-----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, H8FUGHPvWE/8joQVrjW5MrUIjk7yxEmlEiKF698OBQM3r++VOXu8M6ccGK3RnMYA DXD8N8u77Vu65BbM7onNwg== 0000897101-99-000011.txt : 19990111 0000897101-99-000011.hdr.sgml : 19990111 ACCESSION NUMBER: 0000897101-99-000011 CONFORMED SUBMISSION TYPE: 40-17F2 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990108 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST AMERICAN INVESTMENT FUNDS INC CENTRAL INDEX KEY: 0000820892 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: MD FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 40-17F2 SEC ACT: SEC FILE NUMBER: 811-05309 FILM NUMBER: 99503156 BUSINESS ADDRESS: STREET 1: 2 OLIVER ST CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 6102541000 MAIL ADDRESS: STREET 1: 530 EAST SWEDESFORD ROAD CITY: WAYNE STATE: PA ZIP: 19087-1693 FORMER COMPANY: FORMER CONFORMED NAME: SECURAL MUTUAL FUNDS INC DATE OF NAME CHANGE: 19910627 40-17F2 1 [Adopted in Release No. IC-17085 ( 84,434), effective September 25, 1989, 54 F.R.32048] U.S. Securities and Exchange Commission Washington DC 20549 FORM N-17F-2 Form N-17f-2 Certificate of Accounting of Securities and Similar Investments in the Custody of Management Investment Companies Pursuant to Rule 17f-2 [17CFR 270.17f-2] - -------------------------------------------------------------------------------- 1. Investment Company Act File Number: 811-05309 Date Examination Complete: First American Investment Funds, Inc. 9/30/98 - ---------------------------------------------------------------------------- 2. State Identification Number (See attached Exhibit A - State Registration Report for a list of portfolios and classes) - -------------------------------------------------------------------------- 3. Exact number of investment company as specified in registration statement: 033-16905 - ---------------------------------------------------------------------------- 4. Address of principal executive office: (number, street, city, state, zip code) 1 Freedom Valley Drive, Oaks, PA 19456 - ---------------------------------------------------------------------------- INSTRUCTIONS This form must be completed by the investment companies that have custody of securities or similar investments. Investment Company [KPMG PEAT MARWICK LLP LETTERHEAD] INDEPENDENT AUDITORS' REPORT The Board of Directors of First American Investment Funds, Inc.: We have examined management's assertion, included in its representation letter, that Limited Term Income Fund, Intermediate Term Income Fund, Fixed Income Fund, Adjustable Rate Mortgage Securities Fund, Strategic Income Fund, Intermediate Government Bond Fund, Intermediate Tax Free Fund, California Intermediate Tax Free Fund, Oregon Intermediate Tax Free Fund, Colorado Intermediate Tax Free Fund, Minnesota Intermediate Tax Free Fund, Minnesota Tax Free Fund, Tax Free Fund, Balanced Fund, Equity Index Fund, Equity Income Fund, Large Cap Growth Fund, Large Cap Value Fund, Mid Cap Value Fund, Mid Cap Growth Fund, Regional Equity Fund, Small Cap Growth Fund, Technology Fund, Emerging Markets Fund, International Fund, International Index Fund, Real Estate Securities Fund, Micro Cap Value Fund, Small Cap Value Fund, and Health Sciences Fund of First American Investment Funds, Inc., (the Funds) complied with the requirements of subsections (b) and (c) of Rule 17f-2 under the Investment Company Act of 1940 as of September 30, 1998. Management is responsible for the Funds' compliance with those requirements. Our responsibility is to express an opinion on management's assertion about the Funds' compliance based on our examination. Our examination was made in accordance with standards established by the American Institute of Certified Public Accountants and, accordingly, included examining, on a test basis, evidence about the Funds' compliance with those requirements and performing such other procedures as we considered necessary in the circumstances. Included among our procedures were the following tests performed as of September 30, 1998, and with respect to agreement of security purchases and sales, for the period from June 30, 1998 (the date of our last examination) through September 30, 1998: * Count and inspection of underlying documentation of securities designated as being held in the vault of U.S. Bank National Association, the Custodian; * Confirmation of securities held by institutions in book entry form (Federal Reserve Bank of Minneapolis, Bankers Trust Company, and The Depository Trust Company), examination of selected security position reconciliations, and confirmation directly with the transfer agent for mutual fund securities; * Confirmation of repurchase agreements with counterparty banks and broker-dealers; * Confirmation or examination of underlying documentation, on a test basis, for securities purchased but not received, securities on loan, hypothecated, pledged, placed in escrow, or out for transfer with broker-dealers and/or transfer agents; * Reconciliation of all such securities to the books and records of the Funds and the Custodian; and * Test of security transactions since our last report. We believe that our examination provides a reasonable basis for our opinion. Our examination does not provide a legal determination on the Funds' compliance with the specified requirements. In our opinion, management's assertion that the Funds were in compliance with the requirements of subsections (b) and (c) of Rule 17f-2 of the Investment Company Act of 1940 as of September 30, 1998, with respect to securities reflected in the investment account of the Funds is fairly stated, in all material respects. This report is intended solely for the information and use of management of First American Investment Funds, Inc. and the Securities and Exchange Commission, and should not be used for any other purpose and is not intended to be and should not be used by anyone other than these specified parties. KPMG Peat Marwick LLP Minneapolis, Minnesota November 13, 1998 AUTOMATED BUSINESS DEVELOPMENT CLEAR SKY DIVISION STATE REGISTRATION REPORT AS OF: 10/01/98 @ 12:02:02 GROUP: FAF
FUND NAMES FUND CODE AK AL AR AZ CA CO CT DC DE FL GA GU HI IA First American Funds, Inc. (Minnesota Exemption) |FA-EX | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | FA - Prime Obligations Fund - Class A (fka Retail Class A) |FA01A | X | X | X | X | X | X | X | X | X | X | X | | X | X | | | | | | | | | | | | | | | | | FA - Prime Obligations Fund - Class B (fka Retail Class B) |FA01B | X | X | X | X | X | X | X | X | X | X | X | | X | X | | | | | | | | | | | | | | | | | FA - Prime Obligations Fund - Class Y (fka Class C) |FA01I | | | | X | X | X | X | X | | X | X | | X | X | Original SEC effective date 3-1-90 | | | | | | | | | | | | | | | | FA - Treasury Obligations Fund - Class A (f/k/a Treasury |FA02A | X | X | X | X | X | X | X | X | X | X | X | | X | X | Obligations Fund) - Class A SEC effective 10-8-97 | | | | | | | | | | | | | | | | FA - Treasury Obligations Fund - Class D |FA02D | | | | | | | | X | | X | | | | | Sales are Blue Sky exempt | | | | | | | | | | | | | | | | FA - Treasury Obligations Fund - Class Y (fka Class C) |FA02I | | | | X | X | X | | X | | X | X | | | | SEC effective date 3-1-90 | | | | | | | | | | | | | | | | FA - Government Obligations Fund - Class A |FA03A | X | X | X | X | X | X | X | X | X | X | X | | X | X | SEC effective 4-21-98 | | | | | | | | | | | | | | | | FA - Government Obligations Fund - Class D |FA03D | | | | | | | | X | | X | | | | | Sales are Blue Sky exempt | | | | | | | | | | | | | | | | FA - Government Obligations Fund - Class Y (fka Class C) |FA03I | | | | X | X | X | | X | | X | X | | | | SEC effective 3-1-90 | | | | | | | | | | | | | | | | FA - Tax Free Obligations Fund - Class A |FA04A | X | X | X | X | X | X | X | X | X | X | X | X | X | X | SEC effective 10-8-97 | | | | | | | | | | | | | | | | FA - Tax Free Obligations Fund - Class Y (fka Class C) |FA04C | | | | X | X | X | | X | | X | X | X | | | SEC effective 1-9-95 | | | | | | | | | | | | | | | | FA - Tax Free Obligations Fund - Class D |FA04D | | | | | | | | X | | X | | X | | | Sales are Blue Sky exempt | | | | | | | | | | | | | | | | First American Investment Funds, Inc. (Minnesota Exemption) |FAI-EX | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | FAIF - Intermediate Tax Free Fund - Class A |FAI01A | X | X | X | X | X | X | X | X | X | X | X | | X | X | (f/k/a Intermediate Tax Free Fund - Retail Class A) | | | | | | | | | | | | | | | |
[WIDE TABLE CONTINUED FROM ABOVE]
