-----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, QoQqoL8BiGgSZgeURSiN/XGhuXTgxFZGAYcI2uCcuiK9IeBMKJu5z0CEFJ/PM+5C IUgERkjqPAD9NZRlyKgvNQ== 0001068800-07-000855.txt : 20070328 0001068800-07-000855.hdr.sgml : 20070328 20070328164053 ACCESSION NUMBER: 0001068800-07-000855 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20070131 FILED AS OF DATE: 20070328 DATE AS OF CHANGE: 20070328 EFFECTIVENESS DATE: 20070328 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 SEC ACT: 1940 Act SEC FILE NUMBER: 811-02591 FILM NUMBER: 07724676 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 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 NSAR-A 1 answer.fil RIVERSOURCE MONEY MARKET SERIES, INC. PAGE 1 000 A000000 01/31/2007 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 6126711080 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 AMERIPRISE FINANCIAL SERVICES, INC. 011 B00AA01 8-16791 011 C01AA01 MINNEAPOLIS 011 C02AA01 MN 011 C03AA01 55474 011 A00AA02 RIVERSOURCE DISTRIBUTORS, INC. 011 B00AA02 8-67196 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 KPMG LLP 013 B01AA01 MINNEAPOLIS 013 B02AA01 MN 013 B03AA01 55402 013 B04AA01 3900 015 A00AA01 AMERIPRISE TRUST COMPANY 015 B00AA01 C 015 C01AA01 MINNEAPOLIS 015 C02AA01 MN 015 C03AA01 55474 015 E01AA01 X 018 00AA00 Y 019 A00AA00 Y 019 B00AA00 100 019 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 BANC OF AMERICA SECURITIES LLC 022 B000001 56-2058405 022 C000001 1798684 022 D000001 0 022 A000002 MERRILL LYNCH, PIERCE, FENNER & SMITH INC. 022 B000002 13-5674085 022 C000002 1612175 022 D000002 0 022 A000003 CITIGROUP GLOBAL MARKETS, INC. 022 B000003 11-2418191 022 C000003 1205738 022 D000003 0 022 A000004 J.P. MORGAN SECURITIES INC. 022 B000004 13-3224016 022 C000004 991162 022 D000004 0 022 A000005 LEHMAN BROTHERS INC. PAGE 3 022 B000005 13-2518466 022 C000005 978271 022 D000005 0 022 A000006 MORGAN STANLEY 022 B000006 13-2655998 022 C000006 990260 022 D000006 26011 022 A000007 DEUTSCHE BANK SECURITIES INC. 022 B000007 13-2730828 022 C000007 777398 022 D000007 0 022 A000008 GOLDMAN, SACHS & CO. 022 B000008 13-5108880 022 C000008 738264 022 D000008 0 022 A000009 CREDIT SUISSE SECURITIES (USA) L.L.C. 022 B000009 13-5659485 022 C000009 416528 022 D000009 0 022 A000010 RBC DOMINION SECURITIES LLC 022 B000010 13-5033225 022 C000010 237359 022 D000010 0 023 C000000 10040965 023 D000000 26011 026 A000000 N 026 B000000 Y 026 C000000 N 026 D000000 Y 026 E000000 Y 026 F000000 N 026 G010000 N 026 G020000 N 026 H000000 N 027 000000 Y 029 00AA00 N 030 A00AA00 0 030 B00AA00 0.00 030 C00AA00 0.00 031 A00AA00 0 031 B00AA00 0 032 00AA00 0 033 00AA00 0 077 A000000 Y 077 B000000 N 077 C000000 N 077 D000000 Y 077 E000000 Y 077 F000000 N 077 G000000 N 077 H000000 N PAGE 4 077 I000000 Y 077 J000000 N 077 K000000 N 077 L000000 N 077 M000000 N 077 N000000 N 077 O000000 N 077 P000000 N 077 Q010000 N 077 Q020000 N 077 Q030000 N 078 000000 N 080 C00AA00 0 081 B00AA00 0 082 B00AA00 0 083 B00AA00 0 084 B00AA00 0 086 A010000 0 086 A020000 0 086 B010000 0 086 B020000 0 086 C010000 0 086 C020000 0 086 D010000 0 086 D020000 0 086 E010000 0 086 E020000 0 086 F010000 0 086 F020000 0 024 000100 Y 025 A000101 BEAR STEARNS COMPANIES 025 B000101 13-3299429 025 C000101 D 025 D000101 139883 025 A000102 CREDIT SUISSE FIRST BOSTON NY 025 B000102 13-5659485 025 C000102 D 025 D000102 62000 025 A000103 GOLDMAN SACHS GROUP 025 B000103 13-5108880 025 C000103 D 025 D000103 25000 025 A000104 CITIGROUP FUNDING 025 B000104 42-1658283 025 C000104 D 025 D000104 39719 025 A000105 LEHMAN BROTHERS HOLDINGS 025 B000105 13-2518466 025 C000105 D 025 D000105 67000 025 A000106 MERRILL LYNCH & CO. PAGE 5 025 B000106 13-5674085 025 C000106 D 025 D000106 55000 025 A000107 CREDIT SUISSE NY 025 B000107 13-5659485 025 C000107 D 025 D000107 34000 025 A000108 MORGAN STANLEY 025 B000108 13-2655998 025 C000108 D 025 D000108 174854 028 A010100 615043 028 A020100 16862 028 A030100 0 028 A040100 478934 028 B010100 524821 028 B020100 14805 028 B030100 0 028 B040100 458500 028 C010100 608763 028 C020100 16458 028 C030100 0 028 C040100 526416 