-----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, HBAVlcrHp393QsaUZ8j/bGxzRNQwOHatA6jDx5h6HlD//Q8nWiec26fP9isSqxvD vxPol+9BYeGYFI1wVnNVVw== 0001068800-06-001462.txt : 20061201 0001068800-06-001462.hdr.sgml : 20061117 20061117153948 ACCESSION NUMBER: 0001068800-06-001462 CONFORMED SUBMISSION TYPE: 485BPOS PUBLIC DOCUMENT COUNT: 4 FILED AS OF DATE: 20061117 DATE AS OF CHANGE: 20061117 EFFECTIVENESS DATE: 20061117 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: 485BPOS SEC ACT: 1933 Act SEC FILE NUMBER: 002-54516 FILM NUMBER: 061226664 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 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: 485BPOS SEC ACT: 1940 Act SEC FILE NUMBER: 811-02591 FILM NUMBER: 061226665 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 C000042977 RiverSource Cash Management Fund Class R5 C000042978 RiverSource Cash Management Fund Class W 0000049698 S000003359 RiverSource Cash Management Fund C000009212 RiverSource Cash Management Fund Class Y IDYXX 485BPOS 1 partabc.txt RIVERSOURCE MONEY MARKET SERIES, INC. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Pre-Effective Amendment No. ____ Post-Effective Amendment No. 62 (File No. 2-54516) [X] and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY (ACT OF 1940) Amendment No. 53 (File No. 811-2591) [X] RIVERSOURCE MONEY MARKET SERIES, INC. 50606 Ameriprise Financial Center Minneapolis, MN 55474 Scott R. Plummer 5228 Ameriprise Financial Center Minneapolis, MN 55474 (612) 671-1947 Approximate Date of Proposed Public Offering: It is proposed that this filing will become effective (check appropriate box) [X] immediately upon filing pursuant to paragraph (b) [ ] on (date) pursuant to paragraph (b) [ ] 60 days after filing pursuant to paragraph (a)(1) [ ] on (date) pursuant to paragraph (a)(1) [ ] 75 days after filing pursuant to paragraph (a)(2) [ ] on (date) pursuant to paragraph (a)(2) of rule 485. If appropriate, check the following box: [ ] this post-effective amendment designates a new effective date for a previously filed post-effective amendment. Part A. The prospectus for RiverSource Cash Management Fund is incorporated by reference to that filed in Registrant's Post-Effective Amendment No. 61 to Registration Statement No. 2-54516 on or about Sept. 27, 2006. RIVERSOURCE [LOGO](SM) INVESTMENTS PROSPECTUS AND STATEMENT OF ADDITIONAL INFORMATION SUPPLEMENT -- NOV. 29, 2006 RiverSource Cash Management Fund -- Prospectus (9/29/06) S-6320-99 AD RiverSource Cash Management Fund -- Statement of Additional Information (11/29/06) S-6500 P
In late 2006 or early 2007 the following changes will be implemented for Class Y: revising the fee structure under the transfer agent agreement from account-based to asset-based, and adopting a plan administration services agreement. This Supplement also describes the following additional classes of shares: Class R5 and Class W. The information below supplements the relevant sections of the prospectus and statement of additional information. The caption headings used in this Supplement correspond to the caption headings used in the prospectus and statement of additional information. You may purchase these shares only if you are an eligible investor, as described under the caption "Buying and Selling Shares" below. PROSPECTUS PAST PERFORMANCE Class R5 and Class W are new as of the date of this supplement, and therefore performance information is not shown. Please note that you will find performance returns for other classes of shares of the Fund, together with returns of one or more broad measures of market performance, in the performance table of the prospectus. The performance table is intended to indicate some of the risks of investing in the Fund by showing changes in the Fund's performance over time. Past performance for Class R5 for the period prior to the beginning of operations for that class may be calculated based on the performance of Class Y. Past performance for Class W for the period prior to the beginning of operations for that class may be calculated based on the performance of Class A. In each case, the blended class performance will be adjusted to reflect differences in sales charges, but not differences in annual Fund operating expenses (for example, 12b-1 fees). The use of blended performance generally results in higher performance for classes with higher operating expenses than those of the class with which they are blended, and lower performance for classes with lower operating expenses than those of the class with which they are blended. FEES AND EXPENSES Fund investors pay various expenses. The table describes the fees and expenses that you may pay if you buy and hold shares of the Fund. Expenses in the table have been adjusted to reflect current fees. The table is supplemented as follows:
SHAREHOLDER FEES (FEES PAID DIRECTLY FROM YOUR INVESTMENT) R5 W Y Maximum sales charge (load) imposed on purchases (as a percentage of offering price) None None None - ------------------------------------------------------------------------------------------------------ Maximum deferred sales charge (load) imposed on sales (as a percentage of offering price at time of purchase) None None None - ------------------------------------------------------------------------------------------------------
- -------------------------------------------------------------------------------- S-6320-9 A (11/06)
ANNUAL FUND OPERATING EXPENSES (EXPENSES THAT ARE DEDUCTED FROM FUND ASSETS) AS A PERCENTAGE OF AVERAGE DAILY NET ASSETS: R5 W Y Management fees 0.30% 0.30% 0.30% Distribution (12b-1) fees 0.00% 0.10% 0.00% Other expenses(a) 0.15% 0.30% 0.30% Total(b) 0.45% 0.70% 0.60% (a) For Class R5 and Class W, other expenses are based on estimated amounts for the current fiscal year. For Class Y, expenses have been restated to reflect the revised fee structure approved by the Board. Other expenses include an administrative services fee, a transfer agency fee, a custody fee, other nonadvisory expenses and, for Class Y, a plan administration services fee. (b) The investment manager and its affiliates have contractually agreed to waive certain fees and to absorb certain expenses until July 31, 2007, unless sooner terminated at the discretion of the Fund's Board. Any amounts waived will not be reimbursed by the Fund. Under this agreement net expenses will not exceed 0.51% for Class R5, 0.76% for Class W and 0.60% for Class Y.