FUND NAMES FUND CODE ID IL IN KS KY LA MA MD ME MI MN MO MS First American Funds, Inc. (Minnesota Exemption) |FA-EX | | | | | | | | | | | X | | | | | | | | | | | | | | | | | | FA - Prime Obligations Fund - Class A (fka Retail Class A) |FA01A | X | X | X | X | X | X | X | X | X | X | X | X | X | | | | | | | | | | | | | | | | FA - Prime Obligations Fund - Class B (fka Retail Class B) |FA01B | X | X | X | X | X | X | X | X | X | X | X | X | X | | | | | | | | | | | | | | | | FA - Prime Obligations Fund - Class Y (fka Class C) |FA01I | X | X | X | X | | | X | X | | | X | X | | Original SEC effective date 3-1-90 | | | | | | | | | | | | | | | FA - Treasury Obligations Fund - Class A (f/k/a Treasury |FA02A | X | X | X | X | X | X | X | X | X | X | X | X | X | Obligations Fund) - Class A SEC effective 10-8-97 | | | | | | | | | | | | | | | FA - Treasury Obligations Fund - Class D |FA02D | | | | | | | | | | | | | | Sales are Blue Sky exempt | | | | | | | | | | | | | | | FA - Treasury Obligations Fund - Class Y (fka Class C) |FA02I | | X | X | | | | X | X | | | X | X | | SEC effective date 3-1-90 | | | | | | | | | | | | | | | FA - Government Obligations Fund - Class A |FA03A | X | X | X | X | X | X | X | X | X | X | X | X | X | SEC effective 4-21-98 | | | | | | | | | | | | | | | FA - Government Obligations Fund - Class D |FA03D | | | | | | | | | | | | | | Sales are Blue Sky exempt | | | | | | | | | | | | | | | FA - Government Obligations Fund - Class Y (fka Class C) |FA03I | | X | | | | | X | | | | X | | | SEC effective 3-1-90 | | | | | | | | | | | | | | | FA - Tax Free Obligations Fund - Class A |FA04A | X | X | X | X | X | X | X | X | X | X | X | X | X | SEC effective 10-8-97 | | | | | | | | | | | | | | | FA - Tax Free Obligations Fund - Class Y (fka Class C) |FA04C | | X | X | | | | | | | | X | | | SEC effective 1-9-95 | | | | | | | | | | | | | | | FA - Tax Free Obligations Fund - Class D |FA04D | | | | | | | | | | | | | | Sales are Blue Sky exempt | | | | | | | | | | | | | | | First American Investment Funds, Inc. (Minnesota Exemption) |FAI-EX | | | | | | | | | | | X | | | | | | | | | | | | | | | | | | FAIF - Intermediate Tax Free Fund - Class A |FAI01A | X | X | X | X | X | X | X | X | X | X | X | X | X | (f/k/a Intermediate Tax Free Fund - Retail Class A) | | | | | | | | | | | | | | |
PAGE: 1 AUTOMATED BUSINESS DEVELOPMENT CLEAR SKY DIVISION STATE REGISTRATION REPORT AS OF: 10/01/98 @ 12:02:02 GROUP: FAF
FUND NAMES FUND CODE AK AL AR AZ CA CO CT DC DE FL GA GU HI IA FAIF - Intermediate Tax Free Fund - Class Y |FAI01I | | | | X | X | X | | X | | X | | | X | | (f/k/a Intermediate Tax Free Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Minnesota Intermediate Tax Free Fund - Class A |FAI02A | | | | | | X | | X | | X | | | | | (f/k/a MN Insured Intermediate Tax Free Fund - Class A) | | | | | | | | | | | | | | | | FAIF - Minnesota Intermediate Tax Free Fund - Class Y |FAI02I | | | | | | X | | X | | X | | | | | (f/k/a MN Insured Intermediate Tax Free Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Colorado Intermediate Tax Free Fund - Class A |FAI03A | | | | | | X | | X | | X | | | | | (f/k/a Colorado Intermediate Tax Free Fund - Retail Class A | | | | | | | | | | | | | | | | FAIF - Colorado Intermediate Tax Free Fund - Class Y |FAI03I | | | | | | X | | X | | X | | | | | (f/k/a Colorado Intermediate Tax Free Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Limited Term Income Fund - Class A |FAI04A | X | X | X | X | X | X | X | X | X | X | X | | X | X | (f/k/a Limited Term Income Fund - Retail Class A) | | | | | | | | | | | | | | | | FAIF - Limited Term Income Fund - Class Y |FAI04I | | | | X | X | X | | X | | X | X | | X | | (f/k/a Limited Term Income Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Intermediate Term Income Fund - Class A |FAI05A | X | X | X | X | X | X | X | X | X | X | X | | X | X | (f/k/a Intermediate Term Income Fund - Retail Class A) | | | | | | | | | | | | | | | | FAIF - Intermediate-Term Income Fund - Class Y |FAI05I | | | | X | X | X | | X | | X | X | | X | | (f/k/a Intermediate-Term Income Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Fixed Income Fund - Class A |FAI06A | X | X | X | X | X | X | X | X | X | X | X | | X | X | (f/k/a Fixed Income Fund - Retail Class A) | | | | | | | | | | | | | | | | FAIF - Fixed Income Fund - Class B |FAI06B | X | X | X | X | X | X | X | X | X | X | X | | X | X | (f/k/a Fixed Income Fund - Retail Class B) | | | | | | | | | | | | | | | | FAIF - Fixed Income Fund - Class Y |FAI06I | | | | X | X | X | | X | | X | X | | X | | (f/k/a Fixed Income Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Intermediate Government Bond Fund - Class A |FAI07A | X | X | X | X | X | X | X | X | X | X | X | | X | X | (f/k/a Intermediate Government Bond Fund - Retail Class A) | | | | | | | | | | | | | | | | FAIF - Intermediate Government Bond Fund - Class Y |FAI07I | | | | X | X | X | | X | | X | | | X | | (f/k/a Intermediate Government Bond Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Large Cap Value Fund - Class A |FAI08A | X | X | X | X | X | X | X | X | X | X | X | | X | X | (f/k/a Stock Fund - Class A) | | | | | | | | | | | | | | | |
[WIDE TABLE CONTINUED FROM ABOVE]
FUND NAMES FUND CODE ID IL IN KS KY LA MA MD ME MI MN MO MS FAIF - Intermediate Tax Free Fund - Class Y |FAI01I | | X | | | | | | | | | X | X | | (f/k/a Intermediate Tax Free Fund - Class C) | | | | | | | | | | | | | | | FAIF - Minnesota Intermediate Tax Free Fund - Class A |FAI02A | | | | | X | X | | | | | X | | | (f/k/a MN Insured Intermediate Tax Free Fund - Class A) | | | | | | | | | | | | | | | FAIF - Minnesota Intermediate Tax Free Fund - Class Y |FAI02I | | | | | | | | | | | X | | | (f/k/a MN Insured Intermediate Tax Free Fund - Class C) | | | | | | | | | | | | | | | FAIF - Colorado Intermediate Tax Free Fund - Class A |FAI03A | | | | | X | X | | | | | X | X | | (f/k/a Colorado Intermediate Tax Free Fund - Retail Class A | | | | | | | | | | | | | | | FAIF - Colorado Intermediate Tax Free Fund - Class Y |FAI03I | | | | | | | | | | | X | X | | (f/k/a Colorado Intermediate Tax Free Fund - Class C) | | | | | | | | | | | | | | | FAIF - Limited Term Income Fund - Class A |FAI04A | X | X | X | X | X | X | X | X | X | X | X | X | X | (f/k/a Limited Term Income Fund - Retail Class A) | | | | | | | | | | | | | | | FAIF - Limited Term Income Fund - Class Y |FAI04I | | X | | | | | | | | | X | X | | (f/k/a Limited Term Income Fund - Class C) | | | | | | | | | | | | | | | FAIF - Intermediate Term Income Fund - Class A |FAI05A | X | X | X | X | X | X | X | X | X | X | X | X | X | (f/k/a Intermediate Term Income Fund - Retail Class A) | | | | | | | | | | | | | | | FAIF - Intermediate-Term Income Fund - Class Y |FAI05I | | X | | | | | | | | | X | X | | (f/k/a Intermediate-Term Income Fund - Class C) | | | | | | | | | | | | | | | FAIF - Fixed Income Fund - Class A |FAI06A | X | X | X | X | X | X | X | X | X | X | X | X | X | (f/k/a Fixed Income Fund - Retail Class A) | | | | | | | | | | | | | | | FAIF - Fixed Income Fund - Class B |FAI06B | X | X | X | X | X | X | X | X | X | X | X | X | X | (f/k/a Fixed Income Fund - Retail Class B) | | | | | | | | | | | | | | | FAIF - Fixed Income Fund - Class Y |FAI06I | | X | | | | | | | | | X | X | | (f/k/a Fixed Income Fund - Class C) | | | | | | | | | | | | | | | FAIF - Intermediate Government Bond Fund - Class A |FAI07A | X | X | X | X | X | X | X | X | X | X | X | X | X | (f/k/a Intermediate Government Bond Fund - Retail Class A) | | | | | | | | | | | | | | | FAIF - Intermediate Government Bond Fund - Class Y |FAI07I | | X | | | | | | | | | X | X | | (f/k/a Intermediate Government Bond Fund - Class C) | | | | | | | | | | | | | | | FAIF - Large Cap Value Fund - Class A |FAI08A | X | X | X | X | X | X | X | X | X | X | X | X | X | (f/k/a Stock Fund - Class A) | | | | | | | | | | | | | | |
PAGE: 2 AUTOMATED BUSINESS DEVELOPMENT CLEAR SKY DIVISION STATE REGISTRATION REPORT AS OF: 10/01/98 @ 12:02:02 GROUP: FAF
