-----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, PJ9V3FdukwzKm8yX3n0HyFYHBquGR1TpM+HC0lv4ThltiOcyKLtb0ud39ICo9qRW /D5RQBBrqkFDdEwTKhPrvw== 0000950123-10-013578.txt : 20100217 0000950123-10-013578.hdr.sgml : 20100217 20100217101052 ACCESSION NUMBER: 0000950123-10-013578 CONFORMED SUBMISSION TYPE: NSAR-A/A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20090131 FILED AS OF DATE: 20100217 DATE AS OF CHANGE: 20100217 EFFECTIVENESS DATE: 20100217 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-A/A SEC ACT: 1940 Act SEC FILE NUMBER: 811-02591 FILM NUMBER: 10611462 BUSINESS ADDRESS: STREET 1: 50606 AMERIPRISE FINANCIAL CENTER STREET 2: H27/5228 CITY: MINNEAPOLIS STATE: MN ZIP: 55474 BUSINESS PHONE: 612-671-4321 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 NSAR-A/A 1 answer.fil 1/31/09 AMENDMENT PAGE 1 000 A000000 01/31/2009 000 C000000 0000049698 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 Y 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 DISTRIBUTORS, INC. 011 B00AA01 8-67196 011 C01AA01 MINNEAPOLIS 011 C02AA01 MN 011 C03AA01 55474 011 A00AA02 RIVERSOURCE FUND DISTRIBUTORS, INC. 011 B00AA02 8-25845 PAGE 2 011 C01AA02 MINNEAPOLIS 011 C02AA02 MN 011 C03AA02 55474 012 A00AA01 RIVERSOURCE SERVICE CORPORATION 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 162 019 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 DEUTSCHE BANK SECURITIES INC. 022 B000001 13-2730828 022 C000001 2819516 022 D000001 0 022 A000002 MERRILL LYNCH, PIERCE, FENNER & SMITH INC. 022 B000002 13-5674085 022 C000002 2572344 022 D000002 123715 022 A000003 J.P. 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476352 028 B020100 7670 028 B030100 0 028 B040100 645632 028 C010100 662485 028 C020100 7869 028 C030100 0 028 C040100 688020 028 D010100 389745 028 D020100 5877 028 D030100 0 028 D040100 386571 028 E010100 439425 028 E020100 4426 028 E030100 0 028 E040100 498385 028 F010100 374088 028 F020100 1536 028 F030100 0 028 F040100 527368 028 G010100 2737146 028 G020100 35430 028 G030100 0 028 G040100 3213500 028 H000100 0 034 000100 Y 035 000100 215 036 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 2720 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 42.6 062 D000100 0.0 062 E000100 0.0 062 F000100 9.9 062 G000100 0.0 062 H000100 0.0 062 I000100 40.3 062 J000100 0.0 062 K000100 0.0 062 L000100 7.1 062 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 34 063 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 Y 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 6 072 B000100 52641 072 C000100 0 072 D000100 0 072 E000100 0 072 F000100 6831 072 G000100 1144 072 H000100 0 072 I000100 4469 072 J000100 220 072 K000100 280 072 L000100 0 072 M000100 77 072 N000100 139 072 O000100 0 072 P000100 0 072 Q000100 0 072 R000100 16 072 S000100 48 072 T000100 2720 072 U000100 0 072 V000100 0 072 W000100 1191 072 X000100 17135 072 Y000100 137 072 Z000100 35643 072AA000100 0 072BB000100 424 072CC010100 0 072CC020100 1 072DD010100 33688 072DD020100 2210 072EE000100 0 073 A010100 0.0000 073 A020100 0.0000 073 B000100 0.0000 PAGE 9 073 C000100 0.0000 074 A000100 354 074 B000100 0 074 C000100 4535824 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 25007 074 M000100 694 074 N000100 4561879 074 O000100 0 074 P000100 81 074 Q000100 0 074 R010100 0 074 R020100 0 074 R030100 0 074 R040100 23577 074 S000100 0 074 T000100 4538221 074 U010100 4199487 074 U020100 347591 074 V010100 0.00 074 V020100 0.00 074 W000100 0.9957 074 X000100 381906 074 Y000100 0 075 A000100 4779128 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: January 29, 2010 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-99.77E LEGAL 2 ex77e.txt EXHIBIT 77E 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 3 ex77n.txt EXHIBIT 77N EXHIBIT 77N FOR RIVERSOURCE MONEY MARKET SERIES, INC.: RIVERSOURCE CASH MANAGEMENT FUND On Sept. 15, 2008, Lehman Brothers Holdings, Inc. (Lehman Brothers) filed a Chapter 11 bankruptcy petition. At that time, the Fund owned $40 million in medium-term commercial paper issued by Lehman Brothers (the Lehman Notes) which, because of the bankruptcy petition, were no longer considered eligible securities under Rule 2a-7 of the Investment Company Act of 1940, as amended. At a meeting of the Fund's Board of Directors (the Board) on Sept. 16, 2008, RiverSource Investments LLC (RiverSource), the Fund's investment manager, informed the Board that RiverSource (and its parent company, Ameriprise Financial, Inc. (Ameriprise)) had committed to immediately purchase $25 million of the Lehman Notes from the Fund and that it stood ready to promptly acquire the remaining $15 million from the Fund in order to maintain the Fund's stable net asset value (NAV) at $1.00 per share. Based upon the recommendation of RiverSource and other factors, the Board then approved the purchase by Ameriprise of $25 million of the Lehman Notes from the Fund pursuant to Rule 17a-9 of the 1940 Act. The Board further resolved that it was in the best interest of the Fund and its shareholders to retain the balance of the Lehman Notes, but that, subject to the discretion of RiverSource, to the extent the Fund's remaining Lehman Notes were not sold in the open market based on changing market conditions and to the extent necessary to maintain the Fund's stable NAV, Ameriprise be permitted to purchase the remaining Lehman Notes from the Fund. By Sept. 30, 2008, Ameriprise had purchased the remaining balance of Lehman Notes from the Fund. -----END PRIVACY-ENHANCED MESSAGE-----