Year 2000 Reports Database Website
Important Information About This Website

You have reached the website where you can access Year 2000 information about:

• broker-dealers

• transfer agents

• investment advisers, and

• mutual funds.

The SEC requires certain broker-dealers, transfer agents (i.e., transfer agents that are not banks or savings associations), and investment advisers to file reports with the SEC on their Year 2000 preparations. Investment advisers also are required to report on mutual funds they advise. The SEC has placed information from these reports in a database that you can access from this web site.

Limitations on the Database

• The SEC has not approved the information in this database.

• In some cases, the information is not complete because the reports may have included attachments and explanations not captured by the database.

• Because the database reflects reports filed as of dates in the past, it may contain information that is not current by the time you read it.

• The SEC continues to add filings to this database. If you cannot find the entity you are looking for, check back at a later date.

• We collected the Y2K information in the database using new computer technology. During this process, some errors may have occurred due to illegible handwriting. We tried to keep these errors to a minimum.

Obtaining More Information

If you would like more information about the Year 2000 readiness of a particular broker-dealer, transfer agent, investment adviser, or mutual fund, you should contact the person listed as a contact person for the firm in the database. You also can obtain a copy of the complete reports from the SEC's Public Reference Room, located at 450 Fifth Street, N.W., Washington, DC 20549, or call (202)-942-8090.

You can also obtain a copy of the complete reports by contacting the SEC at:

Office of Public Reference
Mail Stop 1-2
450 5th Street, NW
Washington, D.C. 20549
phone: (202) 942-8090
fax: (202) 628-9001
e-mail: publicinfo@sec.gov

Enforcement Actions

The SEC has brought enforcement actions against certain SEC registrants that did not file Year 2000 information:

• Proceedings Instituted Against 8 Investment Advisers for Failing To Make Timely Year 2000-Related Disclosure; May 4, 1999 [Release No. IA-1800] (File name: ia-1800.htm)

• Proceedings Instituted Against Nine Transfer Agents for Failing To Make Timely Year 2000 Related Disclosure; January 7, 1999 [Release Nos. 34-40894, 34-40899] (File names: 3440895.txt and 3440899.txt)

• Proceedings Instituted Against 37 Broker-Dealers for Failing To Make Timely Year 2000-Related Disclosure; October 20, 1998 [Release Nos. 34-40574, 34-40573] (File names: 34-40574.txt and 3440573.txt)

This information will be updated if the SEC brings further enforcement actions.

Using This Database

To use this database, decide whether you want to see information about a broker-dealer, transfer agent, investment adviser or mutual fund. You may search for information about only one type of organization at a time. Select which type of organization you want information about and then follow the directions:

• Year 2000 filings for broker-dealers (Form BD-Y2K)

• Year 2000 filings for transfer agents (Form TA-Y2K)

• Year 2000 filings for investment advisers (Form ADV-Y2K - Part 1)

• Year 2000 filings for mutual funds (Form ADV-Y2K - Part 2)

Note to Registrants

The database does not necessarily contain all of the information on the forms, and certain words may be cut off because of space limitations on the database. However, if you find a transcription error in the database, send a letter with the name of your firm, your SEC registration number, and where the transcription error has occurred.

• Broker-dealers should write to their Designated Examination Authority (DEA) because the DEA is responsible for the input of information into the database.

• Transfer agents should write to: Y2K Database Corrections, Mail Stop 0-4, Securities and Exchange Commission, 450 Fifth Street, N.W., Washington, DC 20549.

• Investment advisers should write to: Y2K Database Corrections, Mail Stop 0-4, 450 Fifth Street, NW, Washington, DC 20549.

Additional Information About the Databases

Broker-Dealer Y2K Database

Investment Adviser Y2K Database

Transfer Agent Y2K Database

Mutual Fund Y2K Database

Information About the Broker-Dealer
Y2K Database

You can access Year 2000 information about broker-dealers from here. Broker-dealers were required to complete a form, Form BD-Y2K, on their readiness for the Year 2000 problem. Broker-dealers were required to file this form with the SEC and their Designated Examination Authority (DEA) by August 31, 1998. This form should reflect the status of the broker-dealer's Year 2000 preparations as of July 15, 1998. (Broker-dealers must file another Form BD-Y2K on April 30, 1999, which should reflect the status of broker-dealers' Year 2000 preparations as of March 15, 1999.) The SEC created this database using the answers to the questions on Form BD-Y2K.

The form for broker-dealers has two parts. Part I is a check-the-box format; Part II is a narrative format, and is only filed by the larger broker-dealers. This database only includes Part I information.To review or to copy Part II, you should call your broker-dealer or contact the SEC at:

Office of Public Reference
Mail Stop 1-2
450 5th Street, NW
Washington, D.C. 20549
phone: (202) 942-8090
fax: (202) 628-9001
e-mail: publicinfo@sec.gov

There is a fee for copying this document through the SEC.

• is registered with the SEC, and

• has a minimum net capital requirement of at least $5,000.

If you cannot find your broker-dealer in the database, it is possible that it is not required to file. Call your broker-dealer for more information.

Instructions for Using This Database

You can search for your broker-dealer by using either the broker-dealer's name or its SEC registration number. If you search by name, you may have to search using both the broker-dealer's formal name and its "doing business as" or DBA name. If you search by SEC registration number, the registration number always begins with 8-.

To search for your broker-dealer, type in either the broker-dealer's name or its SEC file number and select "Search." You will see a list of all the entries in this database that contain the name or number that you entered. Choose the one that you want to learn more about and click on it. If you want to start over and do another search, return to the Search Screen and either edit your previous search or press the "Clear All" button to clear all your previous choices. You can return to the Search Screen back using the "back" feature of your browser.