EXAMPLE This example is intended to help you compare the cost of investing in the Fund with the cost of investing in other mutual funds. The table is supplemented as follows:
1 YEAR 3 YEARS 5 YEARS 10 YEARS Class R5 $46 $145 $253 $570 Class W $72 $224 $390 $874 Class Y $61 $192 $335 $753
BUYING AND SELLING SHARES The description of Investment Options is supplemented as follows: If you are an eligible investor, you may purchase Class R5, Class W or Class Y shares at net asset value. These share classes do not have an initial sales charge or CDSC on redemption and do not convert to any other class of shares. Class W shares pay an annual distribution and shareholder servicing (12b-1) fee. Because this fee is paid out of the Fund's assets on an ongoing basis, over time the fee will increase the cost of your investment and may cost you more than paying other types of distribution (sales) or servicing charges. Investments in Class R5, Class W and Class Y are not eligible to be included in determining the sales charge for purchases of Class A shares. ELIGIBLE INVESTORS Class R and Class Y shares are available to the following investors: o Qualified employee benefit plans. o Trust companies or similar institutions, and charitable organizations that meet the definition in Section 501(c)(3) of the Internal Revenue Code. o Non-qualified deferred compensation plans whose participants are included in a qualified employee benefit plan described above. o State sponsored college savings plans established under Section 529 of the Internal Revenue Code. Class R and Class Y shares generally are not available to retail non-retirement accounts, traditional and Roth IRAs, Coverdell Educational Savings Accounts, SEPs, SAR-SEPs, SIMPLE IRAs and individual 403(b) plans. Class W shares are available to the following investors: o Investors purchasing through authorized investment programs managed by investment professionals, including discretionary managed account programs. Shares originally purchased in a discretionary managed account may continue to be held in Class W outside of a discretionary managed account, but no additional Class W purchases may be made outside of a discretionary managed account. In addition, the distributor, in its sole discretion, may accept investments from other purchasers not listed above. The distribution and shareholder servicing fees for Class W are subject to the requirements of Rule 12b-1 under the Investment Company Act of 1940, as amended, and are used to reimburse the distributor for certain expenses it incurs in connection with distributing the Fund's shares and providing services to Fund shareholders. These expenses include payment of distribution and shareholder servicing fees to financial institutions that sell shares of the Fund, up to 0.10% of the average daily net assets of Class W shares sold and held through them. The distributor begins to pay the fees to financial institutions immediately after purchase. Financial institutions may compensate their financial advisors with the distribution and shareholder servicing fees paid to them by the distributor. Class Y pays an annual plan administration services fee of 0.15% from assets attributable to the class for the provision of various administrative, recordkeeping, communication or educational services. - -------------------------------------------------------------------------------- -- 2 -- The discussion of Opening an Account is supplemented as follows: You may purchase, sell or exchange Class R5, Class W and Class Y shares only through the distributor or an authorized financial institution. Generally you may exchange your Class R5, Class W and Class Y shares only for shares of the same class of another RiverSource fund.
MINIMUM INVESTMENT AND ACCOUNT BALANCE W Initial Investment $500 Additional Investment None Account Balance $500
The following information is added to the "Additional Services and Compensation" section: Plan Administration Services. Under a Plan Administration Services Agreement the Fund pays for plan administration services, including recordkeeping, communication or educational services to 529 and retirement plan sponsors, plans and plan participants. Fees paid by a fund for these services are included under "Other expenses" in the expense table under "Fees and Expenses." The following information replaces the "Affiliated Funds of Funds" paragraph in the "Additional Management Information" section: AFFILIATED PRODUCTS. RiverSource Investments also serves as investment manager to RiverSource funds that provide asset-allocation services to shareholders by investing in shares of other RiverSource funds (Funds of Funds) and to discretionary managed accounts (collectively referred to as "affiliated products"). A fund may experience relatively large purchases or redemptions from the affiliated products. Although RiverSource Investments seeks to minimize the impact of these transactions by structuring them over a reasonable period of time or through other measures, a fund may experience increased expenses as it buys and sells securities to manage transactions for the affiliated products. In addition, because the affiliated products may own a substantial portion of a fund, a redemption by one or more affiliated products could cause a fund's expense ratio to increase as the fund's fixed costs would be spread over a smaller asset base. RiverSource Investments monitors expense levels and is committed to offering funds that are competitively priced. RiverSource Investments will report to the Board on the steps it has taken to manage any potential conflicts. STATEMENT OF ADDITIONAL INFORMATION INVESTING IN A FUND The description of the sales charge is supplemented as follows: For Class R5, Class W and Class Y, there is no initial sales charge so the public offering price is the same as the NAV. AGREEMENTS The description of the Transfer Agency Agreement is supplemented as follows: The annual rate for Class R5 is 0.05% of average daily net assets attributable to Class R5. The annual rate for Class W is 0.20% of average daily net assets attributable to Class W. The annual rate for Class Y is 0.05% of average daily net assets attributable to Class Y. The description of the Plan and Agreement of Distribution is supplemented as follows: The fee for Class W, based on the average daily net assets of the Fund attributable to Class W, is 0.10%. The description of the Plan Administration Services Agreement is added as follows: PLAN ADMINISTRATION SERVICES AGREEMENT Under a Plan Administration Services Agreement the Fund pays for plan administration services, including recordkeeping, communication or educational services to 529 and retirement plan sponsors, plans and plan participants. The fee under the agreement for Class Y is 0.15% of the average daily net assets of the fund, attributable to the class. - -------------------------------------------------------------------------------- -- 3 -- Part B. The Statement of Additional Information for RiverSource Cash Management Fund is incorporated by reference to that filed in Registrant's 497 filing filed on or about October 31, 2006. The information in Part A of this Registration Statement that relates to the Statement of Additional Information of the Registrant is incorporated herein by reference. The financial statements for RiverSource Cash Management Fund are incorporated by reference to that filed in Registrant's Post-Effective Amendment No. 61 to Registration Statement No. 2-54516 on or about Sept. 27, 2006. PART C. OTHER INFORMATION Item 23. Exhibits (a)(1) Articles of Incorporation, as amended Nov. 14, 1991, filed as Exhibit 1 to Registrant's Post-Effective Amendment No. 34 to Registration Statement No. 2-54516, are incorporated by reference. (a)(2) Articles of Amendment, dated June 16, 1999, filed as Exhibit (a)(2) to Post-Effective Amendment No. 53 to Registration Statement No. 2-54516, are incorporated by reference. (a)(3) Articles of Amendment, dated Nov. 14, 2002, filed electronically as Exhibit (a)(3) to Registrant's Post-Effective Amendment No. 55 to Registration Statement No. 2-54516, are incorporated by reference. (a)(4) Articles of Amendment to the Articles of Incorporation, dated April 21, 2006, filed electronically on or about Sept. 27, 2006 as Exhibit (a)(4) to Registrant's Post-Effective Amendment No. 61 to Registration Statement No. 2-54516 are incorporated by reference. (b) By-laws, as amended January 11, 2001 filed electronically as Exhibit (b) to Registrant's Post-Effective Amendment No. 54 to Registration Statement No. 2-54516, are incorporated by reference. (c) Stock certificate, filed as Exhibit No. 4 to Registrant's Amendment No. 12 to Registration Statement No. 2-54516, dated Sept. 18, 1982, is incorporated by reference. (d) Investment Management Services Agreement, dated May 1, 2006, between Registrant and RiverSource Investments, LLC filed electronically on or about Sept. 27, 2006 as Exhibit (d) to Registrant's Post-Effective Amendment No. 61 to Registration Statement No. 2-54516 is incorporated by reference. (e)(1) Distribution Agreement, effective as of Oct. 1, 2005, amended and restated as of Aug. 1, 2006, between Registrant and Ameriprise Financial Services, Inc. filed electronically on or about Sept. 19, 2006 as Exhibit (e)(1) to RiverSource Diversified Income Series, Inc. Post-Effective