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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?

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  • $\begingroup$ 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

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