SEC.
What did Form N-CEN replace?
Form N-CEN replaced the older semi-annual Form N-SAR. Since June 1, 2018, registered funds report this census annually on Form N-CEN in a structured, machine-readable format instead of the earlier semi-annual form. Source: SEC.
Where can I read a fund's Form N-CEN?
Every Form N-CEN is filed on the SEC's EDGAR system and is free to read. Search by the fund or fund family name to find its annual census filing. Source: SEC EDGAR.
Flock tracks these filings, sourced, dated, and linked back to the original. See what smart-money entities disclosed, without the guesswork about what it means.
Disclosures shown are public regulatory filings. Data may be delayed or incomplete. Smart-money entities may no longer hold positions shown. Not investment advice.