-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, BwOjbk3oIQgcaAhukSwKlRg3v3O48YRBkyZIzXwyJDHFxz7z1qYYPoLVvH5G8uzp gD3n+Mq0oBuTerouEtso9Q== 0000950123-09-045928.txt : 20090925 0000950123-09-045928.hdr.sgml : 20090925 20090925104213 ACCESSION NUMBER: 0000950123-09-045928 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20090731 FILED AS OF DATE: 20090925 DATE AS OF CHANGE: 20090925 EFFECTIVENESS DATE: 20090925 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RIVERSOURCE MONEY MARKET SERIES, INC. CENTRAL INDEX KEY: 0000049698 IRS NUMBER: 411254759 STATE OF INCORPORATION: MN FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-02591 FILM NUMBER: 091086626 BUSINESS ADDRESS: STREET 1: 50606 AMERIPRISE FINANCIAL CENTER STREET 2: H27/5228 CITY: MINNEAPOLIS STATE: MN ZIP: 55474 BUSINESS PHONE: 6126714321 MAIL ADDRESS: STREET 1: 50606 AMERIPRISE FINANCIAL CENTER STREET 2: H27/5228 CITY: MINNEAPOLIS STATE: MN ZIP: 55474 FORMER COMPANY: FORMER CONFORMED NAME: AXP MONEY MARKET SERIES INC DATE OF NAME CHANGE: 20000823 FORMER COMPANY: FORMER CONFORMED NAME: IDS MONEY MARKET SERIES INC DATE OF NAME CHANGE: 19920917 FORMER COMPANY: FORMER CONFORMED NAME: IDS CASH MANAGEMENT FUND INC DATE OF NAME CHANGE: 19920703 0000049698 S000003359 RiverSource Cash Management Fund C000009208 RiverSource Cash Management Fund Class C RCCXX C000009209 RiverSource Cash Management Fund Class I RCIXX C000009210 RiverSource Cash Management Fund Class A IDSXX C000009211 RiverSource Cash Management Fund Class B ACBXX C000009212 RiverSource Cash Management Fund Class Y IDYXX C000042977 RiverSource Cash Management Fund Class R5 C000042978 RiverSource Cash Management Fund Class W RCWXX C000076524 RiverSource Cash Management Fund Class R2 NSAR-B 1 answer.fil PAGE 1 000 B000000 07/31/2009 000 C000000 0000049698 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 RIVERSOURCE MONEY MARKET SERIES, INC. 001 B000000 811-2591 001 C000000 6126715682 002 A000000 50606 AMERIPRISE FINANCIAL CENTER 002 B000000 MINNEAPOLIS 002 C000000 MN 002 D010000 55474 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 1 007 C010100 1 007 C020100 RIVERSOURCE CASH MANAGEMENT FUND 007 C030100 N 007 C010200 2 007 C010300 3 007 C010400 4 007 C010500 5 007 C010600 6 007 C010700 7 007 C010800 8 007 C010900 9 007 C011000 10 008 A00AA01 RIVERSOURCE INVESTMENTS, LLC 008 B00AA01 A 008 C00AA01 801-25943 008 D01AA01 MINNEAPOLIS 008 D02AA01 MN 008 D03AA01 55474 010 A00AA01 AMERIPRISE FINANCIAL, INC. 010 C01AA01 MINNEAPOLIS 010 C02AA01 MN 010 C03AA01 55474 011 A00AA01 RIVERSOURCE FUND DISTRIBUTORS, INC. 011 B00AA01 8-25845 011 C01AA01 MINNEAPOLIS 011 C02AA01 MN 011 C03AA01 55474 011 A00AA02 DELETE 012 A00AA01 RIVERSOURCE SERVICE CORPORATION PAGE 2 012 B00AA01 84-5685 012 C01AA01 MINNEAPOLIS 012 C02AA01 MN 012 C03AA01 55474 013 A00AA01 ERNST & YOUNG LLP 013 B01AA01 MINNEAPOLIS 013 B02AA01 MN 013 B03AA01 55402 015 A00AA01 JPMORGAN CHASE BANK, N.A. 015 B00AA01 C 015 C01AA01 NEW YORK 015 C02AA01 NY 015 C03AA01 10005 015 E01AA01 X 018 00AA00 Y 019 A00AA00 Y 019 B00AA00 149 019 C00AA00 RIVERSORCE 020 C000001 0 020 C000002 0 020 C000003 0 020 C000004 0 020 C000005 0 020 C000006 0 020 C000007 0 020 C000008 0 020 C000009 0 020 C000010 0 021 000000 0 022 A000001 CITIGROUP GLOBAL MARKETS INC. 022 B000001 11-2418191 022 C000001 6488260 022 D000001 59486 022 A000002 BANK OF AMERICA SECURITIES LLC 022 B000002 56-2058405 022 C000002 4521658 022 D000002 75010 022 A000003 J.P. MORGAN SECURITIES INC. 022 B000003 13-3224016 022 C000003 