FUND NAMES FUND CODE AK AL AR AZ CA CO CT DC DE FL GA GU HI IA FAIF - Large Cap Value Fund - Class B |FAI08B | X | X | X | X | X | X | X | X | X | X | X | | X | X | (f/k/a Stock Fund - Class B) | | | | | | | | | | | | | | | | FAIF - Large Cap Value Fund - Class Y |FAI08I | | | | X | X | X | | X | | X | X | | X | | (f/k/a Stock Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Equity Index Fund - Class A |FAI09A | X | X | X | X | X | X | X | X | X | X | X | | X | X | (f/k/a Equity Index Fund - Retail Class A) | | | | | | | | | | | | | | | | FAIF - Equity Index Fund - Class B |FAI09B | X | X | X | X | X | X | X | X | X | X | X | | X | X | (f/k/a Equity Index Fund - Retail Class B) | | | | | | | | | | | | | | | | FAIF - Equity Index Fund - Class Y |FAI09I | | | | X | X | X | | X | | X | X | | X | | (f/k/a Equity Index Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Balanced Fund - Class A |FAI10A | X | X | X | X | X | X | X | X | X | X | X | | X | X | (f/k/a Balanced Fund - Retail Class A) | | | | | | | | | | | | | | | | FAIF - Balanced Fund - Class B |FAI10B | X | X | X | X | X | X | X | X | X | X | X | | X | X | (f/k/a Balanced Fund - Retail Class B) | | | | | | | | | | | | | | | | FAIF - Balanced Fund - Class Y |FAI10I | | | | X | X | X | | X | | X | X | | X | | (f/k/a Balanced Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Equity Income Fund - Class A |FAI12A | X | X | X | X | X | X | X | X | X | X | X | | X | X | (f/k/a Equity Income Fund - Retail Class A) | | | | | | | | | | | | | | | | FAIF - Equity Income Fund - Class B |FAI12B | X | X | X | X | X | X | X | X | X | X | X | | X | X | (f/k/a Equity Income Fund - Retail Class B) | | | | | | | | | | | | | | | | FAIF - Equity Income Fund - Class Y |FAI12I | | | | X | X | X | | X | | X | X | | X | | (f/k/a Equity Income Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Large Cap Growth Fund - Class A |FAI13A | X | X | X | X | X | X | X | X | X | X | X | | X | X | (f/k/a Diversified Growth Fund - Class A) | | | | | | | | | | | | | | | | FAIF - Large Cap Growth Fund - Class B |FAI13B | X | X | X | X | X | X | X | X | X | X | X | | X | X | (f/k/a Diversified Growth Fund - Class B) | | | | | | | | | | | | | | | | FAIF - Large Cap Growth Fund - Class Y |FAI13I | | | | X | X | X | | X | | X | X | | X | | (f/k/a Diversified Growth Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Small Cap Growth Fund - Class A |FAI14A | X | X | X | X | X | X | X | X | X | X | X | | X | X | (f/k/a Emerging Growth Fund - Class A) | | | | | | | | | | | | | | | |
[WIDE TABLE CONTINUED FROM ABOVE]
FUND NAMES FUND CODE ID IL IN KS KY LA MA MD ME MI MN MO MS FAIF - Large Cap Value Fund - Class B |FAI08B | X | X | X | X | X | X | X | X | X | X | X | X | X | (f/k/a Stock Fund - Class B) | | | | | | | | | | | | | | | FAIF - Large Cap Value Fund - Class Y |FAI08I | | X | | | | | | | | | X | X | | (f/k/a Stock Fund - Class C) | | | | | | | | | | | | | | | FAIF - Equity Index Fund - Class A |FAI09A | X | X | X | X | X | X | X | X | X | X | X | X | X | (f/k/a Equity Index Fund - Retail Class A) | | | | | | | | | | | | | | | FAIF - Equity Index Fund - Class B |FAI09B | X | X | X | X | X | X | X | X | X | X | X | X | X | (f/k/a Equity Index Fund - Retail Class B) | | | | | | | | | | | | | | | FAIF - Equity Index Fund - Class Y |FAI09I | | X | | | | | | | | | X | X | | (f/k/a Equity Index Fund - Class C) | | | | | | | | | | | | | | | FAIF - Balanced Fund - Class A |FAI10A | X | X | X | X | X | X | X | X | X | X | X | X | X | (f/k/a Balanced Fund - Retail Class A) | | | | | | | | | | | | | | | FAIF - Balanced Fund - Class B |FAI10B | X | X | X | X | X | X | X | X | X | X | X | X | X | (f/k/a Balanced Fund - Retail Class B) | | | | | | | | | | | | | | | FAIF - Balanced Fund - Class Y |FAI10I | | X | | | | | | | | | X | X | | (f/k/a Balanced Fund - Class C) | | | | | | | | | | | | | | | FAIF - Equity Income Fund - Class A |FAI12A | X | X | X | X | X | X | X | X | X | X | X | X | X | (f/k/a Equity Income Fund - Retail Class A) | | | | | | | | | | | | | | | FAIF - Equity Income Fund - Class B |FAI12B | X | X | X | X | X | X | X | X | X | X | X | X | X | (f/k/a Equity Income Fund - Retail Class B) | | | | | | | | | | | | | | | FAIF - Equity Income Fund - Class Y |FAI12I | | X | | | | | | | | | X | X | | (f/k/a Equity Income Fund - Class C) | | | | | | | | | | | | | | | FAIF - Large Cap Growth Fund - Class A |FAI13A | X | X | X | X | X | X | X | X | X | X | X | X | X | (f/k/a Diversified Growth Fund - Class A) | | | | | | | | | | | | | | | FAIF - Large Cap Growth Fund - Class B |FAI13B | X | X | X | X | X | X | X | X | X | X | X | X | X | (f/k/a Diversified Growth Fund - Class B) | | | | | | | | | | | | | | | FAIF - Large Cap Growth Fund - Class Y |FAI13I | | X | | | | | | | | | X | X | | (f/k/a Diversified Growth Fund - Class C) | | | | | | | | | | | | | | | FAIF - Small Cap Growth Fund - Class A |FAI14A | X | X | X | X | X | X | X | X | X | X | X | X | X | (f/k/a Emerging Growth Fund - Class A) | | | | | | | | | | | | | | |
PAGE: 3 AUTOMATED BUSINESS DEVELOPMENT CLEAR SKY DIVISION STATE REGISTRATION REPORT AS OF: 10/01/98 @ 12:02:02 GROUP: FAF
FUND NAMES FUND CODE AK AL AR AZ CA CO CT DC DE FL GA GU HI IA FAIF - Small Cap Growth Fund - Class B |FAI14B | X | X | X | X | X | X | X | X | X | X | X | | X | X | (f/k/a Emerging Growth Fund - Class B) | | | | | | | | | | | | | | | | FAIF - Small Cap Growth Fund - Class Y |FAI14I | | | | X | X | X | | X | | X | X | | X | | (f/k/a Emerging Growth Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Regional Equity Fund - Class A |FAI15A | X | X | X | X | X | X | X | X | X | X | X | | X | X | (f/k/a Regional Equity Fund - Retail Class A) | | | | | | | | | | | | | | | | FAIF - Regional Equity Fund - Class B |FAI15B | X | X | X | X | X | X | X | X | X | X | X | | X | X | (f/k/a Regional Equity Fund - Retail Class B) | | | | | | | | | | | | | | | | FAIF - Regional Equity Fund - Class Y |FAI15I | | | | X | X | X | | X | | X | X | | X | | (f/k/a Regional Equity Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Mid Cap Value Fund - Class A |FAI16A | X | X | X | X | X | X | X | X | X | X | X | | X | X | (f/k/a Special Equity Fund - Class A | | | | | | | | | | | | | | | | FAIF - Mid Cap Value Fund - Class B |FAI16B | X | X | X | X | X | X | X | X | X | X | X | | X | X | (f/k/a Special Equity Fund - Class B) | | | | | | | | | | | | | | | | FAIF - Mid Cap Value Fund - Class Y |FAI16I | | | | X | X | X | | X | | X | X | | X | | (f/k/a Special Equity Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Technology Fund - Class A |FAI17A | X | X | X | X | X | X | X | X | X | X | X | | X | X | (f/k/a Technology Fund - Retail Class A) | | | | | | | | | | | | | | | | FAIF - Technology Fund - Class B |FAI17B | X | X | X | X | X | X | X | X | X | X | X | | X | X | (f/k/a Technology Fund - Retail Class B) | | | | | | | | | | | | | | | | FAIF - Technology Fund - Class Y |FAI17I | | | | X | X | X | | X | | X | X | | X | | (f/k/a Technology Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Health Sciences Fund - Class A |FAI18A | X | X | X | X | X | X | X | X | X | X | X | | X | X | (f/k/a Health Sciences Fund - Retail Class A) | | | | | | | | | | | | | | | | FAIF - Health Sciences Fund - Class B |FAI18B | X | X | X | X | X | X | X | X | X | X | X | | X | X | (f/k/a Health Sciences Fund - Retail Class B) | | | | | | | | | | | | | | | | FAIF - Health Sciences Fund - Class Y |FAI18I | | | | X | X | X | | X | | X | X | | X | | (f/k/a Health Sciences Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Real Estate Securities Fund - Class A |FAI19A | X | X | X | X | X | X | X | X | X | X | X | | X | X | (f/k/a Real Estate Securities Fund - Retail Class A) | | | | | | | | | | | | | | | |
[WIDE TABLE CONTINUED FROM ABOVE]
FUND NAMES FUND CODE ID IL IN KS KY LA MA MD ME MI MN MO MS FAIF - Small Cap Growth Fund - Class B |FAI14B | X | X | X | X | X | X | X | X | X | X | X | X | X | (f/k/a Emerging Growth Fund - Class B) | | | | | | | | | | | | | | | FAIF - Small Cap Growth Fund - Class Y |FAI14I | | X | | | | | | | | | X | X | | (f/k/a Emerging Growth Fund - Class C) | | | | | | | | | | | | | | | FAIF - Regional Equity Fund - Class A |FAI15A | X | X | X | X | X | X | X | X | X | X | X | X | X | (f/k/a Regional Equity Fund - Retail Class A) | | | | | | | | | | | | | | | FAIF - Regional Equity Fund - Class B |FAI15B | X | X | X | X | X | X | X | X | X | X | X | X | X | (f/k/a Regional Equity Fund - Retail Class B) | | | | | | | | | | | | | | | FAIF - Regional Equity Fund - Class Y |FAI15I | | X | | | | | | | | | X | X | | (f/k/a Regional Equity Fund - Class C) | | | | | | | | | | | | | | | FAIF - Mid Cap Value Fund - Class A |FAI16A | X | X | X | X | X | X | X | X | X | X | X | X | X | (f/k/a Special Equity Fund - Class A | | | | | | | | | | | | | | | FAIF - Mid Cap Value Fund - Class B |FAI16B | X | X | X | X | X | X | X | X | X | X | X | X | X | (f/k/a Special Equity Fund - Class B) | | | | | | | | | | | | | | | FAIF - Mid Cap Value Fund - Class Y |FAI16I | | X | | | | | | | | | X | X | | (f/k/a Special Equity Fund - Class C) | | | | | | | | | | | | | | | FAIF - Technology Fund - Class A |FAI17A | X | X | X | X | X | X | X | X | X | X | X | X | X | (f/k/a Technology Fund - Retail Class A) | | | | | | | | | | | | | | | FAIF - Technology Fund - Class B |FAI17B | X | X | X | X | X | X | X | X | X | X | X | X | X | (f/k/a Technology Fund - Retail Class B) | | | | | | | | | | | | | | | FAIF - Technology Fund - Class Y |FAI17I | | X | | | | | | | | | X | X | | (f/k/a Technology Fund - Class C) | | | | | | | | | | | | | | | FAIF - Health Sciences Fund - Class A |FAI18A | X | X | X | X | X | X | X | X | X | X | X | X | X | (f/k/a Health Sciences Fund - Retail Class A) | | | | | | | | | | | | | | | FAIF - Health Sciences Fund - Class B |FAI18B | X | X | X | X | X | X | X | X | X | X | X | X | X | (f/k/a Health Sciences Fund - Retail Class B) | | | | | | | | | | | | | | | FAIF - Health Sciences Fund - Class Y |FAI18I | X | X | | | | | | | | | X | X | | (f/k/a Health Sciences Fund - Class C) | | | | | | | | | | | | | | | FAIF - Real Estate Securities Fund - Class A |FAI19A | X | X | X | X | X | X | X | X | X | X | X | X | X | (f/k/a Real Estate Securities Fund - Retail Class A) | | | | | | | | | | | | | | |
