-----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, S4mAgQVL6U6kMeup2jn0BjmsCFeh7PY3scmtq1Zg/pdvmnjK3arRxWs9UXeVhuYj 5MhjZ0b6MMt3N/Wj6LxHiQ== 0000950123-09-026142.txt : 20090728 0000950123-09-026142.hdr.sgml : 20090728 20090728122006 ACCESSION NUMBER: 0000950123-09-026142 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20090531 FILED AS OF DATE: 20090728 DATE AS OF CHANGE: 20090728 EFFECTIVENESS DATE: 20090728 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RIVERSOURCE GOVERNMENT INCOME SERIES INC CENTRAL INDEX KEY: 0000764802 IRS NUMBER: 412021315 STATE OF INCORPORATION: MN FISCAL YEAR END: 0531 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-04260 FILM NUMBER: 09966517 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: RIVERSOURCE GOVERNMENT INCOME SERIES, INC. DATE OF NAME CHANGE: 20060504 FORMER COMPANY: FORMER CONFORMED NAME: AXP GOVERNMENT INCOME SERIES INC DATE OF NAME CHANGE: 20021118 FORMER COMPANY: FORMER CONFORMED NAME: AXP FEDERAL INCOME FUND INC /MN/ DATE OF NAME CHANGE: 20000829 0000764802 S000003306 RiverSource Short Duration U.S. Government Fund C000008827 RiverSource Short Duration U.S. Government Fund Class I AGMIX C000008828 RiverSource Short Duration U.S. Government Fund Class A IFINX C000008829 RiverSource Short Duration U.S. Government Fund Class B ISHOX C000008830 RiverSource Short Duration U.S. Government Fund Class C AXFCX C000042928 RiverSource Short Duration U.S. Government Fund Class R4 IDFYX C000042929 RiverSource Short Duration U.S. Government Fund Class W RSDWX 0000764802 S000003307 RiverSource U.S. Government Mortgage Fund C000008832 RiverSource U.S. Government Mortgage Fund Class I RVGIX C000008834 RiverSource U.S. Government Mortgage Fund Class A AUGAX C000008835 RiverSource U.S. Government Mortgage Fund Class B AUGBX C000008836 RiverSource U.S. Government Mortgage Fund Class C AUGCX C000042930 RiverSource U.S. Government Mortgage Fund Class R4 RSGYX NSAR-B 1 answer.fil ANNUAL REPORT PAGE 1 000 B000000 05/31/2009 000 C000000 0000764802 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 GOVERNMENT INCOME SERIES, INC. 001 B000000 811-4260 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 2 007 C010100 1 007 C020100 RVS SHORT DURATION U.S. GOVERNMENT FUND 007 C030100 N 007 C010200 2 007 C020200 RVS U.S. GOVERNMENT MORTGAGE FUND 007 C030200 N 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 PAGE 2 011 A00AA02 RIVERSOURCE FUND DISTRIBUTORS, INC. 011 B00AA02 8-25845 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 018 00AA00 Y 019 A00AA00 Y 019 B00AA00 162 019 C00AA00 RIVERSORCE 020 A000001 J.P. 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C010102 NEW YORK 015 C020102 NY 015 C030102 10005 015 E040102 X 024 000100 Y 025 A000101 GOLDMAN SACHS GROUP 025 B000101 13-5108880 025 C000101 D 025 D000101 7801 025 A000102 JPMORGAN CHASE COMMERCIAL MTGE SECURITIES 025 B000102 13-3224016 025 C000102 D 025 D000102 7082 025 A000103 JPMORGAN CHASE & CO. 025 B000103 13-3224016 025 C000103 D 025 D000103 2681 025 A000104 MORGAN STANLEY 025 B000104 13-2655998 025 C000104 D 025 D000104 8340 025 A000105 MORGAN STANLEY MTGE LOAN TRUST 025 B000105 13-2655998 025 C000105 D 025 D000105 1137 025 D000106 0 025 D000107 0 025 D000108 0 028 A010100 21646 028 A020100 1451 028 A030100 0 028 A040100 63199 028 B010100 11095 028 B020100 965 028 B030100 0 028 B040100 32447 028 C010100 14792 028 C020100 767 028 C030100 0 028 C040100 26236 028 D010100 19823 PAGE 6 028 D020100 1538 