4115153 022 D000003 188513 022 A000004 GOLDMAN, SACHS & CO. 022 B000004 13-5108880 022 C000004 3995720 022 D000004 40121 022 A000005 DEUTSCHE BANK SECURITIES INC. 022 B000005 13-2730828 022 C000005 3048505 022 D000005 0 022 A000006 MERRILL LYNCH, PIERCE, FENNER & SMITH INC. 022 B000006 13-5674085 PAGE 3 022 C000006 2685824 022 D000006 123715 022 A000007 CREDIT SUISSE SECURITIES (USA) LLC 022 B000007 13-5659485 022 C000007 2500216 022 D000007 95568 022 A000008 MORGAN STANLEY 022 B000008 13-2655998 022 C000008 2416143 022 D000008 43718 022 A000009 BARCLAYS CAPITAL 022 B000009 06-1031656 022 C000009 2057808 022 D000009 0 022 A000010 HSBC SECURUTIES (USA) INC. 022 B000010 13-5101370 022 C000010 1779069 022 D000010 79346 023 C000000 39391790 023 D000000 784901 026 A000000 N 026 B000000 N 026 C000000 N 026 D000000 Y 026 E000000 N 026 F000000 N 026 G010000 N 026 G020000 N 026 H000000 N 027 000000 Y 029 00AA00 N 030 A00AA00 0 030 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D000105 0 025 D000106 0 025 D000107 0 025 D000108 0 028 A010100 270614 028 A020100 364 028 A030100 0 028 A040100 412752 PAGE 5 028 B010100 375597 028 B020100 40 028 B030100 0 028 B040100 527627 028 C010100 268952 028 C020100 33 028 C030100 0 028 C040100 514279 028 D010100 209620 028 D020100 132 028 D030100 0 028 D040100 387300 028 E010100 239262 028 E020100 492 028 E030100 0 028 E040100 425996 028 F010100 252129 028 F020100 461 028 F030100 0 028 F040100 381672 028 G010100 1616174 028 G020100 1522 028 G030100 0 028 G040100 2649626 028 H000100 0 034 000100 Y 035 000100 368 036 A000100 N 036 B000100 0 037 000100 N 038 000100 0 039 000100 N 040 000100 Y 041 000100 Y 042 A000100 0 042 B000100 0 042 C000100 0 042 D000100 0 042 E000100 0 042 F000100 0 042 G000100 0 042 H000100 100 043 000100 5070 044 000100 0 045 000100 Y 046 000100 N 047 000100 Y 048 000100 0.000 048 A010100 1000000 048 A020100 0.330 048 B010100 500000 PAGE 6 048 B020100 0.313 048 C010100 500000 048 C020100 0.295 048 D010100 500000 048 D020100 0.278 048 E010100 2500000 048 E020100 0.260 048 F010100 1000000 048 F020100 0.240 048 G010100 1500000 048 G020100 0.220 048 H010100 1500000 048 H020100 0.215 048 I010100 1000000 048 I020100 0.190 048 J010100 5000000 048 J020100 0.180 048 K010100 24000000 048 K020100 0.150 049 000100 N 050 000100 N 051 000100 N 052 000100 N 053 A000100 Y 053 B000100 Y 053 C000100 N 054 A000100 Y 054 B000100 Y 054 C000100 Y 054 D000100 N 054 E000100 N 054 F000100 N 054 G000100 Y 054 H000100 Y 054 I000100 N 054 J000100 Y 054 K000100 N 054 L000100 Y 054 M000100 Y 054 N000100 N 054 O000100 Y 055 A000100 N 055 B000100 N 056 000100 Y 057 000100 N 058 A000100 N 059 000100 Y 060 A000100 Y 060 B000100 Y 061 000100 2000 062 A000100 Y PAGE 7 062 B000100 0.0 062 C000100 11.0 062 D000100 0.0 062 E000100 0.0 062 F000100 9.5 062 G000100 0.0 062 H000100 0.0 062 I000100 39.5 062 J000100 0.0 062 K000100 0.0 062 L000100 40.0 062 M000100 0.0 062 N000100 0.0 062 O000100 0.0 062 P000100 0.0 062 Q000100 0.0 062 R000100 0.0 063 A000100 55 063 B000100 0.0 064 A000100 Y 064 B000100 N 066 A000100 N 067 000100 N 068 A000100 N 068 B000100 N 069 000100 N 070 A010100 Y 070 A020100 N 070 B010100 N 070 B020100 N 070 C010100 N 070 C020100 N 070 D010100 N 070 D020100 N 070 E010100 N 070 E020100 N 070 F010100 N 070 F020100 N 070 G010100 N 070 G020100 N 070 H010100 N 070 H020100 N 070 I010100 N 070 I020100 N 070 J010100 Y 070 J020100 N 070 K010100 Y 070 K020100 N 070 L010100 Y 070 L020100 N 070 M010100 N PAGE 8 070 M020100 N 070 N010100 Y 070 