PAGE: 4 AUTOMATED BUSINESS DEVELOPMENT CLEAR SKY DIVISION STATE REGISTRATION REPORT AS OF: 10/01/98 @ 12:02:02 GROUP: FAF
FUND NAMES FUND CODE AK AL AR AZ CA CO CT DC DE FL GA GU HI IA FAIF - Real Estate Securities Fund - Class B |FAI19B | X | X | X | X | X | X | X | X | X | X | X | | X | X | (f/k/a Real Estate Securities Fund - Retail Class B) | | | | | | | | | | | | | | | | FAIF - Real Estate Securities Fund - Class Y |FAI19I | | | | X | X | X | | X | | X | | | X | | (f/k/a Real Estate Securities Fund - Class C) | | | | | | | | | | | | | | | | FAIF - International Fund - Class A |FAI20A | X | X | X | X | X | X | X | X | X | X | X | | X | X | (f/k/a International Fund - Retail Class A) | | | | | | | | | | | | | | | | FAIF - International Fund - Class B |FAI20B | X | X | X | X | X | X | X | X | X | X | X | | X | X | (f/k/a International Fund - Retail Class B) | | | | | | | | | | | | | | | | FAIF - International Fund - Class Y |FAI20I | | | | X | X | X | | X | | X | X | | X | | (f/k/a International Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Oregon Intermediate Tax Free Fund - Class Y |FAI24C | | | | | X | X | | X | | X | X | | | | (f/k/a Oregon Intermediate Tax Free Fund - Class C) | | | | | | | | | | | | | | | | FAIF - California Intermediate Tax Free Fund - Class A |FAI25A | | | | | X | X | | X | | X | X | | | | SEC effective 8-5-97 | | | | | | | | | | | | | | | | FAIF - California Intermediate Tax Free Fund - Class Y |FAI25C | | | | | X | X | | X | | X | X | | | | (f/k/a California Intermediate Tax Free Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Micro Cap Value Fund - Class A |FAI26A | X | X | X | X | X | X | X | X | X | X | X | | X | X | SEC effective 8-5-97 | | | | | | | | | | | | | | | | FAIF - Micro Cap Value Fund - Class B |FAI26B | X | X | X | X | X | X | X | X | X | X | X | | X | X | SEC effective 8-5-97 | | | | | | | | | | | | | | | | FAIF - Micro Cap Value Fund - Class Y |FAI26C | | | | X | X | X | | X | | X | X | | | | (f/k/a Micro Cap Value Fund - Class C)SEC effective 8-5-97 | | | | | | | | | | | | | | | | FAIF - Small Cap Value Fund - Class A |FAI27A | X | X | X | X | X | X | X | X | X | X | X | X | X | X | SEC effective 11-6-97 | | | | | | | | | | | | | | | | FAIF - Small Cap Value Fund - Class B |FAI27B | | X | X | X | X | X | X | X | X | X | X | X | X | X | SEC effective 11-06-97 | | | | | | | | | | | | | | | | FAIF - Small Cap Value Fund - Class Y |FAI27C | | | | X | X | X | | X | | X | X | X | | | (f/k/a Small Cap Value Fund - Class C) SEC effective 11-6-97 | | | | | | | | | | | | | | | | FAIF - International Index Fund - Class A |FAI28A | X | X | X | X | X | X | X | X | X | X | X | X | X | X | SEC effective 11-06-97 | | | | | | | | | | | | | | | |
[WIDE TABLE CONTINUED FROM ABOVE]
FUND NAMES FUND CODE ID IL IN KS KY LA MA MD ME MI MN MO MS FAIF - Real Estate Securities Fund - Class B |FAI19B | X | X | X | X | X | X | X | X | X | X | X | X | X | (f/k/a Real Estate Securities Fund - Retail Class B) | | | | | | | | | | | | | | | FAIF - Real Estate Securities Fund - Class Y |FAI19I | | X | | | | | | | | | X | X | | (f/k/a Real Estate Securities Fund - Class C) | | | | | | | | | | | | | | | FAIF - International Fund - Class A |FAI20A | X | X | X | X | X | X | X | X | X | X | X | X | X | (f/k/a International Fund - Retail Class A) | | | | | | | | | | | | | | | FAIF - International Fund - Class B |FAI20B | X | X | X | X | X | X | X | X | X | X | X | X | X | (f/k/a International Fund - Retail Class B) | | | | | | | | | | | | | | | FAIF - International Fund - Class Y |FAI20I | | X | | | | | | | | | X | X | | (f/k/a International Fund - Class C) | | | | | | | | | | | | | | | FAIF - Oregon Intermediate Tax Free Fund - Class Y |FAI24C | | | X | | | | | | | | X | | | (f/k/a Oregon Intermediate Tax Free Fund - Class C) | | | | | | | | | | | | | | | FAIF - California Intermediate Tax Free Fund - Class A |FAI25A | | | X | | X | X | | | | | X | | | SEC effective 8-5-97 | | | | | | | | | | | | | | | FAIF - California Intermediate Tax Free Fund - Class Y |FAI25C | | | X | | | | X | | | | X | | | (f/k/a California Intermediate Tax Free Fund - Class C) | | | | | | | | | | | | | | | FAIF - Micro Cap Value Fund - Class A |FAI26A | X | X | X | X | X | X | X | X | X | X | X | X | X | SEC effective 8-5-97 | | | | | | | | | | | | | | | FAIF - Micro Cap Value Fund - Class B |FAI26B | X | X | X | X | X | X | X | X | X | X | X | X | X | SEC effective 8-5-97 | | | | | | | | | | | | | | | FAIF - Micro Cap Value Fund - Class Y |FAI26C | | X | X | | | | | | | | X | | | (f/k/a Micro Cap Value Fund - Class C)SEC effective 8-5-97 | | | | | | | | | | | | | | | FAIF - Small Cap Value Fund - Class A |FAI27A | X | X | X | X | X | X | X | X | X | X | X | X | X | SEC effective 11-6-97 | | | | | | | | | | | | | | | FAIF - Small Cap Value Fund - Class B |FAI27B | X | X | X | X | X | X | X | X | X | X | X | X | X | SEC effective 11-06-97 | | | | | | | | | | | | | | | FAIF - Small Cap Value Fund - Class Y |FAI27C | | X | X | | | | | | | | X | X | | (f/k/a Small Cap Value Fund - Class C) SEC effective 11-6-97 | | | | | | | | | | | | | | | FAIF - International Index Fund - Class A |FAI28A | X | X | X | X | X | X | X | X | X | X | X | X | X | SEC effective 11-06-97 | | | | | | | | | | | | | | |
PAGE: 5 AUTOMATED BUSINESS DEVELOPMENT CLEAR SKY DIVISION STATE REGISTRATION REPORT AS OF: 10/01/98 @ 12:02:02
GROUP: FAF FUND NAMES FUND CODE AK AL AR AZ CA CO CT DC DE FL GA GU HI IA FAIF - International Index Fund - Class B |FAI28B | X | X | X | X | X | X | X | X | X | X | X | X | X | X | SEC effective 11-6-97 | | | | | | | | | | | | | | | | FAIF - International Index Fund - Class Y |FAI28C | | | | X | X | X | | X | | X | X | X | | | (f/k/a International Index Fund - Class C)SEC eff. 11-6-97 | | | | | | | | | | | | | | | | FAIF - Mid Cap Growth Fund - Class A (NCHG from PPFI02A- |FAI29A | X | X | X | X | X | X | X | X | X | X | X | | X | X | Emerging Growth Fund-Class A) | | | | | | | | | | | | | | | | FAIF - Mid Cap Growth Fund - Class B |FAI29B | X | X | X | X | X | X | X | X | X | X | X | | X | X | ** Shell class part of Piper / FAI merger --- | | | | | | | | | | | | | | | | FAIF - Mid Cap Growth Fund - Class Y (NCHG from PPIF02Y-- |FAI29Y | X | X | X | X | X | X | X | X | X | X | X | | X | | Emerging Growth Fund Class Y) | | | | | | | | | | | | | | | | FAIF - Emerging Markets Fund - Class A (NCHG from PPFGF02A-- |FAI30A | X | X | X | X | X | X | X | X | X | X | X | | X | X | Emerging Markets Growth Fund-Class A) | | | | | | | | | | | | | | | | FAIF - Emerging Markets Fund - Class B |FAI30B | X | X | X | X | X | X | X | X | X | X | X | | X | X | ** Shell class part of Piper / FAI merger --- | | | | | | | | | | | | | | | | FAIF - Emerging Markets Fund - Class Y |FAI30Y | X | X | X | X | X | X | X | X | X | X | X | | X | | ** Shell class part of Piper / FAI merger -- | | | | | | | | | | | | | | | | FAI-Adjustable Rate Mortgage Securities Fund-Class A (NCHG |FAI31A | X | X | X | X | X | X | X | X | X | X | X | | X | X | from PPFII01-Adjustable Rate Mortgage Securities Fd Class A) | | | | | | | | | | | | | | | | FAIF - Adjustable Rate Mortgage Securities Fund - Class Y |FAI31Y | X | X | X | X | X | X | X | X | X | X | X | | X | | | | | | | | | | | | | | | | | | FAIF - Tax Free Fund - Class A (NCHG from PPIF08--National |FAI32A | X | X | X | X | X | X | X | X | X | X | X | | X | X | Tax-Exempt Fund) | | | | | | | | | | | | | | | | FAIF - Tax Free Fund - Class Y |FAI32Y | X | X | X | X | X | X | X | X | X | X | X | | X | | | | | | | | | | | | | | | | | | FAIF - Minnesota Tax Free Fund - Class A (NCHG from PPFI09A |FAI33A | X | X | X | X | X | X | X | X | X | X | X | | X | X | Minnesota Tax-Exempt Fund Class A) | | | | | | | | | | | | | | | | FAIF - Minnesota Tax Free Fund - Class Y (NCHG from PPFI09Y |FAI33Y | X | X | X | X | X | X | X | X | X | X | X | | X | | - --Minnesota Tax-Exempt Fund Class Y) | | | | | | | | | | | | | | | | FAIF - Strategic Income Fund - Class A |FAI34A | X | X | X | X | X | X | X | X | X | X | X | | X | X | | | | | | | | | | | | | | | | |
[WIDE TABLE CONTINUED FROM ABOVE]
