-----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, BDnctMDE7Vqb9yoALX6WoqdvwWsABza9B0MlwhfvWikZeKb1RTUiAjcOQR5UZ97t NS/dIHBtE0oZ1YdEfU85xw== 0000950124-08-000374.txt : 20080129 0000950124-08-000374.hdr.sgml : 20080129 20080129103545 ACCESSION NUMBER: 0000950124-08-000374 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 5 CONFORMED PERIOD OF REPORT: 20071130 FILED AS OF DATE: 20080129 DATE AS OF CHANGE: 20080129 EFFECTIVENESS DATE: 20080129 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RIVERSOURCE INCOME SERIES, INC. CENTRAL INDEX KEY: 0000052407 IRS NUMBER: 410839316 STATE OF INCORPORATION: MN FISCAL YEAR END: 0531 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-00499 FILM NUMBER: 08556327 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 INCOME SERIES INC DATE OF NAME CHANGE: 20021118 FORMER COMPANY: FORMER CONFORMED NAME: AXP SELECTIVE FUND INC /MN/ DATE OF NAME CHANGE: 20000829 FORMER COMPANY: FORMER CONFORMED NAME: IDS SELECTIVE FUND INC DATE OF NAME CHANGE: 19920703 0000052407 S000003435 RiverSource Income Builder Basic Income Fund C000009499 RiverSource Income Builder Basic Income Fund Class A RBBAX C000009500 RiverSource Income Builder Basic Income Fund Class B RBBBX C000009501 RiverSource Income Builder Basic Income Fund Class C RBBCX C000042931 RiverSource Income Builder Basic Income Fund Class R4 0000052407 S000003436 RiverSource Income Builder Moderate Income Fund C000009503 RiverSource Income Builder Moderate Income Fund Class A RSMAX C000009504 RiverSource Income Builder Moderate Income Fund Class B RSMBX C000009505 RiverSource Income Builder Moderate Income Fund Class C RSMCX C000042932 RiverSource Income Builder Moderate Income Fund Class R4 0000052407 S000003437 RiverSource Income Builder Enhanced Income Fund C000009507 RiverSource Income Builder Enhanced Income Fund Class A RSBAX C000009508 RiverSource Income Builder Enhanced Income Fund Class B REIVX C000009509 RiverSource Income Builder Enhanced Income Fund Class C RIECX C000042933 RiverSource Income Builder Enhanced Income Fund Class R4 NSAR-A 1 answer.fil SEMI-ANNUAL REPORT PAGE 1 000 A000000 11/30/2007 000 C000000 0000052407 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 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N 066 E000200 N 066 F000200 Y 066 G000200 N 067 000200 N 068 A000200 N 068 B000200 N 069 000200 N 070 A010200 N 070 A020200 N 070 B010200 N 070 B020200 N 070 C010200 N 070 C020200 N 070 D010200 N 070 D020200 N 070 E010200 N 070 E020200 N 070 F010200 N 070 F020200 N 070 G010200 N 070 G020200 N 070 H010200 N 070 H020200 N 070 I010200 N 070 I020200 N PAGE 9 070 J010200 Y 070 J020200 N 070 K010200 Y 070 K020200 Y 070 L010200 N 070 L020200 N 070 M010200 N 070 M020200 N 070 N010200 Y 070 N020200 N 070 O010200 Y 070 O020200 N 070 P010200 Y 070 P020200 N 070 Q010200 Y 070 Q020200 N 070 R010200 Y 070 R020200 N 071 A000200 105554 071 B000200 34984 071 C000200 273859 071 D000200 13 072 A000200 6 072 B000200 5810 072 C000200 0 072 D000200 0 072 E000200 0 072 F000200 0 072 G000200 27 072 H000200 0 072 I000200 99 072 J000200 1 072 K000200 0 072 L000200 17 072 M000200 0 072 N000200 41 072 O000200 0 072 P000200 0 072 Q000200 0 072 R000200 10 072 S000200 0 072 T000200 519 072 U000200 0 072 V000200 0 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D020300 1272 028 D030300 0 028 D040300 6841 028 E010300 13012 028 E020300 1469 028 E030300 0 028 E040300 8800 028 F010300 12364 028 F020300 1947 028 F030300 0 028 F040300 8593 028 G010300 