028 D030100 0 028 D040100 34563 028 E010100 6447 028 E020100 1506 028 E030100 0 028 E040100 25402 028 F010100 8129 028 F020100 1504 028 F030100 0 028 F040100 28074 028 G010100 81932 028 G020100 7731 028 G030100 0 028 G040100 209921 028 H000100 8490 029 000100 Y 030 A000100 432 030 B000100 3.00 030 C000100 0.00 031 A000100 85 031 B000100 0 032 000100 12 033 000100 335 034 000100 Y 035 000100 98 036 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 2790 044 000100 0 045 000100 Y 046 000100 N 047 000100 Y 048 000100 0.000 048 A010100 1000000 048 A020100 0.480 048 B010100 1000000 048 B020100 0.455 PAGE 7 048 C010100 1000000 048 C020100 0.430 048 D010100 3000000 048 D020100 0.405 048 E010100 1500000 048 E020100 0.380 048 F010100 1500000 048 F020100 0.365 048 G010100 1000000 048 G020100 0.340 048 H010100 5000000 048 H020100 0.325 048 I010100 5000000 048 I020100 0.315 048 J010100 4000000 048 J020100 0.290 048 K010100 50000000 048 K020100 0.250 049 000100 N 050 000100 N 051 000100 N 052 000100 N 053 A000100 Y 053 B000100 Y 053 C000100 N 055 A000100 Y 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 0.0 062 G000100 0.0 062 H000100 0.0 062 I000100 0.0 062 J000100 0.0 062 K000100 0.0 062 L000100 18.2 062 M000100 13.5 062 N000100 74.7 062 O000100 0.0 062 P000100 9.8 062 Q000100 2.5 PAGE 8 062 R000100 0.0 063 A000100 0 063 B000100 13.2 064 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 Y 070 C020100 N 070 D010100 N 070 D020100 N 070 E010100 Y 070 E020100 Y 070 F010100 N 070 F020100 N 070 G010100 Y 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 Y 070 L010100 Y 070 L020100 N 070 M010100 N 070 M020100 N 070 N010100 Y 070 N020100 Y 070 O010100 Y 070 O020100 N 070 P010100 Y 070 P020100 N 070 Q010100 Y 070 Q020100 N 070 R010100 Y 070 R020100 N 071 A000100 1843940 071 B000100 1785408 071 C000100 658128 071 D000100 271 072 A000100 12 PAGE 9 072 B000100 29812 072 C000100 0 072 D000100 0 072 E000100 0 072 F000100 3666 072 G000100 521 072 H000100 0 072 I000100 1242 072 J000100 74 072 K000100 108 072 L000100 0 072 M000100 23 072 N000100 96 072 O000100 0 072 P000100 0 072 Q000100 0 072 R000100 36 072 S000100 17 072 T000100 2790 072 U000100 0 072 V000100 0 072 W000100 43 072 X000100 8616 072 Y000100 996 072 Z000100 22192 072AA000100 0 072BB000100 24011 072CC010100 4442 072CC020100 0 072DD010100 16331 072DD020100 5371 072EE000100 0 073 A010100 0.0000 073 A020100 0.0000 073 B000100 0.0000 073 C000100 0.0000 074 A000100 0 074 B000100 0 074 C000100 127981 074 D000100 687587 074 E000100 0 074 F000100 0 074 G000100 0 074 H000100 0 074 I000100 42605 074 J000100 87645 074 K000100 0 074 L000100 4534 074 M000100 0 074 N000100 950352 074 O000100 129442 PAGE 10 074 P000100 149 074 Q000100 0 074 R010100 0 074 R020100 0 074 R030100 0 074 R040100 119122 074 S000100 0 074 T000100 701639 074 U010100 114237 074 U020100 37166 074 V010100 0.00 074 V020100 0.00 074 W000100 0.0000 074 X000100 53577 074 Y000100 32609 075 A000100 0 075 B000100 765203 076 000100 0.00 015 A000201 JPMORGAN CHASE BANK, N.A. 015 B000201 C 015 C010201 NEW YORK 015 C020201 NY 015 C030201 10005 015 E010201 X 024 000200 Y 025 A000201 CITIGROUP/DEUTSCHE BANK COMMERCIAL MTGE TRUST 025 B000201 11-2418191 025 C000201 D 025 D000201 2782 025 A000202 CREDIT SUISSE MORTGAGE CAPITAL CTFS 025 B000202 13-5659485 025 C000202 D 025 D000202 1650 025 A000203 GS MORTGAGE SECURITIES II 025 B000203 13-5108880 025 C000203 D 025 D000203 640 025 A000204 LB-UBS COMMERCIAL MTGE TRUST 025 B000204 