FUND NAMES FUND CODE ID IL IN KS KY LA MA MD ME MI MN MO MS FAIF - International Index Fund - Class B |FAI28B | X | X | X | X | X | X | X | X | X | X | X | X | X | SEC effective 11-6-97 | | | | | | | | | | | | | | | FAIF - International Index Fund - Class Y |FAI28C | | X | X | | | | | | | | X | | | (f/k/a International Index Fund - Class C)SEC eff. 11-6-97 | | | | | | | | | | | | | | | FAIF - Mid Cap Growth Fund - Class A (NCHG from PPFI02A- |FAI29A | X | X | X | X | X | X | X | X | X | X | X | X | X | Emerging Growth Fund-Class A) | | | | | | | | | | | | | | | FAIF - Mid Cap Growth Fund - Class B |FAI29B | X | X | X | X | X | X | X | X | X | X | X | X | X | ** Shell class part of Piper / FAI merger --- | | | | | | | | | | | | | | | FAIF - Mid Cap Growth Fund - Class Y (NCHG from PPIF02Y-- |FAI29Y | X | X | X | X | | | | | | | X | X | | Emerging Growth Fund Class Y) | | | | | | | | | | | | | | | FAIF - Emerging Markets Fund - Class A (NCHG from PPFGF02A-- |FAI30A | X | X | X | X | X | X | X | X | X | X | X | X | X | Emerging Markets Growth Fund-Class A) | | | | | | | | | | | | | | | FAIF - Emerging Markets Fund - Class B |FAI30B | X | X | X | X | X | X | X | X | X | X | X | X | X | ** Shell class part of Piper / FAI merger --- | | | | | | | | | | | | | | | FAIF - Emerging Markets Fund - Class Y |FAI30Y | X | X | X | X | | | | | | | X | X | | ** Shell class part of Piper / FAI merger -- | | | | | | | | | | | | | | | FAI-Adjustable Rate Mortgage Securities Fund-Class A (NCHG |FAI31A | X | X | X | X | X | X | X | X | X | X | X | X | X | from PPFII01-Adjustable Rate Mortgage Securities Fd Class A) | | | | | | | | | | | | | | | FAIF - Adjustable Rate Mortgage Securities Fund - Class Y |FAI31Y | X | X | X | X | | | | | | | X | X | | | | | | | | | | | | | | | | | FAIF - Tax Free Fund - Class A (NCHG from PPIF08--National |FAI32A | X | X | X | X | X | X | X | X | X | X | X | X | X | Tax-Exempt Fund) | | | | | | | | | | | | | | | FAIF - Tax Free Fund - Class Y |FAI32Y | X | X | X | X | | | | | | | X | X | | | | | | | | | | | | | | | | | FAIF - Minnesota Tax Free Fund - Class A (NCHG from PPFI09A |FAI33A | X | X | X | X | X | X | X | X | X | X | X | X | X | Minnesota Tax-Exempt Fund Class A) | | | | | | | | | | | | | | | FAIF - Minnesota Tax Free Fund - Class Y (NCHG from PPFI09Y |FAI33Y | X | X | X | X | | | | | | | X | X | | - --Minnesota Tax-Exempt Fund Class Y) | | | | | | | | | | | | | | | FAIF - Strategic Income Fund - Class A |FAI34A | X | X | X | X | X | X | X | X | X | X | X | X | X | | | | | | | | | | | | | | | |
PAGE: 6 AUTOMATED BUSINESS DEVELOPMENT CLEAR SKY DIVISION STATE REGISTRATION REPORT AS OF: 10/01/98 @ 12:02:02 GROUP: FAF
FUND NAMES FUND CODE AK AL AR AZ CA CO CT DC DE FL GA GU HI IA FAIF - Strategic Income Fund - Class B |FAI34B | X | X | X | X | X | X | X | X | X | X | X | | X | X | | | | | | | | | | | | | | | | | FAIF - Strategic Income Fund - Class Y |FAI34Y | X | X | X | X | X | X | X | X | X | X | X | | X | | Stand Alone prospectus | | | | | | | | | | | | | | | |
[WIDE TABLE CONTINUED FROM ABOVE]
FUND NAMES FUND CODE ID IL IN KS KY LA MA MD ME MI MN MO MS FAIF - Strategic Income Fund - Class B |FAI34B | X | X | X | X | X | X | X | X | X | X | X | X | X | | | | | | | | | | | | | | | | FAIF - Strategic Income Fund - Class Y |FAI34Y | X | X | X | X | | | | | | | X | X | | Stand Alone prospectus | | | | | | | | | | | | | | |
PAGE: 7 AUTOMATED BUSINESS DEVELOPMENT CLEAR SKY DIVISION STATE REGISTRATION REPORT AS OF: 10/01/98 @ 12:02:02 GROUP:FAF
FUND NAMES FUND CODE MT NC ND NE NH NJ NM NV NY OH OK OR PA PR First American Funds, Inc. (Minnesota Exemption) |FA-EX | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | FA - Prime Obligations Fund - Class A (fka Retail Class A) |FA01A | X | X | X | X | X | X | X | X | X | X | X | X | X | | | | | | | | | | | | | | | | | | FA - Prime Obligations Fund - Class B (fka Retail Class B) |FA01B | X | X | X | X | X | X | X | X | X | X | X | X | X | | | | | | | | | | | | | | | | | | FA - Prime Obligations Fund - Class Y (fka Class C) |FA01I | X | X | X | | X | X | X | | X | X | X | X | X | | Original SEC effective date 3-1-90 | | | | | | | | | | | | | | | | FA - Treasury Obligations Fund - Class A (f/k/a Treasury |FA02A | X | X | X | X | X | X | X | X | X | X | X | X | X | | Obligations Fund) - Class A SEC effective 10-8-97 | | | | | | | | | | | | | | | | FA - Treasury Obligations Fund - Class D |FA02D | | | | | | X | | | | | | | | | Sales are Blue Sky exempt | | | | | | | | | | | | | | | | FA - Treasury Obligations Fund - Class Y (fka Class C) |FA02I | X | X | X | | X | X | | | | X | | X | X | | SEC effective date 3-1-90 | | | | | | | | | | | | | | | | FA - Government Obligations Fund - Class A |FA03A | X | X | X | X | X | X | X | X | X | X | X | X | X | | SEC effective 4-21-98 | | | | | | | | | | | | | | | | FA - Government Obligations Fund - Class D |FA03D | | X | | | | X | | | | | | | X | | Sales are Blue Sky exempt | | | | | | | | | | | | | | | | FA - Government Obligations Fund - Class Y (fka Class C) |FA03I | X | X | X | | X | X | | | | X | | X | X | | SEC effective 3-1-90 | | | | | | | | | | | | | | | | FA - Tax Free Obligations Fund - Class A |FA04A | X | X | X | X | X | X | X | X | X | X | X | X | X | | SEC effective 10-8-97 | | | | | | | | | | | | | | | | FA - Tax Free Obligations Fund - Class Y (fka Class C) |FA04C | X | X | X | | X | X | | | | X | | X | X | | SEC effective 1-9-95 | | | | | | | | | | | | | | | | FA - Tax Free Obligations Fund - Class D |FA04D | | | | | | X | | | | | | | | | Sales are Blue Sky exempt | | | | | | | | | | | | | | | | First American Investment Funds, Inc. (Minnesota Exemption) |FAI-EX | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | FAIF - Intermediate Tax Free Fund - Class A |FAI01A | X | X | X | X | X | X | X | X | X | X | X | X | X | | (f/k/a Intermediate Tax Free Fund - Retail Class A) | | | | | | | | | | | | | | | |
[WIDE TABLE CONTINUED FROM ABOVE]
FUND NAMES FUND CODE RI SC SD TN TX UT VA VI VT WA WI WV WY First American Funds, Inc. (Minnesota Exemption) |FA-EX | | | | | | | | | | | | | | | | | | | | | | | | | | | | | FA - Prime Obligations Fund - Class A (fka Retail Class A) |FA01A | X | X | X | X | X | X | X | | X | X | X | X | X | | | | | | | | | | | | | | | | FA - Prime Obligations Fund - Class B (fka Retail Class B) |FA01B | X | X | X | X | X | X | X | | X | X | X | X | X | | | | | | | | | | | | | | | | FA - Prime Obligations Fund - Class Y (fka Class C) |FA01I | X | | X | | X | X | X | | | X | X | X | X | Original SEC effective date 3-1-90 | | | | | | | | | | | | | | | FA - Treasury Obligations Fund - Class A (f/k/a Treasury |FA02A | X | X | X | X | X | X | X | | X | X | X | X | X | Obligations Fund) - Class A SEC effective 10-8-97 | | | | | | | | | | | | | | | FA - Treasury Obligations Fund - Class D |FA02D | | | | | | | | | | | | | | Sales are Blue Sky exempt | | | | | | | | | | | | | | | FA - Treasury Obligations Fund - Class Y (fka Class C) |FA02I | | | X | | X | X | X | | | | X | | X | SEC effective date 3-1-90 | | | | | | | | | | | | | | | FA - Government Obligations Fund - Class A |FA03A | X | X | X | X | X | X | X | | X | X | X | X | X | SEC effective 4-21-98 | | | | | | | | | | | | | | | FA - Government Obligations Fund - Class D |FA03D | | | | | | | X | | | | | | | Sales are Blue Sky exempt | | | | | | | | | | | | | | | FA - Government Obligations Fund - Class Y (fka Class C) |FA03I | | | X | | X | X | X | | | | X | X | X | SEC effective 3-1-90 | | | | | | | | | | | | | | | FA - Tax Free Obligations Fund - Class A |FA04A | X | X | X | X | X | X | X | X | X | X | X | X | X | SEC effective 10-8-97 | | | | | | | | | | | | | | | FA - Tax Free Obligations Fund - Class Y (fka Class C) |FA04C | | | X | | X | X | X | | | | X | | X | SEC effective 1-9-95 | | | | | | | | | | | | | | | FA - Tax Free Obligations Fund - Class D |FA04D | | | | | | | | | | | | | | Sales are Blue Sky exempt | | | | | | | | | | | | | | | First American Investment Funds, Inc. (Minnesota Exemption) |FAI-EX | | | | | | | | | | | | | | | | | | | | | | | | | | | | | FAIF - Intermediate Tax Free Fund - Class A |FAI01A | X | X | X | X | X | X | X | | X | X | X | X | X | (f/k/a Intermediate Tax Free Fund - Retail Class A) | | | | | | | | | | | | | | |
PAGE: 8 AUTOMATED BUSINESS DEVELOPMENT CLEAR SKY DIVISION STATE REGISTRATION REPORT AS OF: 10/01/98 @ 12:02:02 GROUP:FAF