N020100 N 070 O010100 Y 070 O020100 N 070 P010100 Y 070 P020100 N 070 Q010100 N 070 Q020100 N 070 R010100 N 070 R020100 N 071 A000100 0 071 B000100 0 071 C000100 0 071 D000100 0 072 A000100 12 072 B000100 64211 072 C000100 0 072 D000100 0 072 E000100 0 072 F000100 12658 072 G000100 2133 072 H000100 0 072 I000100 8803 072 J000100 222 072 K000100 551 072 L000100 0 072 M000100 138 072 N000100 216 072 O000100 0 072 P000100 0 072 Q000100 0 072 R000100 43 072 S000100 77 072 T000100 5070 072 U000100 0 072 V000100 0 072 W000100 2660 072 X000100 32571 072 Y000100 5724 072 Z000100 37364 072AA000100 0 072BB000100 7680 072CC010100 0 072CC020100 1 072DD010100 35074 072DD020100 2290 072EE000100 0 073 A010100 0.0000 073 A020100 0.0000 073 B000100 0.0000 PAGE 9 073 C000100 0.0000 074 A000100 1143 074 B000100 0 074 C000100 3500915 074 D000100 0 074 E000100 0 074 F000100 0 074 G000100 0 074 H000100 0 074 I000100 0 074 J000100 0 074 K000100 0 074 L000100 35535 074 M000100 440 074 N000100 3538033 074 O000100 0 074 P000100 67 074 Q000100 0 074 R010100 0 074 R020100 0 074 R030100 0 074 R040100 38676 074 S000100 0 074 T000100 3499290 074 U010100 3293890 074 U020100 221258 074 V010100 0.00 074 V020100 0.00 074 W000100 0.0000 074 X000100 353002 074 Y000100 0 075 A000100 4401555 075 B000100 0 076 000100 0.00 SIGNATURE TITLE This report is signed on behalf of the registrant (or depositor or trustee). City of: Minneapolis State of: Minnesota Date: September 21, 2009 Name of Registrant, Depositor, or Trustee: RiverSource Money Market Series, Inc. /s/ Jeffrey P. Fox -- Treasurer and Principal Financial Officer - ------------------------------------------------------------------------------- By (Name and Title): /s/ Wade M. Voigt -- Assistant Treasurer - ------------------------------------------------------------------------------- Witness (Name and Title): RIVERSOURCE MONEY MARKET SERIES, INC. EX-99.77B ACCT LTTR 2 c53744ex77b.txt Exhibit 77B Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Directors of the RiverSource Money Market Series, Inc. In planning and performing our audit of the financial statements of the RiverSource Cash Management Fund which comprises the RiverSource Money Market Series, Inc. (the Fund) as of and for the year ended July 31, 2009, in accordance with the standards of the Public Company Accounting Oversight Board (United States), 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-SAR, 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 Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Fund's internal control over financial reporting and its operation, including controls over safeguarding securities, that we consider to be a material weakness as defined above as of July 31, 2009. This report is intended solely for the information and use of management and the Board of Directors of the RiverSource Money Market Series, Inc. 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/ Ernst & Young LLP Minneapolis, MN September 21, 2009 EX-99.77E LEGAL 3 c53744ex77e.txt EXHIBIT 77E LEGAL PROCEEDINGS. Ameriprise Financial and certain of its affiliates have historically been involved in a number of legal, arbitration and regulatory proceedings, including routine litigation, class actions, and governmental actions, concerning matters arising in connection with the conduct of their business activities. Ameriprise Financial believes that the fund is not currently the subject of, and that neither Ameriprise Financial nor any of its affiliates are the subject