Forms N-PORT and N-CEN: Quick Tips from DFIN

Tips to make your filing process faster, smarter and smoother.

Create exceptions for XML special characters

The Form N‑PORT schema doesn’t play nicely with some common symbols, such as ampersands. If you have XML special characters in the names of portfolios, funds and securities, you should create an exception and find an automated solution that will apply it in all future filings.

Automate your filing

Consider using a managed service model like Donnelley Financial Solutions’ (DFIN) ArcFiling for Forms N‑PORT and N‑CEN. With the right solution you can have the entire process done for you, from gathering data to validating and submitting it to the Securities and Exchange Commission’s EDGAR system.

Archive Your Filing

As of June 1, 2018, the SEC can call on any fund group — at any time — to submit their data for Form N‑PORT. Filers must be able to prove full compliance, even though the first official filing on the EDGAR system has been delayed until April 2019. With ArcFiling, you can archive your data all in one place, and in the SEC’s preferred XML format.

Get everything at a glance

The ArcFiling dashboard can help you prioritize your tasks, and notify you of errors and necessary next steps. The exceptions and errors will be highlighted in the bottom left‑hand corner of your user interface.

Analyze your data

Coming soon: ArcFiling enhancements will allow you to mine your data for information, as well as to track your team’s performance. The analytics tab, which will eventually appear in the top right‑hand side of the dashboard navigation, will show you trends in your data, process weaknesses and performance indicators.