0001752724-22-174498.txt : 20220810
0001752724-22-174498.hdr.sgml : 20220810
20220810163528
ACCESSION NUMBER: 0001752724-22-174498
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20220531
FILED AS OF DATE: 20220810
DATE AS OF CHANGE: 20220810
EFFECTIVENESS DATE: 20220810
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST SENIOR FLOATING RATE INCOME FUND II
CENTRAL INDEX KEY: 0001282850
IRS NUMBER: 113716541
FISCAL YEAR END: 0531
FILING VALUES:
FORM TYPE: N-CEN
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-21539
FILM NUMBER: 221152311
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE
STREET 2: SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE
STREET 2: SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FORMER COMPANY:
FORMER CONFORMED NAME: FIRST TRUST FOUR CORNERS SENIOR FLOATING RATE INCOME FUND II
DATE OF NAME CHANGE: 20040305
N-CEN
1
primary_doc.xml
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First Trust Senior Floating Rate Income Fund II
811-21539
0001282850
549300188EQ1UO018C30
120 East Liberty Drive
Suite 400
Wheaton
60187
US-IL
US
630-765-8000
The Bank of New York Mellon
240 Greenwich Street
New York
10286
1-212-495-1784
Records related to fund accounting, custody, and administration.
Computershare Inc.
P.O. Box 505000
Louisville
40233-5000
866-333-6685
Records related to transfer agent.
First Trust Advisors L.P.
120 East Liberty Drive
Suite 400
Wheaton
60187
630-765-8000
Records related to the registrant and investment adviser.
N
N
N-2
Y
Robert F. Keith
N/A
N
Niel B. Nielson
N/A
N
Richard E. Erickson
N/A
N
Denise M. Keefe
N/A
N
Thomas R. Kadlec
001721772
N
James A. Bowen
001123316
Y
Kristi A. Maher
N/A
120 East Liberty Drive, Suite 400
Wheaton
60187
XXXXXX
N
N
N
N
N
N
N
Deloitte & Touche LLP
34
549300FJV7IV1ZHGAV28
N
N
N
N
N
N
First Trust Senior Floating Rate Income Fund II
549300188EQ1UO018C30
N
N/A
N
N
N
N
N/A
N/A
N/A
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
N
N
N
N
First Trust Advisors L.P.
801-39950
000107027
549300381GGS7S5JQ115
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
Computershare, Inc.
084-05925
254900Y7PP3ZED9AUY94
N
N
Y
Refinitiv, LLC
549300WQWDPFSMQ8I087
N
ICE Data Pricing & Reference Data, LLC
5493000NQ9LYLDBCTL34
N
Markit North America, Inc.
N/A
N
Bloomberg L.P.
549300B56MD0ZC402L06
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
Computershare Inc.
254900Y7PP3ZED9AUY94
N
N
BNY Mellon Investment Servicing (US) Inc.
549300CFZQLI9QMJ1Z03
N
N
Y
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
First Trust Portfolios L.P.
008-43843
000028519
54930062T84Z5CXY1C58
0.00000000
BTIG, LLC
008-65473
000122225
549300GTG9PL6WO3EC51
258.00000000
258.00000000
CREDIT SUISSE SECURITIES (USA) LLC
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
29629362.00000000
RBC CAPITAL MARKETS LLC
008-45411
000031194
549300LCO2FLSSVFFR64
11827430.00000000
CitiGroup Global Markets Inc.
008-08177
000007059
MBNUM2BPBDO7JBLYG310
24640941.00000000
BARCLAYS CAPITAL, INC.
008-41342
000019714
AC28XWWI3WIBK2824319
40127654.00000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
37159848.00000000
JEFFERIES LLC
008-15074
000002347
58PU97L1C0WSRCWADL48
22100668.00000000
MORGAN STANLEY & CO. LLC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
21342007.00000000
Goldman Sachs & Co. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
36642670.00000000
J.P. Morgan Securities LLC
008-35008
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ZBUT11V806EZRVTWT807
45982225.00000000
WELLS FARGO SECURITIES, LLC
008-65876
000126292
VYVVCKR63DVZZN70PB21
9779078.00000000
298841371.00000000
N
318108027.99000000
0.00000000
Common stock
First Trust Senior Floating Rate Income Fund II
N
N
N
N
N
N
1.04000000
1.67000000
10.90000000
11.30000000
false
false
true
false
false
false
false
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false
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false
INTERNAL CONTROL RPT
2
FCT_g.1.aiii.htm
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
To the shareholders and Board of Trustees of First Trust Senior Floating Rate Income Fund II:
In planning and performing our audit of the financial statements of First Trust Senior Floating Rate Income Fund II (the "Fund") as of and for the year ended May 31, 2022, in accordance with the standards of the Public Company Accounting Oversight Board (United States) (PCAOB), we considered the Fund's internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-CEN, but not for the purpose of expressing an opinion on the effectiveness of the Fund's internal control over financial reporting. Accordingly, we express no such opinion.
The management of the Fund is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A fund’s internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A fund’s internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the fund; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the fund are being made only in accordance with authorizations of management and directors of the fund; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use, or disposition of a fund's assets that could have a material effect on the financial statements.
Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate.
A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the fund’s annual or interim financial statements will not be prevented or detected on a timely basis.
Our consideration of the Fund's internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the PCAOB. However, we noted no deficiencies in the Fund's internal control over financial reporting and its operation, including controls for safeguarding securities that we consider to be a material weakness, as defined above, as of May 31, 2022.
This report is intended solely for the information and use of management and the Board of Trustees of the Fund and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties.
/s/ Deloitte & Touche LLP
Chicago, Illinois
July 25, 2022