92750 028 G020300 8027 028 G030300 0 028 G040300 48100 028 H000300 15304 029 000300 Y 030 A000300 685 030 B000300 4.75 030 C000300 0.00 031 A000300 281 031 B000300 0 032 000300 1 033 000300 403 034 000300 Y 035 000300 32 036 A000300 N 036 B000300 0 042 A000300 0 042 B000300 0 042 C000300 0 042 D000300 0 042 E000300 0 042 F000300 0 042 G000300 0 042 H000300 100 043 000300 611 044 000300 0 049 000300 N 050 000300 N 051 000300 N 052 000300 N 053 A000300 Y 053 B000300 Y 053 C000300 N 055 A000300 N 055 B000300 N 056 000300 Y PAGE 12 057 000300 N 066 A000300 Y 066 B000300 N 066 C000300 N 066 D000300 N 066 E000300 N 066 F000300 Y 066 G000300 N 067 000300 N 068 A000300 N 068 B000300 N 069 000300 N 070 A010300 N 070 A020300 N 070 B010300 N 070 B020300 N 070 C010300 N 070 C020300 N 070 D010300 N 070 D020300 N 070 E010300 N 070 E020300 N 070 F010300 N 070 F020300 N 070 G010300 N 070 G020300 N 070 H010300 N 070 H020300 N 070 I010300 N 070 I020300 N 070 J010300 Y 070 J020300 N 070 K010300 Y 070 K020300 Y 070 L010300 N 070 L020300 N 070 M010300 N 070 M020300 N 070 N010300 Y 070 N020300 N 070 O010300 Y 070 O020300 N 070 P010300 Y 070 P020300 N 070 Q010300 Y 070 Q020300 N 070 R010300 Y 070 R020300 N 071 A000300 90559 071 B000300 40553 071 C000300 338030 PAGE 13 071 D000300 12 072 A000300 6 072 B000300 8322 072 C000300 0 072 D000300 0 072 E000300 0 072 F000300 0 072 G000300 34 072 H000300 0 072 I000300 137 072 J000300 1 072 K000300 24 072 L000300 0 072 M000300 0 072 N000300 78 072 O000300 0 072 P000300 0 072 Q000300 0 072 R000300 12 072 S000300 0 072 T000300 611 072 U000300 0 072 V000300 0 072 W000300 0 072 X000300 897 072 Y000300 0 072 Z000300 7425 072AA000300 0 072BB000300 51 072CC010300 0 072CC020300 13919 072DD010300 7976 072DD020300 1169 072EE000300 0 073 A010300 0.0000 073 A020300 0.0000 073 B000300 0.0000 073 C000300 0.0000 074 A000300 0 074 B000300 0 074 C000300 0 074 D000300 0 074 E000300 0 074 F000300 0 074 G000300 0 074 H000300 0 074 I000300 352378 074 J000300 0 074 K000300 0 074 L000300 1745 074 M000300 0 PAGE 14 074 N000300 354123 074 O000300 471 074 P000300 77 074 Q000300 0 074 R010300 0 074 R020300 0 074 R030300 0 074 R040300 554 074 S000300 0 074 T000300 353021 074 U010300 28555 074 U020300 4831 074 V010300 0.00 074 V020300 0.00 074 W000300 0.0000 074 X000300 13762 074 Y000300 0 075 A000300 0 075 B000300 338919 076 000300 0.00 028 A010400 39413 028 A020400 1747 028 A030400 0 028 A040400 10267 028 B010400 41313 028 B020400 1895 028 B030400 0 028 B040400 15485 028 C010400 30890 028 C020400 1970 028 C030400 0 028 C040400 14649 028 D010400 20320 028 D020400 2104 028 D030400 0 028 D040400 10100 028 E010400 26881 028 E020400 2618 028 E030400 0 028 E040400 10696 028 F010400 25895 028 F020400 3201 028 F030400 0 028 F040400 12518 028 G010400 184712 028 G020400 13535 028 G030400 0 028 G040400 73715 028 H000400 19164 029 000400 Y 030 A000400 1030 PAGE 15 030 B000400 4.75 030 C000400 0.00 031 A000400 340 031 B000400 0 032 000400 0 033 000400 690 034 000400 Y 035 000400 30 036 A000400 N 036 B000400 0 042 A000400 0 042 B000400 0 042 C000400 0 042 D000400 0 042 E000400 0 042 F000400 0 042 G000400 0 042 H000400 100 043 000400 1088 044 000400 0 049 000400 N 050 000400 N 051 000400 N 052 000400 N 053 A000400 Y 053 B000400 Y 053 C000400 N 055 A000400 N 055 B000400 N 056 000400 Y 057 000400 N 066 A000400 Y 066 B000400 N 066 C000400 N 066 D000400 N 066 E000400 N 066 F000400 Y 066 G000400 N 067 000400 N 068 A000400 N 068 B000400 N 069 000400 N 070 A010400 N 070 A020400 N 