Amendment No. 61 to Registration Statement No. 2-51586 is incorporated by reference. (e)(2) Distribution Agreement, effective as of Aug. 1, 2006, between Registrant and RiverSource Distributors, Inc. filed electronically on or about Sept. 19, 2006 as Exhibit (e)(2) to RiverSource Diversified Income Series, Inc. Post-Effective Amendment No. 61 to Registration Statement No. 2-51586 is incorporated by reference. (f) Bonus or Profit Sharing Contracts: Not Applicable. (g)(1) Custodian Agreement, dated Oct. 1, 2005, as amended Sept. 14, 2006, between Registrant and Ameriprise Trust Company filed electronically on or about Oct. 26, 2006 as Exhibit (g)(1) to RiverSource Variable Portfolio - Managers Series, Inc. Post-Effective Amendment No. 18 to Registration Statement No. 333-61346 is incorporated by reference. (g)(2) Custodian Agreement between American Express Trust Company and The Bank of New York dated May 13, 1999, filed electronically as Exhibit (g)(3) to AXP Precious Metals Fund, Inc. Post-Effective Amendment No. 33 to Registration Statement No. 2-93745, filed on or about May 25, 1999 is incorporated by reference. (g)(3) Custodian Agreement First Amendment between American Express Trust Company and The Bank of New York, dated Dec. 1, 2000, filed electronically as Exhibit (g)(4) to AXP Precious Metals Fund, Inc. Post-Effective Amendment No. 37 to Registration Statement No. 2-93745, filed on or about May 28, 2002, is incorporated by reference. (g)(4) Custodian Agreement Second Amendment between American Express Trust Company and The Bank of New York, dated June 7, 2001, filed electronically as Exhibit (g)(5) to AXP Precious Metals Fund, Inc. Post-Effective Amendment No. 37 to Registration Statement No. 2-93745, filed on or about May 28, 2002, is incorporated by reference. (g)(5) Custodian Agreement Amendment between American Express Trust Company and The Bank of New York, dated Jan. 31, 2002, filed electronically as Exhibit (g)(6) to AXP Precious Metals Fund, Inc. Post-Effective Amendment No. 37 to Registration Statement No. 2-93745, filed on or about May 28, 2002, is incorporated by reference. (g)(6) Custodian Agreement Amendment between American Express Trust Company and The Bank of New York, dated April 29, 2003, filed electronically as Exhibit (g)(8) to AXP Partners Series, Inc. Post-Effective Amendment No. 7 to Registration Statement No. 333-57852, filed on or about May 22, 2003, is incorporated by reference. (h)(1) Board Services Corporation Agreement, dated Jan. 11, 2006, between RiverSource Funds and Board Services Corporation filed electronically on or about March 29, 2006 as Exhibit (h)(1) to AXP Market Advantage Series, Inc. Post-Effective Amendment No. 35 to Registration Statement No. 33-30770 is incorporated by reference. (h)(2) Administrative Services Agreement, amended and restated, dated May 1, 2006, between Registrant and Ameriprise Financial, Inc. filed electronically on or about May 24, 2006 as Exhibit (h)(2) to RiverSource Selected Series, Inc. Post-Effective Amendment No. 44 to Registration Statement No. 2-93745 is incorporated by reference. (h)(3) Transfer Agency Agreement, amended and restated, dated May 1, 2006, between Registrant and RiverSource Service Corporation filed electronically on or about May 24, 2006 as Exhibit (h)(3) to RiverSource Selected Series, Inc. Post-Effective Amendment No. 44 to Registration Statement No. 2-93745 is incorporated by reference. (h)(4) Plan and Agreement of Merger, dated April 10, 1986, filed as Exhibit No. 9 to Registrant's Post-Effective Amendment No. 19 to Registration Statement No. 2-54516, is incorporated by reference. (h)(5) Agreement and Plan of Reorganization, dated Sept. 8, 1994, between IDS Cash Management Fund, a series of IDS Money Market Series, Inc. and IDS Planned Investment Account, also a series of IDS Money Market Series, Inc., filed electronically as Exhibit 4 to Registrant's Pre-Effective Amendment No. 1 on Form N-14, is incorporated by reference. (h)(6) Master Fee Cap/Fee Waiver Agreement, dated, Oct. 1, 2005, as amended Sept. 1, 2006, between RiverSource Investments, LLC, Ameriprise Financial, Inc., RiverSource Service Corporation, Ameriprise Financial Services, Inc. and the RiverSource Funds filed electronically on or about Oct. 26, 2006 as Exhibit (h)(9) to RiverSource Diversified Income Series, Inc. Post-Effective Amendment No. 62 to Registration Statement No. 2-51586 is incorporated by reference. (h)(7) License Agreement, amended and restated, dated May 1, 2006, between Ameriprise Financial, Inc. and RiverSource Funds filed electronically on or about May 24, 2006 as Exhibit (h)(5) to RiverSource Selected Series, Inc. Post-Effective Amendment No. 44 to Registration Statement No. 2-93745 is incorporated by reference. (i) Opinion and consent of counsel as to the legality of the securities being registered is filed electronically herewith. (j) Consent of Independent Registered Public Accounting Firm is filed electronically herewith. (k) Omitted Financial Statements: Not Applicable. (l) Initial Capital Agreement: Not Applicable. (m)(1) Plan and Agreement of Distribution, amended and restated, dated May 1, 2006, between Registrant and Ameriprise Financial Services, Inc. filed electronically on or about May 24, 2006 as Exhibit (m) to RiverSource Selected Series, Inc. Post-Effective Amendment No. 44 to Registration Statement No. 2-93745 is incorporated by reference. (m)(2) Plan and Agreement of Distribution, dated as of Aug. 1, 2006, between Registrant and RiverSource Distributors, Inc. filed electronically on or about Sept. 19, 2006 as Exhibit (m)(2) to RiverSource Diversified Income Series, Inc. Post-Effective Amendment No. 61 to Registration Statement No. 2-51586 is incorporated by reference. (n) Rule 18f - 3 Plan, amended and restated, dated May 1, 2006, filed electronically on or about May 24, 2006 as Exhibit (n) to RiverSource Selected Series, Inc. Post-Effective Amendment No. 44 to Registration Statement No. 2-93745 is incorporated by reference. (o) Reserved. (p)(1) Code of Ethics adopted under Rule 17j-1 for Registrant filed electronically on or about March 28, 2005 as Exhibit (p)(1) to AXP Selected Series, Inc. Post-Effective Amendment No. 42 to Registration Statement No. 2-93745, is incorporated by reference. (p)(2) Code of Ethics adopted under Rule 17j-1 for Registrant's investment adviser and principal underwriter, dated Jan. 2006 and April 2006, filed electronically on or about June 27, 2006 as Exhibit (p)(2) to RiverSource Short Term Investments Series, Inc. Registration Statement No. 811-21914 is incorporated by reference. (q)(1) Directors/Trustees Power of Attorney to sign Amendments to this Registration Statement, dated April 12, 2006, filed electronically on or about Sept. 27, 2006 as Exhibit (q)(1) to Registrant's Post-Effective Statement No. 61 to Registration Statement No. 2-54516 is incorporated by reference. (q)(2) Officers Power of Attorney to sign Amendments to this Registration Statement, dated Jan. 9, 2002, filed electronically on or about Sept. 25, 2002 as Exhibit (q)(2) to Registrant's Post-Effective Amendment No. 54 to Registration Statement No. 2-54516 is incorporated by reference. Item 24. Persons Controlled by or Under Common Control with Registrant: None. Item 25. Indemnification The Articles of Incorporation of the registrant provide that the Fund shall indemnify any person who was or is a party or is threatened to be made a party, by reason of the fact that she or he is or was a director, officer, employee or agent of the Fund, or is or was serving at the request of the Fund as a director, officer, employee or agent of another company, partnership, joint venture, trust or other enterprise, to any threatened, pending or completed action, suit or proceeding, wherever brought, and the Fund may purchase liability insurance and advance legal expenses, all to the fullest extent permitted by the laws of the State of Minnesota, as now existing or hereafter amended. The By-laws of the registrant provide that present or former directors or officers of the Fund made or threatened to be made a party to or involved (including as a witness) in an actual or threatened action, suit or proceeding shall be indemnified by the Fund to the full extent authorized by the Minnesota Business Corporation Act, all as more fully set forth in the By-laws filed as an exhibit to this registration statement. Insofar as indemnification for liability arising under the Securities Act of 1933 may be permitted to directors, officers and controlling persons of the registrant pursuant to the foregoing provisions, or otherwise, the registrant has been advised that in the opinion of the Securities and Exchange Commission such indemnification is against public policy as expressed in the Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the registrant of expenses incurred or paid by a director, officer or controlling person of the registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, the registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Act and will be governed by the final adjudication of such issue. Any indemnification hereunder shall not be exclusive of any other rights of indemnification to which the directors, officers, employees or agents might otherwise be entitled. No indemnification shall be made in violation of the Investment Company Act of 1940.