FUND NAMES FUND CODE MT NC ND NE NH NJ NM NV NY OH OK OR PA PR FAIF - Intermediate Tax Free Fund - Class Y |FAI01I | X | X | X | | | X | | | X | | | | X | | (f/k/a Intermediate Tax Free Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Minnesota Intermediate Tax Free Fund - Class A |FAI02A | | | | X | X | X | | | X | | | X | X | | (f/k/a MN Insured Intermediate Tax Free Fund - Class A) | | | | | | | | | | | | | | | | FAIF - Minnesota Intermediate Tax Free Fund - Class Y |FAI02I | | | | | | X | | | X | | | | X | | (f/k/a MN Insured Intermediate Tax Free Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Colorado Intermediate Tax Free Fund - Class A |FAI03A | | | | X | X | X | | | X | | | X | X | | (f/k/a Colorado Intermediate Tax Free Fund - Retail Class A) | | | | | | | | | | | | | | | | FAIF - Colorado Intermediate Tax Free Fund - Class Y |FAI03I | | | | | | X | | | X | | | | X | | (f/k/a Colorado Intermediate Tax Free Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Limited Term Income Fund - Class A |FAI04A | X | X | X | X | X | X | X | X | X | X | X | X | X | | (f/k/a Limited Term Income Fund - Retail Class A) | | | | | | | | | | | | | | | | FAIF - Limited Term Income Fund - Class Y |FAI04I | X | X | X | | | X | | | X | | | | X | | (f/k/a Limited Term Income Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Intermediate Term Income Fund - Class A |FAI05A | X | X | X | X | X | X | X | X | X | X | X | X | X | | (f/k/a Intermediate Term Income Fund - Retail Class A) | | | | | | | | | | | | | | | | FAIF - Intermediate-Term Income Fund - Class Y |FAI05I | X | X | X | | | X | | | X | | | | X | | (f/k/a Intermediate -Term Income Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Fixed Income Fund - Class A |FAI06A | X | X | X | X | X | X | X | X | X | X | X | X | X | | (f/k/a Fixed Income Fund - Retail Class A) | | | | | | | | | | | | | | | | FAIF - Fixed Income Fund - Class B |FAI06B | X | X | X | X | X | X | X | X | X | X | X | X | X | | (f/k/a Fixed Income Fund - Retail Class B) | | | | | | | | | | | | | | | | FAIF - Fixed Income Fund - Class Y |FAI06I | X | X | X | | | X | | | X | | | | X | | (f/k/a Fixed Income Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Intermediate Government Bond Fund - Class A |FAI07A | X | X | X | X | X | X | X | X | X | X | X | X | X | | (f/k/a Intermediate Government Bond Fund - Retail Class A) | | | | | | | | | | | | | | | | FAIF - Intermediate Government Bond Fund - Class Y |FAI07I | X | X | X | | | X | | | X | | | | X | | (f/k/a Intermediate Government Bond Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Large Cap Value Fund - Class A |FAI08A | X | X | X | X | X | X | X | X | X | X | X | X | X | X | (f/k/a Stock Fund - Class A) | | | | | | | | | | | | | | | |
[WIDE TABLE CONTINUED FROM ABOVE]
FUND NAMES FUND CODE RI SC SD TN TX UT VA VI VT WA WI WV WY FAIF - Intermediate Tax Free Fund - Class Y |FAI01I | | | X | | X | | X | | | | X | X | X | (f/k/a Intermediate Tax Free Fund - Class C) | | | | | | | | | | | | | | | FAIF - Minnesota Intermediate Tax Free Fund - Class A |FAI02A | | | | | | X | | | | | | X | X | (f/k/a MN Insured Intermediate Tax Free Fund - Class A) | | | | | | | | | | | | | | | FAIF - Minnesota Intermediate Tax Free Fund - Class Y |FAI02I | | | | | | | | | | | | X | X | (f/k/a MN Insured Intermediate Tax Free Fund - Class C) | | | | | | | | | | | | | | | FAIF - Colorado Intermediate Tax Free Fund - Class A |FAI03A | | | | | | X | | | | | | X | X | (f/k/a Colorado Intermediate Tax Free Fund - Retail Class A) | | | | | | | | | | | | | | | FAIF - Colorado Intermediate Tax Free Fund - Class Y |FAI03I | | | | | | | | | | | | X | X | (f/k/a Colorado Intermediate Tax Free Fund - Class C) | | | | | | | | | | | | | | | FAIF - Limited Term Income Fund - Class A |FAI04A | X | X | X | X | X | X | X | | X | X | X | X | X | (f/k/a Limited Term Income Fund - Retail Class A) | | | | | | | | | | | | | | | FAIF - Limited Term Income Fund - Class Y |FAI04I | | X | X | | X | | X | | | | X | X | X | (f/k/a Limited Term Income Fund - Class C) | | | | | | | | | | | | | | | FAIF - Intermediate Term Income Fund - Class A |FAI05A | X | X | X | X | X | X | X | | X | X | X | X | X | (f/k/a Intermediate Term Income Fund - Retail Class A) | | | | | | | | | | | | | | | FAIF - Intermediate-Term Income Fund - Class Y |FAI05I | | X | X | | X | | X | | | | X | X | X | (f/k/a Intermediate -Term Income Fund - Class C) | | | | | | | | | | | | | | | FAIF - Fixed Income Fund - Class A |FAI06A | X | X | X | X | X | X | X | | X | X | X | X | X | (f/k/a Fixed Income Fund - Retail Class A) | | | | | | | | | | | | | | | FAIF - Fixed Income Fund - Class B |FAI06B | X | X | X | X | X | X | X | | X | X | X | X | X | (f/k/a Fixed Income Fund - Retail Class B) | | | | | | | | | | | | | | | FAIF - Fixed Income Fund - Class Y |FAI06I | | | X | | X | | X | | | | X | X | X | (f/k/a Fixed Income Fund - Class C) | | | | | | | | | | | | | | | FAIF - Intermediate Government Bond Fund - Class A |FAI07A | X | X | X | X | X | X | X | | X | X | X | X | X | (f/k/a Intermediate Government Bond Fund - Retail Class A) | | | | | | | | | | | | | | | FAIF - Intermediate Government Bond Fund - Class Y |FAI07I | | | X | | X | | X | | | | X | X | X | (f/k/a Intermediate Government Bond Fund - Class C) | | | | | | | | | | | | | | | FAIF - Large Cap Value Fund - Class A |FAI08A | X | X | X | X | X | X | X | | X | X | X | X | X | (f/k/a Stock Fund - Class A) | | | | | | | | | | | | | | |
PAGE: 9 AUTOMATED BUSINESS DEVELOPMENT CLEAR SKY DIVISION STATE REGISTRATION REPORT AS OF: 10/01/98 @ 12:02:02 GROUP:FAF
FUND NAMES FUND CODE MT NC ND NE NH NJ NM NV NY OH OK OR PA PR FAIF - Large Cap Value Fund - Class B |FAI08B | X | X | X | X | X | X | X | X | X | X | X | X | X | | (f/k/a Stock Fund - Class B) | | | | | | | | | | | | | | | | FAIF - Large Cap Value Fund - Class Y |FAI08I | X | X | X | | | X | | | X | | | | X | | (f/k/a Stock Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Equity Index Fund - Class A |FAI09A | X | X | X | X | X | X | X | X | X | X | X | X | X | | (f/k/a Equity Index Fund - Retail Class A) | | | | | | | | | | | | | | | | FAIF - Equity Index Fund - Class B |FAI09B | X | X | X | X | X | X | X | X | X | X | X | X | X | | (f/k/a Equity Index Fund - Retail Class B) | | | | | | | | | | | | | | | | FAIF - Equity Index Fund - Class Y |FAI09I | X | X | X | | | X | | | X | | | | X | | (f/k/a Equity Index Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Balanced Fund - Class A |FAI10A | X | X | X | X | X | X | X | X | X | X | X | X | X | | (f/k/a Balanced Fund - Retail Class A) | | | | | | | | | | | | | | | | FAIF - Balanced Fund - Class B |FAI10B | X | X | X | X | X | X | X | X | X | X | X | X | X | | (f/k/a Balanced Fund - Retail Class B) | | | | | | | | | | | | | | | | FAIF - Balanced Fund - Class Y |FAI10I | X | X | X | | | X | | | X | | | | X | | (f/k/a Balanced Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Equity Income Fund - Class A |FAI12A | X | X | X | X | X | X | X | X | X | X | X | X | X | | (f/k/a Equity Income Fund - Retail Class A) | | | | | | | | | | | | | | | | FAIF - Equity Income Fund - Class B |FAI12B | X | X | X | X | X | X | X | X | | X | X | X | X | | (f/k/a Equity Income Fund - Retail Class B) | | | | | | | | | | | | | | | | FAIF - Equity Income Fund - Class Y |FAI12I | X | | X | | | X | | | | | | | X | | (f/k/a Equity Income Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Large Cap Growth Fund - Class A |FAI13A | X | X | X | X | X | X | X | X | X | X | X | X | X | | (f/k/a Diversified Growth Fund - Class A) | | | | | | | | | | | | | | | | FAIF - Large Cap Growth Fund - Class B |FAI13B | X | X | X | X | X | X | X | X | X | X | X | X | X | | (f/k/a Diversified Growth Fund - Class B) | | | | | | | | | | | | | | | | FAIF - Large Cap Growth Fund - Class Y |FAI13I | X | | X | | | X | | | | | | | X | | (f/k/a Diversified Growth Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Small Cap Growth Fund - Class A |FAI14A | X | X | X | X | X | X | X | X | X | X | X | X | X | | (f/k/a Emerging Growth Fund - Class A) | | | | | | | | | | | | | | | |
[WIDE TABLE CONTINUED FROM ABOVE]
FUND NAMES FUND CODE RI SC SD TN TX UT VA VI VT WA WI WV WY FAIF - Large Cap Value Fund - Class B |FAI08B | X | X | X | X | X | X | X | | X | X | X | X | X | (f/k/a Stock Fund - Class B) | | | | | | | | | | | | | | | FAIF - Large Cap Value Fund - Class Y |FAI08I | | | X | | X | | X | | | | X | X | X | (f/k/a Stock Fund - Class C) | | | | | | | | | | | | | | | FAIF - Equity Index Fund - Class A |FAI09A | X | X | X | X | X | X | X | | X | X | X | X | X | (f/k/a Equity Index Fund - Retail Class A) | | | | | | | | | | | | | | | FAIF - Equity Index Fund - Class B |FAI09B | X | X | X | X | X | X | X | | X | X | X | X | X | (f/k/a Equity Index Fund - Retail Class B) | | | | | | | | | | | | | | | FAIF - Equity Index Fund - Class Y |FAI09I | | X | X | | X | | X | | | | X | X | X | (f/k/a Equity Index Fund - Class C) | | | | | | | | | | | | | | | FAIF - Balanced Fund - Class A |FAI10A | X | X | X | X | X | X | X | | X | X | X | X | X | (f/k/a Balanced Fund - Retail Class A) | | | | | | | | | | | | | | | FAIF - Balanced Fund - Class B |FAI10B | X | X | X | X | X | X | X | | X | X | X | X | X | (f/k/a Balanced Fund - Retail Class B) | | | | | | | | | | | | | | | FAIF - Balanced Fund - Class Y |FAI10I | | X | X | | X | | X | | | | X | X | X | (f/k/a Balanced Fund - Class C) | | | | | | | | | | | | | | | FAIF - Equity Income Fund - Class A |FAI12A | X | X | X | X | X | X | X | | X | X | X | X | X | (f/k/a Equity Income Fund - Retail Class A) | | | | | | | | | | | | | | | FAIF - Equity Income Fund - Class B |FAI12B | X | X | X | X | X | X | X | | X | X | X | X | X | (f/k/a Equity Income Fund - Retail Class B) | | | | | | | | | | | | | | | FAIF - Equity Income Fund - Class Y |FAI12I | X | X | X | | X | | X | | | | X | X | X | (f/k/a Equity Income Fund - Class C) | | | | | | | | | | | | | | | FAIF - Large Cap Growth Fund - Class A |FAI13A | X | X | X | X | X | X | X | | X | X | X | X | X | (f/k/a Diversified Growth Fund - Class A) | | | | | | | | | | | | | | | FAIF - Large Cap Growth Fund - Class B |FAI13B | X | X | X | X | X | X | X | | X | X | X | X | X | (f/k/a Diversified Growth Fund - Class B) | | | | | | | | | | | | | | | FAIF - Large Cap Growth Fund - Class Y |FAI13I | | X | X | | X | | X | | | | X | X | X | (f/k/a Diversified Growth Fund - Class C) | | | | | | | | | | | | | | | FAIF - Small Cap Growth Fund - Class A |FAI14A | X | X | X | X | X | X | X | | X | X | X | X | X | (f/k/a Emerging Growth Fund - Class A) | | | | | | | | | | | | | | |