13-2518466 025 C000204 D 025 D000204 1713 025 A000205 DELETE 025 D000205 0 025 A000206 DELETE 025 D000206 0 025 A000207 DELETE 025 D000207 0 025 D000208 0 028 A010200 2122 028 A020200 4392 028 A030200 0 PAGE 11 028 A040200 5993 028 B010200 1469 028 B020200 1320 028 B030200 0 028 B040200 12812 028 C010200 1686 028 C020200 1167 028 C030200 0 028 C040200 9426 028 D010200 7636 028 D020200 1267 028 D030200 0 028 D040200 15347 028 E010200 2236 028 E020200 1186 028 E030200 0 028 E040200 11077 028 F010200 1573 028 F020200 1137 028 F030200 0 028 F040200 4578 028 G010200 16722 028 G020200 10469 028 G030200 0 028 G040200 59233 028 H000200 1338 029 000200 Y 030 A000200 78 030 B000200 4.75 030 C000200 0.00 031 A000200 8 031 B000200 0 032 000200 13 033 000200 57 034 000200 Y 035 000200 23 036 A000200 N 036 B000200 0 037 000200 N 038 000200 0 039 000200 N 040 000200 Y 041 000200 Y 042 A000200 0 042 B000200 0 042 C000200 0 042 D000200 0 042 E000200 0 042 F000200 0 042 G000200 0 042 H000200 100 PAGE 12 043 000200 522 044 000200 0 045 000200 Y 046 000200 N 047 000200 Y 048 000200 0.000 048 A010200 1000000 048 A020200 0.480 048 B010200 1000000 048 B020200 0.455 048 C010200 1000000 048 C020200 0.430 048 D010200 3000000 048 D020200 0.405 048 E010200 1500000 048 E020200 0.380 048 F010200 1500000 048 F020200 0.365 048 G010200 1000000 048 G020200 0.360 048 H010200 5000000 048 H020200 0.350 048 I010200 5000000 048 I020200 0.340 048 J010200 4000000 048 J020200 0.330 048 K010200 50000000 048 K020200 0.290 049 000200 N 050 000200 N 051 000200 N 052 000200 N 053 A000200 Y 053 B000200 Y 053 C000200 N 055 A000200 N 055 B000200 N 056 000200 Y 057 000200 N 058 A000200 N 059 000200 Y 060 A000200 Y 060 B000200 Y 061 000200 2000 062 A000200 Y 062 B000200 0.0 062 C000200 0.0 062 D000200 0.0 062 E000200 0.0 062 F000200 0.0 062 G000200 0.0 PAGE 13 062 H000200 0.0 062 I000200 0.0 062 J000200 0.0 062 K000200 0.0 062 L000200 2.6 062 M000200 0.0 062 N000200 111.1 062 O000200 0.0 062 P000200 8.0 062 Q000200 0.0 062 R000200 0.0 063 A000200 0 063 B000200 24.4 064 A000200 N 064 B000200 N 066 A000200 N 067 000200 N 068 A000200 N 068 B000200 N 069 000200 N 070 A010200 Y 070 A020200 N 070 B010200 N 070 B020200 N 070 C010200 Y 070 C020200 N 070 D010200 N 070 D020200 N 070 E010200 Y 070 E020200 Y 070 F010200 N 070 F020200 N 070 G010200 Y 070 G020200 N 070 H010200 N 070 H020200 N 070 I010200 N 070 I020200 N 070 J010200 Y 070 J020200 N 070 K010200 Y 070 K020200 Y 070 L010200 Y 070 L020200 N 070 M010200 N 070 M020200 N 070 N010200 Y 070 N020200 N 070 O010200 Y 070 O020200 N 070 P010200 Y PAGE 14 070 P020200 N 070 Q010200 Y 070 Q020200 N 070 R010200 Y 070 R020200 N 071 A000200 1906701 071 B000200 2023203 071 C000200 442498 071 D000200 431 072 A000200 12 072 B000200 19514 072 C000200 0 072 D000200 0 072 E000200 0 072 F000200 1731 072 G000200 252 072 H000200 0 072 I000200 265 072 J000200 61 072 K000200 33 072 L000200 0 072 M000200 11 072 N000200 54 072 O000200 0 072 P000200 0 072 Q000200 0 072 R000200 33 072 S000200 8 072 T000200 522 072 U000200 0 072 V000200 0 072 W000200 31 072 X000200 3001 072 Y000200 542 072 Z000200 17055 072AA000200 0 072BB000200 18382 072CC010200 2927 072CC020200 0 072DD010200 3900 072DD020200 13284 072EE000200 2667 073 A010200 0.0000 073 A020200 0.0000 073 B000200 0.0000 073 C000200 0.0000 074 A000200 0 074 B000200 0 074 C000200 0 074 D000200 391634 074 E000200 0 PAGE 15 074 F000200 0 074 G000200 0 074 H000200 0 074 I000200 8620 074 J000200 83958 074 K000200 