Item 26. Business and Other Connections of Investment Adviser (RiverSource Investments, LLC.) Directors and officers of RiverSource Investments, LLC. who are directors and/or officers of one or more other companies: Name and Title Other company(s) Address* Title within other company(s) - ------------------------- ----------------------- ------------------------- ----------------------- Neysa M. Alecu Advisory Capital Partners LLC Anti-Money Laundering Anti-Money Laundering Officer Officer Advisory Capital Strategies Anti-Money Laundering Group Inc. Officer Advisory Convertible Arbitrage Anti-Money Laundering LLC Officer Advisory Select LLC Anti-Money Laundering Officer American Enterprise Anti-Money Laundering Investment Services, Inc. Officer American Enterprise Life Insurance Anti-Money Laundering Company Officer American Enterprise REO 1 LLC Anti-Money Laundering American Express Asset Management Anti-Money Laundering International, Inc. Officer American Express Insurance Anti-Money Laundering Agency of Alabama Inc. Officer American Express Insurance Anti-Money Laundering Agency of Arizona Inc. Officer American Express Insurance Anti-Money Laundering Agency of Idaho Inc. Officer American Express Insurance Anti-Money Laundering Agency of Maryland Inc. Officer American Express Insurance Anti-Money Laundering Agency of Massachusetts Inc. Officer American Express Insurance Anti-Money Laundering Agency of Nevada Inc. Officer American Express Insurance Anti-Money Laundering Agency of New Mexico Inc. Officer American Express Insurance Anti-Money Laundering Agency of Oklahoma Inc. Officer American Express Insurance Anti-Money Laundering Agency of Texas Inc. Officer American Express Insurance Anti-Money Laundering Agency of Wyoming Inc. Officer American Partners Life Anti-Money Laundering Insurance Company Officer Ameriprise Auto & Home Insurance Anti-Money Laundering Agency Inc. Officer Ameriprise Certificate Company Anti-Money Laundering Officer Ameriprise Financial Inc. Anti-Money Laundering Ameriprise Financial Services, Anti-Money Laundering Inc. Officer Boston Equity General Anti-Money Laundering Partner LLC Officer IDS Capital Holdings Inc. Anti-Money Laundering Officer IDS Life Insurance Company Anti-Money Laundering Officer IDS Management Corporation Anti-Money Laundering Officer RiverSource Distributors Inc. Anti-Money Laundering Officer RiverSource Service Corporation Anti-Money Laundering Officer Ward D. Armstrong Ameriprise Express Asset Director Director and Senior Management International Inc. Vice President Ameriprise Financial Inc. Senior Vice President - Retirement Services and Asset Management Group Ameriprise Financial Senior Vice President - Services Inc. Retirement Services and Asset Management Group Ameriprise Trust Director and Chairman of Company the Board Kenwood Capital Management LLC Manager John M. Baker Ameriprise Financial Inc. Vice President - Plan Sponsor Vice President Services Ameriprise Financial Vice President - Chief Client Services Inc. Service Officer Ameriprise Trust Director and Senior Vice President Company Dimitris Bertsimas None None Vice President and Senior Portfolio Manager Walter S. Berman Advisory Capital Partners LLC Treasurer Treasurer Advisory Capital Strategies Treasurer Group Inc. Advisory Convertible Arbitrage Treasurer LLC Advisory Select LLC Treasurer American Centurion Life Vice President and Treasurer Assurance Company American Enterprise Life Vice President and Treasurer Insurance Company American Enterprise REO 1, LLC Treasurer American Express Asset Management Treasurer International, Inc. American Express Vice President and Treasurer Financial Advisors Services Japan Inc. American Express Insurance Treasurer Agency of Alabama Inc. American Express Insurance Treasurer Agency of Arizona Inc. American Express Insurance Treasurer Agency of Idaho Inc. American Express Insurance Treasurer Agency of Maryland Inc. American Express Insurance Treasurer Agency of Massachusetts Inc. American Express Insurance Treasurer Agency of Nevada Inc. American Express Insurance Treasurer Agency of New Mexico Inc. American Express Insurance Treasurer Agency of Oklahoma Inc. American Express Insurance Treasurer Agency of Wyoming Inc. American Express Property Treasurer Casualty Insurance Agency of Kentucky Inc. American Express Property Treasurer Casualty Insurance Agency of Maryland Inc. American Express Property Treasurer Casualty Insurance Agency of Pennsylvania Inc. American Partners Life Vice President and Treasurer Insurance Company Ameriprise Auto & Home Insurance Treasurer Agency Inc. Ameriprise Certificate Company Treasurer Ameriprise Financial Inc. Executive Vice President and Chief Financial Ameriprise Financial Director Services Inc. Ameriprise Insurance Company Treasurer AMEX Assurance Company Treasurer Boston Equity General Treasurer Partner LLC IDS Cable Corporation Treasurer IDS Cable II Corporation Treasurer IDS Capital Holdings Inc. Treasurer IDS Life Insurance Company Vice President and Treasurer IDS Life Insurance Company Vice President and Treasurer of New York IDS Management Corporation Treasurer IDS Partnership Services Treasurer Corporation IDS Property Casualty Treasurer Insurance Company IDS Realty Corporation Treasurer IDS REO 1, LLC Treasurer IDS REO 2, LLC Treasurer Investors Syndicate Vice President and Treasurer Development Corp. Kenwood Capital Treasurer Management LLC RiverSource Service Corporation Treasurer RiverSource Tax Advantaged Treasurer Investments Inc. Threadneedle Asset Management Director Holdings LTD Richard N. Bush Advisory Capital Partners LLC Senior Vice President - Corporate Tax Senior Vice President - Corporate Tax Advisory Capital Strategies Senior Vice President - Corporate Tax Group Inc. Advisory Convertible Arbitrage Senior Vice President - Corporate Tax LLC American Centurion Life Senior Vice President - Corporate Tax Assurance Company American Enterprise Investment Senior Vice President - Corporate Tax Services Inc American Enterprise Life Senior Vice President - Corporate Tax Insurance Company American Enterprise REO 1 LLC Senior Vice President - Corporate Tax American Express Asset Senior Vice President - Corporate Tax Management International Inc American Express Financial Senior Vice President - Corporate Tax Advisors Japan Inc. American Express Insurance Senior Vice President - Corporate Tax Agency of Alabama Inc. American Express Insurance Senior Vice President - Corporate Tax Agency of Arizona Inc. American Express Insurance Senior Vice President - Corporate Tax Agency of Idaho Inc. American Express Insurance Senior Vice President - Corporate Tax Agency of Maryland Inc. American Express Insurance Senior Vice President - Corporate Tax Agency