028 D010100 533021 028 D020100 17120 028 D030100 0 028 D040100 492406 028 E010100 565998 028 E020100 15785 028 E030100 0 028 E040100 520644 028 F010100 591276 028 F020100 14359 028 F030100 0 028 F040100 577229 028 G010100 3438922 028 G020100 95389 028 G030100 0 028 G040100 3054129 028 H000100 0 034 000100 Y 035 000100 238 036 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 PAGE 6 042 C000100 0 042 D000100 0 042 E000100 0 042 F000100 0 042 G000100 0 042 H000100 100 043 000100 2408 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 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 PAGE 7 054 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 062 B000100 0.0 062 C000100 0.0 062 D000100 0.0 062 E000100 0.0 062 F000100 8.4 062 G000100 0.0 062 H000100 0.0 062 I000100 90.9 062 J000100 0.0 062 K000100 0.0 062 L000100 0.0 062 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 62 063 B000100 0.0 064 A000100 N 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 PAGE 8 070 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 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 112933 072 C000100 0 072 D000100 0 072 E000100 0 072 F000100 6176 072 G000100 1044 072 H000100 0 072 I000100 4890 072 J000100 120 072 K000100 646 072 L000100 0 072 M000100 34 072 N000100 368 072 O000100 0 072 P000100 0 072 Q000100 0 072 R000100 20 072 S000100 6 072 T000100 2408 072 U000100 0 PAGE 9 072 V000100 0 072 W000100 88 072 X000100 15800 072 Y000100 777 072 Z000100 97910 072AA000100 11 072BB000100 0 072CC010100 0 072CC020100 0 072DD010100 94164 072DD020100 5515 072EE000100 0 073 A010100 0.0000 073 A020100 0.0000 073 B000100 0.0000 073 C000100 0.0000 074 A000100 21606 074 B000100 0 074 C000100 4391245 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 15477 074 M000100 0 074 N000100 4428328 074 O000100 0 074 P000100 73 074 Q000100 0 074 R010100 0 074 R020100 0 074 R030100 0 074 R040100 5128 074 S000100 0 074 T000100 4423127 074 U010100 4177429 074 U020100 245763 074 V010100 0.00 074 V020100 0.00 074 W000100 0.0000 074 X000100 399859 074 Y000100 0 075 A000100 4238923 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: March 22, 2007 Name of Registrant, Depositor, or Trustee: - -------------------------------------------------------------------------------- By (Name and Title): /s/ Jeffrey P. Fox ------------------ Jeffrey P. Fox -- Treasurer and Principal Financial Officer - -------------------------------------------------------------------------------- Witness (Name and Title): /s/ Paul D. Pearson ------------------- Paul D. Pearson -- Assistant Treasurer RIVERSOURCE MONEY MARKET SERIES, INC. EX-99.77D 2 money-market_ex99p77d.txt POLICIES WITH RESPECT TO SECURITY INVESTMENTS FOR RIVERSOURCE MONEY MARKET SERIES, INC.: EXHIBIT 77D For RiverSource Cash Management Fund: At a Board meeting held on September 13-14, 2006, the non-fundamental investment policy that limits investments in securities of investment companies was eliminated. EX-99.77E 3 money-market_ex99p77e.txt LEGAL PROCEEDINGS 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-99.77I 4 money-market_ex99p77i.txt TERMS OF NEW OR AMENDED SECURITIES EXHIBIT 77I For RiverSource Cash Management Fund - Class R5, Class W and Class Y: Class R5 and Class Y are offered exclusively to certain institutional investors at net asset value without an initial sales charge or contingent deferred sales charge on redemption. These shares do not convert to any other class of shares. Class Y has an annual plan administration services fee. 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 W shares are offered exclusively to investors in managed account programs at net asset value without an initial sales charge or contingent deferred sales charge on redemption. Class W shares have an annual distribution and shareholder servicing (12b-1) fee and do not convert to any other class of shares. Class W shares are available to investors purchasing through authorized investment programs managed by investment professionals, including discretionary managed account programs. -----END PRIVACY-ENHANCED MESSAGE-----