PAGE: 10 AUTOMATED BUSINESS DEVELOPMENT CLEAR SKY DIVISION STATE REGISTRATION REPORT AS OF: 10/01/98 @ 12:02:02 GROUP:FAF
FUND NAMES FUND CODE MT NC ND NE NH NJ NM NV NY OH OK OR PA PR FAIF - Small Cap Growth Fund - Class B |FAI14B | X | X | X | X | X | X | X | X | X | X | X | X | X | | (f/k/a Emerging Growth Fund - Class B) | | | | | | | | | | | | | | | | FAIF - Small Cap Growth Fund - Class Y |FAI14I | X | X | X | | | X | | | X | | | | X | | (f/k/a Emerging Growth Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Regional Equity Fund - Class A |FAI15A | X | X | X | X | X | X | X | X | X | X | X | X | X | | (f/k/a Regional Equity Fund - Retail Class A) | | | | | | | | | | | | | | | | FAIF - Regional Equity Fund - Class B |FAI15B | X | X | X | X | X | X | X | X | X | X | X | X | X | | (f/k/a Regional Equity Fund - Retail Class B) | | | | | | | | | | | | | | | | FAIF - Regional Equity Fund - Class Y |FAI15I | X | X | X | | | X | | | X | | | | X | | (f/k/a Regional Equity Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Mid Cap Value Fund - Class A |FAI16A | X | X | X | X | X | X | X | X | X | X | X | X | X | | (f/k/a Special Equity Fund - Class A | | | | | | | | | | | | | | | | FAIF - Mid Cap Value Fund - Class B |FAI16B | X | X | X | X | X | X | X | X | X | X | X | X | X | | (f/k/a Special Equity Fund - Class B) | | | | | | | | | | | | | | | | FAIF - Mid Cap Value Fund - Class Y |FAI16I | X | X | X | | | X | | | X | | | | X | | (f/k/a Special Equity Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Technology Fund - Class A |FAI17A | X | X | X | X | X | X | X | X | X | X | X | X | X | | (f/k/a Technology Fund - Retail Class A) | | | | | | | | | | | | | | | | FAIF - Technology Fund - Class B |FAI17B | X | X | X | X | X | X | X | X | X | X | X | X | X | | (f/k/a Technology Fund - Retail Class B) | | | | | | | | | | | | | | | | FAIF - Technology Fund - Class Y |FAI17I | X | X | X | | | X | | | | | | | X | | (f/k/a Technology Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Health Sciences Fund - Class A |FAI18A | X | X | X | X | X | X | X | X | X | X | X | X | X | | (f/k/a Health Sciences Fund - Retail Class A) | | | | | | | | | | | | | | | | FAIF - Health Sciences Fund - Class B |FAI18B | X | X | X | X | X | X | X | X | X | X | X | X | X | | (f/k/a Health Sciences Fund - Retail Class B) | | | | | | | | | | | | | | | | FAIF - Health Sciences Fund - Class Y |FAI18I | X | X | X | | | X | | | | | | | X | | (f/k/a Health Sciences Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Real Estate Securities Fund - Class A |FAI19A | X | X | X | X | X | X | X | X | X | X | X | X | X | | (f/k/a Real Estate Securities Fund - Retail Class A) | | | | | | | | | | | | | | | |
[WIDE TABLE CONTINUED FROM ABOVE]
FUND NAMES FUND CODE RI SC SD TN TX UT VA VI VT WA WI WV WY FAIF - Small Cap Growth Fund - Class B |FAI14B | X | X | X | X | X | X | X | | X | X | X | X | X | (f/k/a Emerging Growth Fund - Class B) | | | | | | | | | | | | | | | FAIF - Small Cap Growth Fund - Class Y |FAI14I | X | X | X | | X | | X | | | | X | X | X | (f/k/a Emerging Growth Fund - Class C) | | | | | | | | | | | | | | | FAIF - Regional Equity Fund - Class A |FAI15A | X | X | X | X | X | X | X | | X | X | X | X | X | (f/k/a Regional Equity Fund - Retail Class A) | | | | | | | | | | | | | | | FAIF - Regional Equity Fund - Class B |FAI15B | X | X | X | X | X | X | X | | X | X | X | X | X | (f/k/a Regional Equity Fund - Retail Class B) | | | | | | | | | | | | | | | FAIF - Regional Equity Fund - Class Y |FAI15I | X | X | X | | X | | X | | | | X | X | X | (f/k/a Regional Equity Fund - Class C) | | | | | | | | | | | | | | | FAIF - Mid Cap Value Fund - Class A |FAI16A | X | X | X | X | X | X | X | | X | X | X | X | X | (f/k/a Special Equity Fund - Class A | | | | | | | | | | | | | | | FAIF - Mid Cap Value Fund - Class B |FAI16B | X | X | X | X | X | X | X | | X | X | X | X | X | (f/k/a Special Equity Fund - Class B) | | | | | | | | | | | | | | | FAIF - Mid Cap Value Fund - Class Y |FAI16I | X | | X | | X | | X | | | | X | X | X | (f/k/a Special Equity Fund - Class C) | | | | | | | | | | | | | | | FAIF - Technology Fund - Class A |FAI17A | X | X | X | X | X | X | X | | X | X | X | X | X | (f/k/a Technology Fund - Retail Class A) | | | | | | | | | | | | | | | FAIF - Technology Fund - Class B |FAI17B | X | X | X | X | X | X | X | | X | X | X | X | X | (f/k/a Technology Fund - Retail Class B) | | | | | | | | | | | | | | | FAIF - Technology Fund - Class Y |FAI17I | X | X | X | | X | | X | | | | X | X | X | (f/k/a Technology Fund - Class C) | | | | | | | | | | | | | | | FAIF - Health Sciences Fund - Class A |FAI18A | X | X | X | X | X | X | X | | X | X | X | X | X | (f/k/a Health Sciences Fund - Retail Class A) | | | | | | | | | | | | | | | FAIF - Health Sciences Fund - Class B |FAI18B | X | X | X | X | X | X | X | | X | X | X | X | X | (f/k/a Health Sciences Fund - Retail Class B) | | | | | | | | | | | | | | | FAIF - Health Sciences Fund - Class Y |FAI18I | X | X | X | | X | | X | | X | | X | X | X | (f/k/a Health Sciences Fund - Class C) | | | | | | | | | | | | | | | FAIF - Real Estate Securities Fund - Class A |FAI19A | X | X | X | X | X | X | X | | X | X | X | X | X | (f/k/a Real Estate Securities Fund - Retail Class A) | | | | | | | | | | | | | | |
PAGE: 11 AUTOMATED BUSINESS DEVELOPMENT CLEAR SKY DIVISION STATE REGISTRATION REPORT AS OF: 10/01/98 @ 12:02:02 GROUP:FAF
FUND NAMES FUND CODE MT NC ND NE NH NJ NM NV NY OH OK OR PA PR FAIF - Real Estate Securities Fund - Class B |FAI19B | X | X | X | X | X | X | X | X | X | X | X | X | X | | (f/k/a Real Estate Securities Fund - Retail Class B) | | | | | | | | | | | | | | | | FAIF - Real Estate Securities Fund - Class Y |FAI19I | X | | X | | | X | | | | | | | | | (f/k/a Real Estate Securities Fund - Class C) | | | | | | | | | | | | | | | | FAIF - International Fund - Class A |FAI20A | X | X | X | X | X | X | X | X | X | X | X | X | X | | (f/k/a International Fund - Retail Class A) | | | | | | | | | | | | | | | | FAIF - International Fund - Class B |FAI20B | X | X | X | X | X | X | X | X | X | X | X | X | X | | (f/k/a International Fund - Retail Class B) | | | | | | | | | | | | | | | | FAIF - International Fund - Class Y |FAI20I | X | X | X | | | X | | | | | | | X | | (f/k/a International Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Oregon Intermediate Tax Free Fund - Class Y |FAI24C | | X | | | | X | | | | | | X | X | | (f/k/a Oregon Intermediate Tax Free Fund - Class C) | | | | | | | | | | | | | | | | FAIF - California Intermediate Tax Free Fund - Class A |FAI25A | | X | | X | X | X | | | X | X | X | X | X | | SEC effective 8-5-97 | | | | | | | | | | | | | | | | FAIF - California Intermediate Tax Free Fund - Class Y |FAI25C | | X | | | | X | | | X | | | X | X | | (f/k/a California Intermediate Tax Free Fund - Class C) | | | | | | | | | | | | | | | | FAIF - Micro Cap Value Fund - Class A |FAI26A | X | X | X | X | X | X | X | X | X | X | X | X | X | | SEC effective 8-5-97 | | | | | | | | | | | | | | | | FAIF - Micro Cap Value Fund - Class B |FAI26B | X | X | X | X | X | X | X | X | X | X | X | X | X | | SEC effective 8-5-97 | | | | | | | | | | | | | | | | FAIF - Micro Cap Value Fund - Class Y |FAI26C | X | X | X | | | X | | | | | | X | X | | (f/k/a Micro Cap Value Fund - Class C)SEC effective 8-5-97 | | | | | | | | | | | | | | | | FAIF - Small Cap Value Fund - Class A |FAI27A | X | X | X | X | X | X | X | X | X | X | X | X | X | | SEC effective 11-6-97 | | | | | | | | | | | | | | | | FAIF - Small Cap Value Fund - Class B |FAI27B | X | X | X | X | X | X | X | X | X | X | X | X | X | | SEC effective 11-06-97 | | | | | | | | | | | | | | | | FAIF - Small Cap Value Fund - Class Y |FAI27C | X | X | X | | | X | | | | | | | X | | (f/k/a Small Cap Value Fund - Class C) SEC effective 11-6-97 | | | | | | | | | | | | | | | | FAIF - International Index Fund - Class A |FAI28A | X | X | X | X | X | X | X | X | X | X | X | X | X | | SEC effective 11-06-97 | | | | | | | | | | | | | | | |