of Massachusetts Inc. American Express Insurance Senior Vice President - Corporate Tax Agency of Nevada Inc. American Express Insurance Senior Vice President - Corporate Tax Agency of New Mexico Inc American Express Insurance Senior Vice President - Corporate Tax Agency of Oklahoma Inc. American Express Insurance Senior Vice President - Corporate Tax Agency of Wyoming Inc. American Express Property Senior Vice President - Corporate Tax Casualty Insurance Agency of Kentucky Inc. American Express Property Senior Vice President - Corporate Tax Casualty Insurance Agency of Maryland Inc. American Express Property Senior Vice President - Corporate Tax Casualty Insurance Agency of Pennsylvania Inc. American Partners Life Senior Vice President - Corporate Tax Insurance Company Ameriprise Financial Inc. Senior Vice President - Corporate Tax Ameriprise Financial Services Senior Vice President - Corporate Tax Inc. Ameriprise Insurance Company Senior Vice President - Corporate Tax AMEX Assurance Company Senior Vice President - Corporate Tax Boston Equity General Partner LLC Senior Vice President - Corporate Tax IDS Cable Corporation Senior Vice President - Corporate Tax IDS Cable II Corporation Senior Vice President - Corporate Tax IDS Capital Holdings Inc. Senior Vice President - Corporate Tax IDS Futures Corporation Senior Vice President - Corporate Tax IDS Life Insurance Company Senior Vice President - Corporate Tax IDS Life Insurance Company of Senior Vice President - Corporate Tax New York IDS Management Corporation Senior Vice President - Corporate Tax IDS Property Casualty Insurance Senior Vice President - Corporate Tax Company IDS Realty Corporation Senior Vice President - Corporate Tax IDS REO 1 LLC Senior Vice President - Corporate Tax IDS REO 2 LLC Senior Vice President - Corporate Tax RiverSource Service Corporation Senior Vice President - Corporate Tax Riversource Tax Advantaged Senior Vice President - Corporate Tax Investments Inc. Kevin J. Callahan None None Vice President Ted S. Dryden Ameriprise Certificate Company Chief Compliance Officer Acting Chief Compliance Officer Kenwood Capital Management LLC Acting Chief Compliance Officer Robert D. Ewing Advisory Capital Strategies Vice President Vice President and Senior Group Inc. Portfolio Manager Boston Equity General Vice President Partner LLC Peter A. Gallus Advisory Capital Partners LLC President, Chief Operating Officer Senior Vice President, and Chief Compliance Officer Chief Operating Officer and Assistant Treasurer Advisory Capital Strategies Director, President, Chief Operating Group Inc. Officer and Chief Compliance Officer Advisory Convertible Arbitrage LLC President, Chief Operating Officer and Chief Compliance Officer Advisory Select LLC Vice President and Chief Compliance Officer American Express Asset Assistant Treasurer Management International, Inc. Ameriprise Financial Inc. Vice President - Investment Administration Ameriprise Financial Vice President - CAO Services Inc. Investment Management Boston Equity General President, Chief Operating Officer Partner LLC and Chief Compliance Officer IDS Capital Holdings Inc. Vice President and Controller Kenwood Capital Management LLC Manager Jim Hamalainen American Centurion Life Assurance Company Vice President - Investments Vice President - Asset Liability Management American Enterprise Life Insurance Company Vice President - Investments American Partners Life Insurance Company Vice President - Investments Ameriprise Financial Inc. Assistant Treasurer IDS Life Insurance Company Vice President - Investments IDS Life Insurance Company of New York Vice President - Investments James C. Jackson None None Vice President and Senior Portfolio Manager Christopher P. Keating Ameriprise Trust Company Director Head of Institutional Sales, Client Service and Consultant Relationships Michelle M. Keeley American Centurion Life Vice President-Investments Director and Executive Vice Assurance Company President - Equity and Fixed Income American Enterprise Life Vice President-Investments Insurance Company American Express Director Asset Management International Inc. American Partners Life Vice President-Investments Insurance Company Ameriprise Vice President-Investments Certificate Company Ameriprise Financial Inc. Executive Vice President-Equity and Fixed Income Ameriprise Financial Executive Vice President-Equity and Services Inc. Fixed Income Ameriprise Insurance Company Vice President-Investments AMEX Assurance Company Vice President-Investments IDS Life Insurance Company Vice President-Investments IDS Property Casualty Insurance Vice President-Investments Company Kenwood Capital Management LLC Manager Brian J. McGrane Advisory Capital Partners LLC Vice President and Chief Financial Vice President and Officer Chief Financial Officer Advisory Capital Vice President and Chief Financial Strategies Group Inc. Officer Advisory Convertible Vice President and Chief Financial Arbitrage LLC Officer Advisory Select LLC Vice President and Chief Financial Officer American Enterprise Life Director, Executive Vice President Life Insurance Company and Chief Financial Officer American Express Asset Vice President and Chief Financial Management International Inc. Officer Ameriprise Vice President and Chief Financial Certificate Company Officer Ameriprise Financial Inc. Senior Vice President and Lead Financial Officer Finance Ameriprise Financial Vice President and Lead Services Inc. Financial Officer Finance Ameriprise Trust Company Director Boston Equity General Vice President and Chief Financial Partner LLC Officer IDS Life Insurance Company Director, Executive Vice President and Chief Financial Officer Thomas R. Moore American Centurion Life Secretary Secretary Assurance Company American Enterprise Investment Secretary Services Inc. American Enterprise Life Secretary Insurance Company American Enterprise REO 1 LLC Secretary American Express Insurance Secretary Agency of Alabama Inc. American Express Insurance Secretary Agency of Arizona Inc. American Express Insurance Secretary Agency of Idaho Inc. American Express Insurance Secretary Agency of Maryland Inc. American Express Insurance Secretary Agency of Massachusetts Inc. American Express Insurance Secretary Agency of Nevada Inc. American Express Insurance Secretary Agency of New Mexico Inc. American Express Insurance Secretary Agency of Oklahoma Inc. American Express Insurance Secretary Agency of Wyoming Inc. American Partners Life Secretary Insurance Company Ameriprise Financial Inc. Secretary Ameriprise Financial Secretary Services Inc. Ameriprise Trust Company Secretary IDS Cable Corporation Secretary IDS Cable II Corporation Secretary IDS Capital Holdings Inc. Secretary IDS Life Insurance