17 CFR 210.12-13 - Investments other than securities.

§ 210.12-13 Investments other than securities.
[For management investment companies only]
Col. A Col. B Col. C
1 List each major category of investments by descriptive title.
2 If practicable, indicate the quantity or measure in appropriate units.
3 Indicate by an appropriate symbol each investment which is non-income producing.
4 Indicate by an appropriate symbol each investment not readily marketable. The term “investment not readily marketable” shall include investments for which there is no independent publicly quoted market and investments which cannot be sold because of restrictions or conditions applicable to the investment or the company.
5 Indicate by an appropriate symbol each investment subject to option. State in a footnote: (a) The quantity subject to option, (b) nature of option contract, (c) option price, and (d) dates within which options may be exercised.
6 Column C shall be totaled and shall agree with the correlative amount shown on the related balance sheet.
7 Sate in a footnote the following amounts based on cost for Federal income tax purposes: (a) Aggregate gross unrealized appreciation for all investments in which there is an excess of value over tax cost, (b) the aggregate gross unrealized depreciation for all investments in which there is an excess of tax cost over value, (c) the net unrealized appreciation or depreciation, and (d) the aggregate cost of investments for Federal income tax purposes.
Description 1 Balance held at close of period—quantity 2,3,5 Value of each item at close of period 4,6,7

Title 17 published on 2013-04-01

no entries appear in the Federal Register after this date.

This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.

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United States Code
U.S. Code: Title 15 - COMMERCE AND TRADE

Title 17 published on 2013-04-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 210 after this date.

  • 2013-06-19; vol. 78 # 118 - Wednesday, June 19, 2013
    1. 78 FR 36834 - Money Market Fund Reform; Amendments to Form PF
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Proposed rule.
      Comments should be received on or before September 17, 2013.
      17 CFR Parts 210, 230, 239, 270, 274 and 279