Registered funds · Late SEC notices

Filed an NT N-CEN? Get your fund's census report in on time.

Registered investment companies — mutual funds, ETFs, closed-end funds and unit investment trusts — file Form N-CEN each year. A fund that can't file on time can file a Form 12b-25 notice (NT N-CEN) for a short extension. The extension is short, so the work has to start right away.

The rules at a glance

Form N-CEN due: Within 75 days after the fund's fiscal year end
NT N-CEN notice: Filed no later than one business day after the due date
Extension: Up to 15 calendar days after the original due date
Filed on: SEC EDGAR

Who this applies to

Mutual funds and ETFs
Closed-end funds and interval funds
Unit investment trusts
Fund advisers and administrators supporting them

Why it matters

• Missing the extended date means the fund is not current with SEC reports
• Late reports are public on EDGAR and visible to boards, auditors and investors
• Repeated late filings can draw SEC staff attention

How to get current

1Confirm the original and extended due dates
2List the missing items (service providers, LEIs, auditor and pricing data)
3Collect data from the administrator, custodian, transfer agent and auditor
4Review, file Form N-CEN on EDGAR, and keep the records
5Set next year's deadline and data requests on the compliance calendar

Have us handle it

Late-Filing Recovery

From $2,500/mo

We coordinate the administrator, auditor and service providers, track the extended deadline, and set up next year's filing calendar.

$2,500 minimum engagement. Smaller items are available to existing clients as add-ons or combined in the $2,500 Missed Deadline Rescue Bundle. Government and issuer fees pass through at cost.

Common questions

What is an NT N-CEN?

It is a Form 12b-25 notice telling the SEC that a fund's Form N-CEN will be late. Filed on time, it gives the fund up to 15 more calendar days.

When is Form N-CEN due?

Within 75 days after the end of the fund's fiscal year.

Does FIN Group prepare fund financial statements?

No. Auditors and fund administrators handle financial statements. FIN Group coordinates the filing, tracks deadlines and helps gather the data.

Official sources: SEC: Form N-CEN

Public-record status does not confirm a violation. Confirm deadlines and requirements with the regulator before filing. This guide is general information, not legal advice.