Company Secretary IDS Life Insurance Company Secretary of New York IDS Management Corporation Secretary IDS Realty Corporation Secretary IDS REO 1 LLC Secretary IDS REO 2 LLC Secretary Investors Syndicate Secretary Development Corporation RiverSource Distributors Inc. Secretary RiverSource Service Corporation Secretary RiverSource Tax Advantaged Secretary Investments Inc. Thomas W. Murphy American Centurion Life Vice President - Investments Vice President and Senior Assurance Company Sector Manager American Enterprise Life Vice President - Investments Insurance Company American Partners Life Vice President - Investments Insurance Company Ameriprise Certificate Company Vice President - Investments Ameriprise Insurance Company Vice President - Investments AMEX Assurance Company Vice President - Investments IDS Life Insurance Company Vice President - Investments IDS Life Insurance Company Vice President - Investments of New York IDS Property Casualty Vice President - Investments Insurance Company Patrick T. Olk None None Vice President Benji Orr Advisory Capital Partners LLC Deputy Anti-Money Laundering Deputy Anti-Money Officer Laundering Officer Advisory Capital Strategies Group Deputy Anti-Money Laundering Inc. Officer Advisory Convertible Arbitrage Deputy Anti-Money Laundering LLC Officer Advisory Select LLC Deputy Anti-Money Laundering Officer American Enterprise Investment Deputy Anti-Money Laundering Services Inc Officer American Enterprise Life Deputy Anti-Money Laundering Insurance Company Officer American Enterprise REO 1 LLC Deputy Anti-Money Laundering Officer American Express Asset Management Deputy Anti-Money Laundering International Inc. Officer American Express Insurance Agency Deputy Anti-Money Laundering of Alabama Inc. Officer American Express Insurance Agency Deputy Anti-Money Laundering of Arizona Inc. Officer American Express Insurance Agency Deputy Anti-Money Laundering of Idaho Inc. Officer American Express Insurance Agency Deputy Anti-Money Laundering of Maryland Inc. Officer American Express Insurance Agency Deputy Anti-Money Laundering of Massachusetts Inc. Officer American Express Insurance Agency Deputy Anti-Money Laundering of Nevada Inc. Officer American Express Insurance Agency Deputy Anti-Money Laundering of New Mexico Inc. Officer American Express Insurance Agency Deputy Anti-Money Laundering of Oklahoma Inc. Officer American Express Insurance Agency Deputy Anti-Money Laundering of Texas Inc. Officer American Express Insurance Agency Deputy Anti-Money Laundering of Wyoming Inc. Officer American Partners Life Insurance Deputy Anti-Money Laundering Company Officer Ameriprise Auto & Home Insurance Deputy Anti-Money Laundering Agency Inc. Officer Ameriprise Certificate Company Deputy Anti-Money Laundering Officer Ameriprise Financial Inc. Deputy Anti-Money Laundering Officer Ameriprise Financial Services, Deputy Anti-Money Laundering Inc. Officer Boston Equity General Partner LLC Deputy Anti-Money Laundering Officer IDS Capital Holdings Inc. Deputy Anti-Money Laundering Officer IDS Life Insurance Company Deputy Anti-Money Laundering Officer IDS Management Corporation Deputy Anti-Money Laundering Officer RiverSource Distributors Inc. Deputy Anti-Money Laundering Officer RiverSource Service Corporation Deputy Anti-Money Laundering Officer Jennifer L. Ponce De Leon None None Vice President and Senior Sector Manager High Yield Warren E. Spitz None None Vice President and Senior Portfolio Manager Nainoor C. "Nick" Thakore Advisory Capital Strategies Vice President Vice President and Senior Group, Inc. Portfolio Manager Boston Equity General Vice President Partner LLC William F. "Ted" Truscott Advisory Capital Strategies Director President, Chairman of the Group Inc. Board and Chief Investment Officer American Express Asset Director Management International, Inc. Ameriprise Certificate Company Director, President and Chief Executive Officer Ameriprise Financial Inc. President - U.S. Asset Management and Chief Investment Officer Ameriprise Financial Senior Vice President and Services Inc. Chief Investment Officer IDS Capital Holdings Inc. Director and President Kenwood Capital Management LLC Manager RiverSource Distributors, Inc. Director Threadneedle Asset Management Director Holdings LTD * Unless otherwise noted, address is 70100 Ameriprise Financial Center, Minneapolis, MN 55474.
Item 27. Principal Underwriters. (a) Ameriprise Financial Services, Inc. and RiverSource Distributors Inc. act as principal underwriters for the following investment companies: AXP Stock Series, Inc.; RiverSource California Tax-Exempt Trust; RiverSource Bond Series, Inc.; RiverSource Dimensions Series, Inc.; RiverSource Diversified Income Series, Inc.; RiverSource Equity Series, Inc.; RiverSource Global Series, Inc.; RiverSource Government Income Series, Inc.; RiverSource High Yield Income Series, Inc.; RiverSource Income Series, Inc.; RiverSource International Managers Series, Inc.; RiverSource International Series, Inc.; RiverSource Investment Series, Inc.; RiverSource Large Cap Series, Inc.; RiverSource Managers Series, Inc.; RiverSource Market Advantage Series, Inc.; RiverSource Money Market Series, Inc.; RiverSource Retirement Series Trust; RiverSource Sector Series, Inc.; RiverSource Selected Series, Inc.; RiverSource Special Tax-Exempt Series Trust; RiverSource Strategic Allocation Series; Inc., RiverSource Strategy Series, Inc.; RiverSource Tax-Exempt Income Series, Inc.; RiverSource Tax-Exempt Money Market Series, Inc.; RiverSource Tax-Exempt Series, Inc.; Ameriprise Certificate Company. (b) As to each director, officer or partner of the principal underwriter: Name and Principal Position and Offices with Offices with Registrant Business Address(1) Underwriters Neysa M. Alecu Anti-Money Laundering Officer(2),(3) Anti-Money Laundering Officer Gumer C. Alvero Senior Vice President - Annuities(2) None Director(3) Ward D. Armstrong Senior Vice President - None Retirement Services and Asset Management Group(2) None(3) John M. Baker Vice President - Chief None Client Service Officer(2) None(3) Timothy V. Bechtold Senior Vice President - None Life and Health Insurance(2) Director(3) Arthur H. Berman Senior Vice President and Treasurer(2) None None(3) Walter S. Berman Director(2) Treasurer None(3) Leslie H. Bodell Vice President - Technologies I(2) None None(3) Rob Bohli Group Vice President - None 10375 Richmond Avenue #600 South Texas(2) Houston, TX 77042 None(3) Walter K. Booker Group Vice President - None 61 South Paramus Road New Jersey(2) Mack-Cali Office Center IV, None(3) 3rd Floor Paramus, NJ 07652 Bruce J. Bordelon Group Vice President - None 1333 N. California Blvd., Northern California(2) Suite 200 None(3) Walnut Creek, CA 