17 CFR 210.12-12A - Investments - securities sold short.

§ 210.12-12A Investments - securities sold short.

[For management investment companies only]

Col. A Col. B Col. C
Name of issuer and title of issue 1 2 3 Balance of short position at close of period (number of shares) Value of each open short position 4 5 6

1 Each issue shall be listed separately.

2 Categorize the schedule as required by instruction 2 of § 210.12-12.

3 Indicate the interest rate or preferential dividend rate and maturity date, as applicable, for preferred stocks, convertible securities, fixed income securities, government securities, loan participations and assignments, commercial paper, bankers' acceptances, certificates of deposit, short-term securities, repurchase agreements, or other instruments with a stated rate of income. For variable rate securities, indicate a description of the reference rate and spread and: (1) The end of period interest rate or (2) disclose the end of period reference rate for each reference rate described in the Schedule in a note to the Schedule. For securities with payment in kind income, disclose the rate paid in kind.

4 The subtotals for each category of investments, subdivided both by type of investment and industry, country, or geographic region, shall be shown together with their percentage value compared to net assets.

5 Column C shall be totaled. The total of Column C shall agree with the correlative amounts shown on the related balance sheet.

6 Indicate by an appropriate symbol each issue of securities whose value was determined using significant unobservable inputs.

[ 81 FR 82015, Nov. 18, 2016]

Title 17 published on 09-May-2017 03:50

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

  • 2017-04-24; vol. 82 # 77 - Monday, April 24, 2017
    1. 82 FR 18877 - Request for Comment on Possible Changes to Industry Guide 3 (Statistical Disclosure by Bank Holding Companies); Extension of Comment Period
      GPO FDSys XML | Text
      Extension of comment period.
      Comments should be received on or before July 7, 2017.
      17 CFR Parts 210, 211, 229, 231 and 241
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