070 B010400 N 070 B020400 N 070 C010400 N 070 C020400 N 070 D010400 N 070 D020400 N 070 E010400 N PAGE 16 070 E020400 N 070 F010400 N 070 F020400 N 070 G010400 N 070 G020400 N 070 H010400 N 070 H020400 N 070 I010400 N 070 I020400 N 070 J010400 Y 070 J020400 N 070 K010400 Y 070 K020400 Y 070 L010400 N 070 L020400 N 070 M010400 N 070 M020400 N 070 N010400 Y 070 N020400 N 070 O010400 Y 070 O020400 N 070 P010400 Y 070 P020400 N 070 Q010400 Y 070 Q020400 N 070 R010400 Y 070 R020400 N 071 A000400 600114 071 B000400 182258 071 C000400 62241 071 D000400 10 072 A000400 6 072 B000400 13347 072 C000400 0 072 D000400 0 072 E000400 0 072 F000400 0 072 G000400 60 072 H000400 0 072 I000400 237 072 J000400 0 072 K000400 31 072 L000400 0 072 M000400 0 072 N000400 43 072 O000400 0 072 P000400 0 072 Q000400 0 072 R000400 9 072 S000400 0 072 T000400 1088 PAGE 17 072 U000400 0 072 V000400 0 072 W000400 1 072 X000400 1469 072 Y000400 0 072 Z000400 11878 072AA000400 0 072BB000400 1130 072CC010400 0 072CC020400 14418 072DD010400 13034 072DD020400 1914 072EE000400 0 073 A010400 0.0000 073 A020400 0.0000 073 B000400 0.0000 073 C000400 0.0000 074 A000400 0 074 B000400 0 074 C000400 0 074 D000400 0 074 E000400 0 074 F000400 0 074 G000400 0 074 H000400 0 074 I000400 647458 074 J000400 0 074 K000400 0 074 L000400 2482 074 M000400 0 074 N000400 649940 074 O000400 412 074 P000400 140 074 Q000400 0 074 R010400 0 074 R020400 0 074 R030400 0 074 R040400 628 074 S000400 0 074 T000400 648760 074 U010400 51928 074 U020400 9012 074 V010400 0.00 074 V020400 0.00 074 W000400 0.0000 074 X000400 24591 074 Y000400 0 075 A000400 0 075 B000400 601962 076 000400 0.00 PAGE 18 This report is signed on behalf of the registrant (or depositor or trustee). City of: Minneapolis State of: Minnesota Date: January 18, 2008 Name of Registrant, Depositor, or Trustee: RiverSource Income 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 INCOME SERIES, INC. EX-99.77D POLICIES 2 ex77d.txt POLICIES EXHIBIT 77D, POLICIES WITH RESPECT TO SECURITY INVESTMENT: For RiverSource Income Builder Basic Income Fund, RiverSource Income Builder Enhanced Income Fund and RiverSource Income Builder Moderate Income Fund: At a Board meeting held on July 10-11, 2007, the Board approved a resolution to eliminate the fund's nonfundamental policies regarding deposits on futures; buying on margin and selling short; investments in money market securities; investing in a company to control or manage it; and investing while borrowing. The existing nonfundamental policy on illiquid securities was revised to state, no more than 15% of the fund's net assets will be held in securities and other instruments that are illiquid. EX-99.77E LEGAL 3 ex77e.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-99.77K CHNG ACCNT 4 ex77k.txt CHANGES IN REGISTRANTS CERTIFYING ACCOUNTANT January 24, 2008 Exhibit to Item 77K Changes in Registrant's Certifying Accountant On April 13, 2007, KPMG LLP was dismissed as RiverSource Income Series, Inc. (the "Registrant") principal accountants. The Joint Audit Committee and the Board of Directors of the Registrant approved the dismissal of KPMG LLP on April 12, 2007. The audit reports of KPMG LLP on the Registrant's financial statements for RiverSource Income Builder Basic Income Fund, RiverSource Income Builder Enhanced Income Fund and RiverSource Income Builder Moderate Income Fund of and for the fiscal year ended May 31, 2007 and for the fiscal period from February 16, 2006 (when shares became publicly