94596 Randy L. Boser Vice President - Mutual Fund None Business Development(2) None(3) Richard N. Bush Senior Vice President - None Corporate Tax(2) None(3) Kenneth J. Ciak Vice President and None IDS Property Casualty General Manager - IDS 1400 Lombardi Avenue Property Casualty(2) Green Bay, WI 54304 None(3) Paul A. Connolly Vice President - RL HR/US Retail(2) None None(3) James M. Cracchiolo Director and Chairman of None the Board(2) None(3) Scott M. DiGiammarino Group Vice President - None Suite 500, 8045 Leesburg Washington D.C./Baltimore(2) Pike None(3) Vienna, VA 22182 Paul James Dolan Vice President - CAO Product Sales(2) None Chief Operating Officer and Chief Administrative Officer(3) William J. Emptage Vice President - Strategic Planning(2) None None(3) Denise G. Ferguson Vice President - Government Affairs(2) None None(3) Benjamin R. Field Vice President - Finance None Education and Planning Services(2) None(3) Giunero Floro Vice President - Creative None Services(2) None(3) Terrence J. Flynn Vice President - Brokerage & None Clearing Operations(2) None(3) Jeffrey P. Fox Vice President - Investment Treasurer Accounting(2) Chief Financial Officer and Treasurer(3) Laura C. Gagnon Vice President - Investor Relations(2) None None(3) Peter A. Gallus Vice President - CAO - Ameriprise None Financial Services Investment Management(2) None(3) Gary W. Gassmann Group Vice President - None 2677 Central Park Boulevard Detroit Metro(2) Suite 350 None(3) Southfield, MN 48076 John C. Greiber Group Vice President - None Minnesota/Iowa(2) None(3) Martin T. Griffin Vice President and National Sales None Manager External Channel(2) President - Outside Distribution(3) Steven Guida Vice President - None New Business and Service(2) None(3) Teresa A. Hanratty Senior Vice President - None Suites 6&7 Field Management(2) 169 South River Road None(3) Bedford, NH 03110 Janis K. Heaney Vice President - None Incentive Management(2) None(3) Brian M. Heath Director, Chief Executive Officer None Suite 150 and President(2) 801 E. Campbell Road None(3) Richardson, TX 75081 Jon E. Hjelm Group Vice President - None 655 Metro Place South Ohio Valley(2) Suite 570 None(3) Dublin, OH 43017 David X. Hockenberry Group Vice President - None 830 Crescent Centre Drive MidSouth(2) Suite 490 None(3) Franklin, TN 37067-7217 Kelli A. Hunter Executive Vice President - None Human Resources(2) None(3) Debra A. Hutchinson Vice President - Technologies I(2) None None(3) Theodore M. Jenkin Group Vice President - None 6000 Freedom Square Drive Steel Cities(2) Suite 300 None(3) Cleveland, OH 44131 James M. Jensen Vice President - None Compensation and Licensing Services(2) None(3) Gregory C. Johnson Group Vice President - None 4 Atrium Drive, #100 Upstate New York/Vermont(2) Albany, NY 12205 None(3) Jody M. Johnson Group Vice President - None Twin Cities Metro(2) None(3) Nancy E. Jones Vice President - Advisor None Marketing(2) None(3) William A. Jones Vice President - Technologies III(2) None None(3) John C. Junek Senior Vice President and None General Counsel(2) None(3) Michelle M. Keeley Executive Vice President - Vice President - Investments Equity and Fixed Income(2) None(3) Raymond G. Kelly Group Vice President - None Suite 250 Northern Texas(2) 801 East Campbell Road None(3) Richardson, TX 75081 Lori J. Larson Vice President - Advisor None Field Force Growth and Retention(2) None(3) Daniel E. Laufenberg Vice President - Chief None U.S. Economist(2) None(3) Jane W. Lee Vice President - General None Manager Platinum Active Financial Services(2) None(3) Catherine M. Libbe Vice President - Marketing None & Product Retirement Services(2) None(3) Kurt W. Lofgren Vice President and Chief Compliance Officer - U.S. Retail Distribution(2) None(3) Diane D. Lyngstad Chief Financial Officer and None Vice President - Comp and Licensing Services(2) None(3) Timothy J. Masek Vice President - None Fixed Income Research(2) None(3) Frank A. McCarthy Vice President and General Manager - None External Products Group(2) None(3) Brian J. McGrane Vice President and Lead Financial Vice President and Officer - Finance(2) Chief Financial Officer None(3) Dean O. McGill Group Vice President - None 11835 W. Olympic Blvd Los Angeles Metro(2) Suite 900 East None(3) Los Angeles, CA 90064 Jeffrey McGregor Vice President and National None Sales Manager for Distribution(2) President - Inside Distribution(3) Sarah M. McKenzie Senior Vice President - Managed and None Brokerage Products (BMP)(2) None(3) Penny J. Meier Vice President - Business None Transformation/Six Sigma(2) None(3) Thomas R. Moore Secretary(2),(3) Secretary Rebecca A. Nash Vice President - Service None Operations(2) None(3) Thomas V. Nicolosi Group Vice President - None Suite 220 New York Metro Area(2) 500 Mamaroneck Ave. None(3) Harrison, NY 10528 Gregory A. Nordmeyer Vice President and General Manager - External Products Group(2) None None(3) Patrick H. O'Connell Group Vice President - None Commerce Center One Southern New England(2) 333 East River None(3) Hartford, CT 06108-4200 Geoffery Oprandy Group Vice President - Southwest(2) None 11811 N. Tatum Blvd. Suite 1030 None(3) Phoenix, AZ 85028 Benji Orr Deputy Anti-Money Laundering Deputy Anti-Money Laundering Officer(2),(3) Officer Douglas J. Parish General Auditor(2) None None(3) Kristi L. Petersen Vice President - One Account None and Cash(2) None(3) Scott R. Plummer None(2) None Chief Counsel(3) John G. Poole Group Vice President - None 14755 North Outer Forty Road Gateway/Springfield(2) Suite 500 None(3) Chesterfield, MO 63017 Larry M. Post Group Vice President - None 2 Constitution Plaza New England(2) Charlestown, MA 02129 None(3) Michael J. Rearden Group Vice President - None 1800 S. Pine Island Road, Suite 510 Southern Florida(2) Plantation, FL 33324 None(3) Ralph D. Richardson III Group Vice President - None Suite 100 Carolinas(2) 5511 Capital Center Drive None(3) Raleigh, NC 27606 Mark A. Riordan Senior Vice President and None Chief Financial Officer(2) None(3) Julie Ruether None(2) None Chief Compliance Officer(3) Mark E. Schwarzmann None(2) None Director, President and Chief Executive Officer(3) Kim M. Sharan Executive Vice President and Chief Marketing Officer(2) None(3) Jacqueline M. Sinjem Vice President - Plan None Sponsor Services(2) None(3) Martin S. Solhaug Vice President - International None Comp and Benefits(2) None(3) Albert L. Soule Group Vice President - None 6925 Union Park Center Western Frontier(2) Suite 200 None(3) Midvale, UT 84047 Bridget M. Sperl Senior Vice President - None Client Service Organization(2) None(3) Kathy Stalwick Vice President(2) None None(3) Paul J. Stanislaw Group Vice President - None Suite 1100 Southern California/Hawaii(2) Two Park Plaza