Mutual funds of a sufficient size operating under the 1940 Investment Company Act are required to disclose their security holdings to the SEC on a quarterly basis. I understand that Morningstar also has some security level information from various funds, although I am not sure how they obtain this.

My question: given a '40 Act fund, is there a way for a citizen to look up these quarterly level snapshots of the security-level holdings of this fund?

I understand that Morninstar has security-level information for many (most? all?) '40 Act funds trading equities. But my understanding is that Morninstar does not have quarterly snapshots of fixed income funds at the security/CUSIP level.

My underlying desire is to examine quarterly snapshots of various '40 Act Fixed Income funds, with CUSIP-level data. Is there any way to get this?

  • $\begingroup$ This can be accessed on EDGAR from the SEC website. Though, only money funds have CUSIP level holding data (N-MFP) $\endgroup$ – Kch Jan 15 at 1:38

Your Answer

By clicking "Post Your Answer", you acknowledge that you have read our updated terms of service, privacy policy and cookie policy, and that your continued use of the website is subject to these policies.

Browse other questions tagged or ask your own question.