available) to May 31, 2006, did not contain an adverse opinion or a disclaimer of opinion, nor were such reports qualified or modified as to uncertainty, audit scope or accounting principles. During the Registrant's fiscal year ended May 31, 2007, and for the fiscal period from February 16, 2006 (when shares became publicly available) to May 31, 2006, and the subsequent interim period through April 13, 2007, there were no (i) disagreements with KPMG LLP on any matter of accounting principles or practices, financial statement disclosure, or auditing scope or procedure, which disagreements, if not resolved to the satisfaction of KPMG LLP, would have caused KPMG LLP to make reference in connection with their opinions to the subject matter of the disagreement; or (ii) reportable events pursuant to paragraph (v) of Item 304(a)(1) of Regulation S-K. The Registrant has requested KPMG LLP to furnish a letter addressed to the SEC stating whether or not it agrees with the above statements. A copy of that letter dated January 24, 2008, from KPMG LLP is filed as Exhibit 77Q(1) to this Form N-SAR. On April 12, 2007, the Board of Directors of the Registrant approved the engagement of Ernst & Young LLP (E&Y) as its independent auditors for the fiscal period ending January 31, 2008 (management of the Registrant elected to change the Registrant's fiscal year end from May 31 to January 31 effective January 31, 2008) to replace KPMG LLP. During the Registrant's fiscal year ended May 31, 2007 and for the fiscal period from February 16, 2006 (when shares became publicly available) to May 31, 2006 and the subsequent interim period preceding E&Y's appointment, neither the Registrant nor anyone on behalf of the Registrant consulted with E&Y on any matter regarding: (i) the application of accounting principles to a specified transaction, either completed or proposed, or the type of audit opinion that might be rendered on the Registrant's financial statements, and neither a written report was provided to the Registrant nor oral advice was provided that E&Y concluded was an important factor considered by the Registrant in reaching a decision as to the accounting, auditing or financial reporting issue; or (ii) either a disagreement or a reportable event, as defined in Item 304(a)(1)(iv) and (v) of Regulation S-K, respectively. EX-99.77Q1 OTHR EXHB 5 ex77q1.txt LETTER FROM KPMG LLP Exhibit to Item 77Q1 January 24, 2008 Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Ladies and Gentlemen: We were previously principal accountants for RiverSource Income Series, Inc. (the "Registrant"), and, under the date of July 20, 2007, we reported on the Registrant's financial statements for RiverSource Income Builder Basic Income Fund, RiverSource Income Builder Enhanced Income Fund and RiverSource Income Builder Moderate Income Fund as of and for the fiscal year ended May 31, 2007, and for the fiscal period from February 16, 2006 (when shares became publicly available) to May 31, 2006. On April 13, 2007, we were dismissed. We have read the Registrant's statements included under Sub-Item 77K of its Form N-SAR, dated on January 24, 2008, and we agree with such statements, except that we are not in a position to agree or disagree with the statement that (i) The Joint Audit Committee and the Board of Directors of the Registrant approved the dismissal of KPMG LLP on April 12, 2007, or (ii) the statements in the last paragraph. Very truly yours, /s/ KPMG LLP -----END PRIVACY-ENHANCED MESSAGE-----