None(3) Irvine, CA 92614 Lisa A. Steffes Vice President - None Marketing Officer Development(2) None(3) David K. Stewart Vice President and Controller(2) Vice President, Controller None(3) and Chief Accounting Officer Jeffrey J. Stremcha Vice President - Technologies I(2) None None(3) John T. Sweeney Vice President - Internal Reporting(2) None None(3) Joseph E. Sweeney Senior Vice President, None General Manager - U.S. Brokerage and Membership Banking(2) None(3) Craig P. Taucher Group Vice President - None Suite 150 Georgia/North Florida(2) 4190 Belfort Rd. None(3) Jackonville, FL 32216 Neil G. Taylor Group Vice President - None 601 108th Ave North East Pacific Northwest(2) Suite 1800 None(3) Bellevue, WA 98004-5902 William F. "Ted" Truscott Senior Vice President and Board member and Chief Investment Officer(2) Vice President Director(3) George F. Tsafaridis Vice President - Quality & None Service Support(2) None(3) Janet M. Vandenbark Group Vice President - None 3951 Westerre Parkway, Suite 250 Virginia(2) Richmond, VA 23233 None(3) Ramanathan Venkataramanan Vice President - Technologies III(2) None None(3) Peter S. Velardi Senior Vice President - None Field Management(2) None(3) Andrew O. Washburn Vice President - None Mutual Fund Marketing(2) None(3) Donald F. Weaver Group Vice President - None 3500 Market Street, Eastern Pennsylvania/ Suite 200 Delaware(2) Camp Hill, PA 17011 None(3) Phil Wentzel Vice President - Finance(2) None None(3) Robert K. Whalen Group Vice President - None 939 West North Ave Chicago Metro(2) Chicago, IL 60606 None(3) Jeffrey A. Williams Senior Vice President - None Cross-Sell/Strategic Management(2) None(3) William J. Williams Senior Vice President - None Field Management(2) None(3) Dianne L. Wilson Vice President - Insurance None Operations(2) None(3) Gayle W. Winfree Group Vice President - None 1 Galleria Blvd. Suite 1900 Delta States(2) Metairie, LA 70001 None(3) Michael R. Woodward Senior Vice President - None 32 Ellicott St Field Management(2) Suite 100 None(3) Batavia, NY 14020 John R. Woerner Senior Vice President - Strategic None Planning and Business Development(2) None(3) (1) Business address is: 70100 Ameriprise Financial Center, Minneapolis, MN 55474 unless otherwise noted. (2) Position and Offices with Ameriprise Financial Services, Inc. (3) Position and Offices with RiverSource Distributors Inc.
Item 27 (c). Not Applicable. Item 28. Location of Accounts and Records Ameriprise Financial, Inc. 70100 Ameriprise Financial Center Minneapolis, MN 55474 Item 29. Management Services Not Applicable. Item 30. Undertakings Not Applicable. SIGNATURES Pursuant to the requirements of the Securities Act and the Investment Company Act, the Registrant, RIVERSOURCE MONEY MARKET SERIES, INC., certifies that it meets all of the requirements for effectiveness of this Amendment to its Registration Statement under Rule 485(b) and has duly caused this Amendment to its Registration Statement to be signed on its behalf by the undersigned, duly authorized, in the City of Minneapolis, and State of Minnesota on the 17th day of Nov., 2006. RIVERSOURCE MONEY MARKET SERIES, INC. By /s/ Patrick T. Bannigan ----------------------------- Patrick T. Bannigan President By /s/ Jeffrey P. Fox ----------------------------- Jeffrey P. Fox Treasurer Pursuant to the requirements of the Securities Act, this Amendment to the Registration Statement has been signed below by the following persons in the capacities indicated on the 17th day of Nov., 2006. Signature Capacity /s/ Arne H. Carlson* Chair of the Board - --------------------------------- Arne H. Carlson /s/ Kathleen A. Blatz* Director - --------------------------------- Kathleen A. Blatz /s/ Patricia M. Flynn* Director - --------------------------------- Patricia M. Flynn /s/ Anne P. Jones* Director - --------------------------------- Anne P. Jones /s/ Jeffrey Laikind* Director - --------------------------------- Jeffrey Laikind /s/ Stephen R. Lewis, Jr.* Director - --------------------------------- Stephen R. Lewis, Jr. /s/ Catherine James Paglia* Director - --------------------------------- Catherine James Paglia /s/ Vikki L. Pryor* Director - --------------------------------- Vikki L. Pryor /s/ Alison Taunton-Rigby* Director - --------------------------------- Alison Taunton-Rigby /s/ William F. Truscott* Director - --------------------------------- William F. Truscott * Signed pursuant to Directors Power of Attorney, dated April 12, 2006, filed electronically on or about Sept. 27, 2006 as Exhibit (q)(1) to Registrant's Post-Effective Amendment No. 61 to Registration Statement No. 2-54516, by: /s/ Arne H. Carlson - --------------------------------- Arne H. Carlson Contents of this Post-Effective Amendment No. 62 to Registration Statement No. 2-54516 This Post-Effective Amendment comprises the following papers and documents: The facing sheet. Part A and Part B. Classes R5, W and Y Supplement for RiverSource Cash Management Fund prospectus and Statement of Additional Information. Part C. Other information. The signatures. EX-99 2 exindex.txt EXHIBIT INDEX EXHIBIT INDEX (i) Opinion and consent of counsel as to the legality of the securities being registered. (j) Consent of Independent Registered Public Accounting Firm. EX-99.I LEGAL OPININ 3 ex99pi.txt OPINION AND CONSENT OF COUNSEL November 17, 2006 RiverSource Money Market Series, Inc. 50606 Ameriprise Financial Center Minneapolis, MN 55474 Gentlemen: I have examined the Articles of Incorporation and the By-Laws of RiverSource Money Market Series, Inc. (the Company) and all necessary certificates, permits, minute books, documents and records of the Company, and the applicable statutes of the State of Minnesota, and it is my opinion that the shares sold in accordance with applicable federal and state securities laws will be legally issued, fully paid, and nonassessable. This opinion may be used in connection with the Post-Effective Amendment. Sincerely, /s/ Scott R. Plummer - --------------------------------- Scott R. Plummer General Counsel RiverSource Funds EX-99.J OTHER OPININ 4 ex99pj.txt CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Consent of Independent Registered Public Accounting Firm - ---------------------------------------------------------------------- The board and shareholders RiverSource Money Market Series, Inc. RiverSource Cash Management Fund We consent to the use of our report and to the references to our Firm under the headings "Financial Highlights" in Part A and "Independent Registered Public Accounting Firm" in Part B of the Registration Statement incorporated herein by reference. /s/ KPMG LLP - ----------------- KPMG LLP Minneapolis, Minnesota November 14, 2006 -----END PRIVACY-ENHANCED MESSAGE-----