Go to the Search Screen now

Information About the Transfer Agent
Y2K Database

You can access Year 2000 information about transfer agents that are not banks or savings associations from here. Transfer agents that are not banks or savings associations were required to complete a form, Form TA-Y2K, on their readiness for the Year 2000 problem by August 31, 1998. This form should reflect the status of the transfer agent's Year 2000 preparations as of July 15, 1998. (Transfer agents must file another Form TA-Y2K on April 30, 1999, which should reflect the status of transfer agents' Year 2000 preparations as of March 15, 1999.) The SEC created this database using the answers to the questions on the Form TA-Y2K.

The form for transfer agents has two parts. Part I is a check-the-box format; Part II is a narrative format and is only filed by the larger transfer agents. This database only includes Part I information. To review or to copy Part II, you should call your broker-dealer or contact the SEC at:

Office of Public Reference
Mail Stop 1-2
450 5th Street, NW
Washington, D.C. 20549
phone: (202) 942-8090
fax: (202) 628-9001
e-mail: publicinfo@sec.gov

There is a fee for copying this document through the SEC.

Instructions for Using This Database

You can search for a transfer agent by using either the transfer agent's name or its SEC registration number. If you search by name, you may have to search using both the transfer agent's formal name and its "doing business as" or DBA name. If you search by SEC registration number, the registration number always begins with 84-.

To search for a transfer agent, type in either the transfer agent's name or its SEC file number and select "Search." You will see a list of all the entries in this database that contain the name or number that you entered. Choose the one that you want to learn more about and click on it. If you want to start over and do another search, return to the Search Screen and either edit your previous search or press the "Clear All" button to clear all your previous choices. You can return to the Search Screen back using the "back" feature of your browser.

If you cannot find a transfer agent in the database, it is possible that it is not required to file because it is a bank or a savings association. Call the transfer agent for more information.

Go to the Search Screen now

Information About the Investment Adviser
Y2K Database

You can access Year 2000 information about investment advisers from here. Investment advisers were required to complete a form, Form ADV-Y2K, on their readiness for the Year 2000 problem by December 7, 1998. (Advisers must file another Form ADV-Y2K on June 7, 1999.) The SEC created this database using the answers to the questions on Form ADV-Y2K.

The form for investment advisers has two parts. Part I of the form contains information about the advisers; Part II contains information about any mutual funds they advise. If you would like information about mutual funds, click here.

Not all investment advisers are required to file this form. An investment adviser is required to file the form if it:

• is registered with the SEC, and

  
  

• has more than $25 million in assets under management, or

• manages an investment company (mutual fund) registered with the SEC.

An investment adviser is not required to file if it is:

• not registered with the SEC (e.g., it is registered with a state), or

• registered with the SEC, but has less than $25 million under management.

If you cannot find your investment adviser in the database, it is possible that it is not required to file, or that the SEC has not yet included your Investment Adviser's information in the database. The SEC is continuing to add files to this database. Call your adviser for more information.

Instructions for Using This Database

You can search for your investment adviser by using either the investment adviser's name or its SEC registration number. If you search by name, you may have to search using both the adviser's formal name and its "doing business as" or DBA name. If you search by SEC registration number, the registration number always begins with 801-.

To search for your investment adviser, type in either the adviser's name or its SEC file number and select "Search." You will see a list of all the entries in this database that contain the name or number that you entered. Choose the one that you want to learn more about and click on it. If you want to start over and do another search, return to the Search Screen and either edit your previous search or press the "Clear All" button to clear all your previous choices. You can return to the Search Screen back using the "back" feature of your browser.

Go to the Search Screen now

Information About the Mutual Fund
Y2K Database

You can access Year 2000 information about mutual funds from here. Investment advisers were required to complete a form, Form ADV-Y2K, reporting on the readiness of mutual funds they advise or sponsor by December 7, 1998. (Advisers must file another Form ADV-Y2K on June 7, 1999.) The SEC created this database using the answers to the questions on the ADV-Y2K form that the advisers gave about mutual funds.

The form containing information about mutual funds is the same form containing information about investment advisers. The form has two parts. Part I contains information about the advisers; Part II contains information about mutual funds they advise. If you would like information about the investment advisers, click here.

This database does not contain information about all mutual funds. It only contains information on mutual funds for which advisers filed Form ADV-Y2K with the SEC. This includes funds that are:

• registered with the SEC as investment companies, and

• managed or advised by an investment adviser that also is registered with the SEC.

The database does not contain information on mutual funds that are:

• not registered as investment companies with the SEC, or

• managed by banks, or others not required to register with the SEC.

If you cannot find your mutual fund in the database, it is possible that no investment adviser was required to file a report on your fund, or that the SEC has not yet included your mutual fund information in the database. The SEC is continuing to add files to this database. Also, some advisers reported information about mutual funds on a fund by fund basis; others reported information on an entire complex, or family, of funds.

If you cannot find your fund, check under both the individual fund name, such as "ABC Growth Fund," and the name of the fund group or family, such as "ABC Funds." If you use the name of the fund group for your search, you may see a list of funds under that group. Choose the one you want from the list.

If you still cannot find your fund in the database, call the sponsor of the mutual fund for more information.

Instructions for Using This Database

You can search for your mutual fund by the fund's name. To search for your fund, type in either the name of the fund, or the name of the complex or family, and select "Search." You will see a list of all the entries in the database that contain the name you entered. Choose the one that you want to learn more about and click on it. If you want to start over and do another search, return to the Search Screen and either edit your previous search or press the "Clear All" button to clear all your previous choices. You can return to the Search Screen back using the "back" feature of your browser.

Go to the Search Screen now