of, any pending legal, arbitration or regulatory proceedings that are likely to have a material adverse effect on the fund or the ability of Ameriprise Financial or its affiliates to perform under their contracts with the fund. Information regarding certain pending and settled legal proceedings may be found in the Fund's shareholder reports and in the SAI. Additionally, Ameriprise Financial is required to make 10-Q, 10-K and, as necessary, 8-K filings with the Securities and Exchange Commission on legal and regulatory matters that relate to Ameriprise Financial and its affiliates. Copies of these filings may be obtained by accessing the SEC website at www.sec.gov. EX-99.77N RULE 2A-7 4 c53744ex77n.txt FOR RIVERSOURCE MONEY MARKET SERIES, INC.: EXHIBIT 77N RIVERSOURCE CASH MANAGEMENT FUND WhistleJacket Capital LLC (WJC), a structured investment vehicle (SIV) owned by the Fund, breached a financial covenant on Feb. 11, 2008 relating to the market value of its underlying collateral, resulting in the occurrence of an "enforcement event." This resulted in the appointment of receivers on Feb. 12, 2008. On Feb. 15, 2008 the receivers declared WJC to be insolvent. The Fund's positions in WJC went into default as of their respective maturity dates. At a meeting of the Executive Committee of the Fund's Board of Directors (the Board) on Feb. 9, 2009, RiverSource Investments, LLC (RiverSource), the Fund's investment manager, recommended and the Board approved based on the recommendation and other factors, the purchase by Ameriprise Financial Inc. (Ameriprise), the parent company of RiverSource, of a portion of the WJC holdings from the Fund ($16 million), which occurred between March 6, 2009 and April 21, 2009 for cash at a price equal to amortized cost plus accrued interest in accordance with Rule 17a-9 of the Investment Company Act of 1940, as amended (the 1940 Act). The Fund recorded $3.5 million as payments by an affiliate, which is equal to the aggregate difference between the fair value of WJC and the cash received from Ameriprise Financial on each purchase date. From June 8, 2009 through July 31, 2009, due to realized losses of the Fund, Ameriprise Financial has paid approximately $1.0 million to the Fund to provide support to the Fund's $1.00 net asset value per share. These amounts are recorded as increase from payments by affiliate on the Statement of Operations. Subsequent to July 31, 2009 and through September 21, 2009 (date of issuance of the Fund's financial statements), additional support payments have been made by Ameriprise Financial amounting to approximately $8.2 million. Pursuant to the Fund's pricing procedures, securities are valued utilizing the amortized cost method permitted in accordance with Rule 2a-7 under the 1940 Act. Rule 2a-7 also requires periodic monitoring (Shadow Pricing) of the deviation between the net asset value per share of the Fund using the amortized cost method and the net asset value per share determined based on fair value to ensure that the amortized cost method continues to provide an appropriate net asset value per share for the Fund in accordance with Rule 2a-7. For the year ended July 31, 2009, all investments held by the Fund, including WJC, were valued at amortized cost in compliance with Rule 2a-7 procedures. In addition, for the same time period the deviations resulting from the Shadow Pricing procedures were not material to the Fund's $1.00 net asset value per share. #270972 v01 -----END PRIVACY-ENHANCED MESSAGE-----