[WIDE TABLE CONTINUED FROM ABOVE]
FUND NAMES FUND CODE RI SC SD TN TX UT VA VI VT WA WI WV WY FAIF - Real Estate Securities Fund - Class B |FAI19B | X | X | X | X | X | X | X | | X | X | X | X | X | (f/k/a Real Estate Securities Fund - Retail Class B) | | | | | | | | | | | | | | | FAIF - Real Estate Securities Fund - Class Y |FAI19I | | | X | | X | | X | | | | X | X | X | (f/k/a Real Estate Securities Fund - Class C) | | | | | | | | | | | | | | | FAIF - International Fund - Class A |FAI20A | X | X | X | X | X | X | X | | X | X | X | X | X | (f/k/a International Fund - Retail Class A) | | | | | | | | | | | | | | | FAIF - International Fund - Class B |FAI20B | X | X | X | X | X | X | X | | X | X | X | X | X | (f/k/a International Fund - Retail Class B) | | | | | | | | | | | | | | | FAIF - International Fund - Class Y |FAI20I | X | X | X | | X | | X | | | | X | X | X | (f/k/a International Fund - Class C) | | | | | | | | | | | | | | | FAIF - Oregon Intermediate Tax Free Fund - Class Y |FAI24C | | | | | | | X | | | | | X | X | (f/k/a Oregon Intermediate Tax Free Fund - Class C) | | | | | | | | | | | | | | | FAIF - California Intermediate Tax Free Fund - Class A |FAI25A | | | | | | X | X | | | | | X | X | SEC effective 8-5-97 | | | | | | | | | | | | | | | FAIF - California Intermediate Tax Free Fund - Class Y |FAI25C | | | | | | | X | | | | | X | X | (f/k/a California Intermediate Tax Free Fund - Class C) | | | | | | | | | | | | | | | FAIF - Micro Cap Value Fund - Class A |FAI26A | X | X | X | X | X | X | X | | X | X | X | X | X | SEC effective 8-5-97 | | | | | | | | | | | | | | | FAIF - Micro Cap Value Fund - Class B |FAI26B | X | X | X | X | X | X | X | | X | X | X | X | X | SEC effective 8-5-97 | | | | | | | | | | | | | | | FAIF - Micro Cap Value Fund - Class Y |FAI26C | | | X | | X | | X | | | | X | X | X | (f/k/a Micro Cap Value Fund - Class C)SEC effective 8-5-97 | | | | | | | | | | | | | | | FAIF - Small Cap Value Fund - Class A |FAI27A | X | X | X | X | X | X | X | X | X | X | X | X | X | SEC effective 11-6-97 | | | | | | | | | | | | | | | FAIF - Small Cap Value Fund - Class B |FAI27B | X | X | X | X | X | X | X | X | X | X | X | X | X | SEC effective 11-06-97 | | | | | | | | | | | | | | | FAIF - Small Cap Value Fund - Class Y |FAI27C | | | X | | X | | X | X | | | X | X | X | (f/k/a Small Cap Value Fund - Class C) SEC effective 11-6-97 | | | | | | | | | | | | | | | FAIF - International Index Fund - Class A |FAI28A | X | X | X | X | X | X | X | | X | X | X | X | X | SEC effective 11-06-97 | | | | | | | | | | | | | | |
PAGE: 12 AUTOMATED BUSINESS DEVELOPMENT CLEAR SKY DIVISION STATE REGISTRATION REPORT AS OF: 10/01/98 @ 12:02:02 GROUP:FAF
FUND NAMES FUND CODE MT NC ND NE NH NJ NM NV NY OH OK OR PA PR FAIF - International Index Fund - Class B |FAI28B | X | X | X | X | X | X | X | X | X | X | X | X | X | | SEC effective 11-6-97 | | | | | | | | | | | | | | | | FAIF - International Index Fund - Class Y |FAI28C | X | X | X | | | X | | | | | | | X | | (f/k/a International Index Fund - Class C)SEC eff. 11-6-97 | | | | | | | | | | | | | | | | FAIF - Mid Cap Growth Fund - Class A (NCHG from PPFI02A- |FAI29A | X | X | X | X | X | X | X | X | X | X | X | X | X | X | Emerging Growth Fund-Class A) | | | | | | | | | | | | | | | | FAIF - Mid Cap Growth Fund - Class B |FAI29B | X | X | X | X | X | X | X | X | X | X | X | X | X | X | ** Shell class part of Piper / FAI merger --- | | | | | | | | | | | | | | | | FAIF - Mid Cap Growth Fund - Class Y (NCHG from PPIF02Y-- |FAI29Y | X | X | X | | | X | | X | X | | | | X | | Emerging Growth Fund Class Y) | | | | | | | | | | | | | | | | FAIF - Emerging Markets Fund - Class A (NCHG from PPFGF02A-- |FAI30A | X | X | X | X | X | X | X | X | X | X | X | X | X | X | Emerging Markets Growth Fund-Class A) | | | | | | | | | | | | | | | | FAIF - Emerging Markets Fund - Class B |FAI30B | X | X | X | X | X | X | X | X | X | X | X | X | X | X | ** Shell class part of Piper / FAI merger --- | | | | | | | | | | | | | | | | FAIF - Emerging Markets Fund - Class Y |FAI30Y | X | X | X | | | X | | X | X | | | | X | | ** Shell class part of Piper / FAI merger -- | | | | | | | | | | | | | | | | FAI-Adjustable Rate Mortgage Securities Fund-Class A (NCHG |FAI31A | X | X | X | X | X | X | X | X | X | X | X | X | X | X | from PPFII01-Adjustabe Rate Mortgage Securities Fd Class A) | | | | | | | | | | | | | | | | FAIF - Adjustable Rate Mortgage Securities Fund - Class Y |FAI31Y | X | X | X | | | X | | X | X | | | | X | | | | | | | | | | | | | | | | | | FAIF - Tax Free Fund - Class A (NCHG from PPIF08--National |FAI32A | X | X | X | X | X | X | X | X | X | X | X | X | X | X | Tax-Exempt Fund) | | | | | | | | | | | | | | | | FAIF - Tax Free Fund - Class Y |FAI32Y | X | X | X | | | X | | X | X | | | | X | | | | | | | | | | | | | | | | | | FAIF - Minnesota Tax Free Fund - Class A (NCHG from PPFI09A |FAI33A | X | X | X | X | X | X | X | X | X | X | X | X | X | X | Minnesota Tax-Exempt Fund Class A) | | | | | | | | | | | | | | | | FAIF - Minnesota Tax Free Fund - Class Y (NCHG from PPFI09Y |FAI33Y | X | X | X | | | X | | X | X | | | | X | | - --Minnesota Tax-Exempt Fund Class Y) | | | | | | | | | | | | | | | | FAIF - Strategic Income Fund - Class A |FAI34A | X | X | X | X | X | X | X | X | X | X | X | X | X | | | | | | | | | | | | | | | | | |
[WIDE TABLE CONTINUED FROM ABOVE]
FUND NAMES FUND CODE RI SC SD TN TX UT VA VI VT WA WI WV WY FAIF - International Index Fund - Class B |FAI28B | X | X | X | X | X | X | X | | X | X | X | X | X | SEC effective 11-6-97 | | | | | | | | | | | | | | | FAIF - International Index Fund - Class Y |FAI28C | | | X | | X | | X | | | | X | X | X | (f/k/a International Index Fund - Class C)SEC eff. 11-6-97 | | | | | | | | | | | | | | | FAIF - Mid Cap Growth Fund - Class A (NCHG from PPFI02A- |FAI29A | X | X | X | X | X | X | X | | X | X | X | X | X | Emerging Growth Fund-Class A) | | | | | | | | | | | | | | | FAIF - Mid Cap Growth Fund - Class B |FAI29B | X | X | X | X | X | X | X | | X | X | X | X | X | ** Shell class part of Piper / FAI merger --- | | | | | | | | | | | | | | | FAIF - Mid Cap Growth Fund - Class Y (NCHG from PPIF02Y-- |FAI29Y | X | X | X | | X | | X | | | | X | X | X | Emerging Growth Fund Class Y) | | | | | | | | | | | | | | | FAIF - Emerging Markets Fund - Class A (NCHG from PPFGF02A-- |FAI30A | X | X | X | X | X | X | X | | X | X | X | X | X | Emerging Markets Growth Fund-Class A) | | | | | | | | | | | | | | | FAIF - Emerging Markets Fund - Class B |FAI30B | X | X | X | X | X | X | X | | X | X | X | X | X | ** Shell class part of Piper / FAI merger --- | | | | | | | | | | | | | | | FAIF - Emerging Markets Fund - Class Y |FAI30Y | X | X | X | | X | | X | | | | X | X | X | ** Shell class part of Piper / FAI merger -- | | | | | | | | | | | | | | | FAI-Adjustable Rate Mortgage Securities Fund-Class A (NCHG |FAI31A | X | X | X | X | X | X | X | | X | X | X | X | X | from PPFII01-Adjustabe Rate Mortgage Securities Fd Class A) | | | | | | | | | | | | | | | FAIF - Adjustable Rate Mortgage Securities Fund - Class Y |FAI31Y | X | X | X | | X | | X | | | | X | X | X | | | | | | | | | | | | | | | | FAIF - Tax Free Fund - Class A (NCHG from PPIF08--National |FAI32A | X | X | X | X | X | X | X | | X | X | X | X | X | Tax-Exempt Fund) | | | | | | | | | | | | | | | FAIF - Tax Free Fund - Class Y |FAI32Y | X | X | X | | X | | X | | | | X | X | X | | | | | | | | | | | | | | | | FAIF - Minnesota Tax Free Fund - Class A (NCHG from PPFI09A |FAI33A | X | X | X | X | X | X | X | | X | X | X | X | X | Minnesota Tax-Exempt Fund Class A) | | | | | | | | | | | | | | | FAIF - Minnesota Tax Free Fund - Class Y (NCHG from PPFI09Y |FAI33Y | X | X | X | | X | | X | | | | X | X | X | - --Minnesota Tax-Exempt Fund Class Y) | | | | | | | | | | | | | | | FAIF - Strategic Income Fund - Class A |FAI34A | X | X | X | X | X | X | X | | X | X | X | X | X | | | | | | | | | | | | | | | |
PAGE: 13 AUTOMATED BUSINESS DEVELOPMENT CLEAR SKY DIVISION STATE REGISTRATION REPORT AS OF: 10/01/98 @ 12:02:02 GROUP:FAF
FUND NAMES FUND CODE MT NC ND NE NH NJ NM NV NY OH OK OR PA PR FAIF - Strategic Income Fund - Class B |FAI34B | X | X | X | X | X | X | X | X | X | X | X | X | X | | | | | | | | | | | | | | | | | | FAIF - Strategic Income Fund - Class Y |FAI34Y | X | X | X | | | X | | X | X | | | | X | | Stand Alone prospectus | | | | | | | | | | | | | | | |
[WIDE TABLE CONTINUED FROM ABOVE]
FUND NAMES FUND CODE RI SC SD TN TX UT VA VI VT WA WI WV WY FAIF - Strategic Income Fund - Class B |FAI34B | X | X | X | X | X | X | X | | X | X | X | X | X | | | | | | | | | | | | | | | | FAIF - Strategic Income Fund - Class Y |FAI34Y | X | X | X | | X | | X | | | | X | X | X | Stand Alone prospectus | | | | | | | | | | | | | | |
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