0 074 L000200 1666 074 M000200 0 074 N000200 485878 074 O000200 147924 074 P000200 28 074 Q000200 0 074 R010200 0 074 R020200 0 074 R030200 0 074 R040200 9071 074 S000200 0 074 T000200 328855 074 U010200 16543 074 U020200 52410 074 V010200 0.00 074 V020200 0.00 074 W000200 0.0000 074 X000200 10877 074 Y000200 540 075 A000200 0 075 B000200 360467 076 000200 0.00 SIGNATURE TITLE This report is signed on behalf of the registrant (or depositor or trustee). City of: Minneapolis State of: Minnesota Date: July 22, 2009 Name of Registrant, Depositor, or Trustee: RiverSource Government 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 GOVERNMENT INCOME SERIES, INC. EX-99.77B ACCT LTTR 2 ex77b.txt EXHIBIT EXHIBIT 77.B Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Directors of the RiverSource Government Income Series, Inc. In planning and performing our audit of the financial statements of the funds listed in the accompanying Attachment A which comprise the RiverSource Government Income Series, Inc. (the Funds) as of and for the year ended May 31, 2009, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Funds' internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, but not for the purpose of expressing an opinion on the effectiveness of the Funds' internal control over financial reporting. Accordingly, we express no such opinion. The management of the Funds is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A fund's internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A fund's internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the fund; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the fund are being made only in accordance with authorizations of management and directors of the fund; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a fund's assets that could have a material effect on the financial statements. Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate. A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the fund's annual or interim financial statements will not be prevented or detected on a timely basis. Our consideration of the Funds' internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Funds' internal control over financial reporting and its operation, including controls over safeguarding securities, that we consider to be a material weakness as defined above as of May 31, 2009. This report is intended solely for the information and use of management and the Board of Directors of RiverSource Government Income Series, Inc. and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. /s/ Ernst & Young LLP Minneapolis, MN July 21, 2009 ATTACHMENT A FUNDS COMPRISING THE RIVERSOURCE GOVERNMENT INCOME SERIES, INC.: RiverSource Short Duration U.S. Government Fund RiverSource U.S. Government Mortgage Fund EX-99.77E LEGAL 3 ex77e.txt EXHIBIT EXHIBIT 77E FOR RIVERSOURCE SHORT DURATION U.S. GOVERNMENT FUND AND RIVERSOURCE U.S. GOVERNMENT MORTGAGE FUND 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-99.77H CHNG CNTRL 4 ex77h.txt EXHIBIT EXHIBIT 77H FOR RIVERSOURCE U.S. GOVERNMENT MORTGAGE FUND: During the six-month period ended May 31, 2009, the Fund served as an underlying investment of affiliated funds-of-funds. The RiverSource Income Builder funds and RiverSource Investments, LLC and RiverSource Life Insurance Company, through their initial capital investments, were owners of record of more than 25% of the outstanding shares of the Fund. -----END PRIVACY-ENHANCED MESSAGE-----