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

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

Select the right vendor

DFIN is an industry leader in regulatory filings to the Securities and Exchange Commission (SEC). Our knowledge and expertise is why DFIN is a trusted partner in providing an industry solution for Forms N-PORT & N-CEN. Our background and history in regulatory filings coupled with our ArcFilingSM solution makes DFIN the right choice for SEC Modernization.

Consider outsourcing

Consider using a managed service model like DFIN’s 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 SEC’s EDGAR system.

Automate your filing

ArcFiling collects all the necessary data for Form N-PORT and automates the creation of the XML required by the SEC. Utilizing validation and exception logic, ArcFiling helps customers verify filings are complete and accurate. Utilizing cloud based technology ArcFiling is continually updated for changes the SEC makes to the filing requirements and provides customers with confidence their regulatory filings are complete and in compliance with the SEC.

Archive your filing

As of June 1, 2018, the SEC can call on any group of related investment companies with net assets of $1 billion or more — 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 May 2019. With ArcFiling, you can archive your data all in one place, and in the SEC’s preferred XML format.

View everything at a glance

Filers need to be able to easily and automatically know the current status of the Form N-PORT process. ArcFiling assists users in understanding the current state of their Form N-PORT filing process by tracking data ingestion, exceptions and filing status.