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0001145549-19-017337.txt : 20190614 0001145549-19-017337.hdr.sgml : 20190614 20190614121117 ACCESSION NUMBER: 0001145549-19-017337 CONFORMED SUBMISSION TYPE: N-CEN PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190331 FILED AS OF DATE: 20190614 DATE AS OF CHANGE: 20190614 EFFECTIVENESS DATE: 20190614 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NUVEEN INVESTMENT FUNDS INC CENTRAL INDEX KEY: 0000820892 IRS NUMBER: 411418224 STATE OF INCORPORATION: MD FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: N-CEN SEC ACT: 1940 Act SEC FILE NUMBER: 811-05309 FILM NUMBER: 19898038 BUSINESS ADDRESS: STREET 1: 333 WEST WACKER DR. CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 312-917-8146 MAIL ADDRESS: STREET 1: 333 WEST WACKER DR. CITY: CHICAGO STATE: IL ZIP: 60606 FORMER COMPANY: FORMER CONFORMED NAME: FIRST AMERICAN INVESTMENT FUNDS INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: SECURAL MUTUAL FUNDS INC DATE OF NAME CHANGE: 19910627

0000820892 S000005564 Nuveen Short Term Municipal Bond Fund

C000015152 Class A FSHAX

C000015153 Class I FSHYX

C000106247 Nuveen Short Term Municipal Bond Fund Class C2 NSVCX

C000137682 Nuveen Short Term Municipal Bond Fund Class C NAAEX

N-CEN 1 primary_doc.xml X0201 N-CEN LIVE 0000820892 XXXXXXXX true false false N-1A S000005564 C000015152 C000137682 C000106247 C000015153 NUVEEN INVESTMENT FUNDS INC 811-05309 0000820892 549300L93TESPETT4366 333 West Wacker Drive Chicago 606061286 US-IL US 3129177700 U.S. Bank National Association (U.S. Bank) 1555 North RiverCenter Drive, Suite 302 Milwaukee 532120000 4142763737 All Instruments representing the investment of the Funds and all cash are held by the custodian. The custodian delivers securities against payment upon sale and pays for securities against delivery upon purchase. The custodian also remits Fund assets in payment of Fund expenses, pursuant to instructions of a Registrants officers or resolutions of the Board of Directors/Trustees. Nuveen Fund Advisors, LLC 333 West Wacker Drive Chicago 606061286 3129177700 Certificate of Incorporation, By-Laws, minutes of director and shareholder meetings and contracts of the Registrant and all advisory material of the investment adviser DST Systems, Inc. P.o. Box 219140 Kansas City 641219140 8002578787 All required records in its capacity as transfer, dividend paying, and shareholder service agent for the Registrant. N N N-1A 21 Y Terence J. Toth 004501033 N Robert L. Young N/A N Jack B. Evans N/A N William C. Hunter N/A N Albin F. Moschner N/A N John K. Nelson N/A N Judith M. Stockdale N/A N Carole E. Stone N/A N Margaret L. Wolff N/A N Margo L. Cook 004719274 Y Walter M. Kelly 004729454 333 West Wacker Drive Chicago 606061286 XXXXXX N N N N N N Nuveen Securities, LLC 008-13464 000000469 549300SUT66RK1UQZ953 Y N PricewaterhouseCoopers LLP 00238 5493002GVO7EO8RNNS37 N N N N N N N Nuveen Short Term Municipal Bond Fund S000005564 549300M6OWM22FYAQM58 Y 4 0 1 N/A N N N N N/A N/A N/A Rule 17a-7 (17 CFR 270.17a-7) Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) N N N N Nuveen Fund Advisors, LLC 801-14147 000104626 5493003J8FN3E5O9OT63 N Nuveen Asset Management, LLC 801-71957 000155584 549300W218VXB0L5EY14 Y N DST Asset Manager Solutions, Inc. 84-00896 549300KY09TR3J12JU49 N N N ICE Data Pricing and Reference Data, LLC 5493000NQ9LYLDBCTL34 N Financial & Risk U.S. Holdings, Inc. (Refinitiv) 549300NF240HXJ07N016 N IHS Markit Ltd. 549300HLPTRASHS0E726 BM N Pricing Direct 549300WIC0TOJ7N7GD54 N Bloomberg 5493001KJTIIGC8Y1R12 N Bloomberg BVAL N/A N Bank of America B4TYDEB6GKMZO031MB27 N N U.S. Bank National Association 6BYL5QZYBDK8S7L73M02 Y N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N DST Asset Manager Solutions, Inc. 549300KY09TR3J12JU49 N N N N Nuveen Securities, LLC 008-13464 000000469 549300SUT66RK1UQZ953 0.000000000000 TIAA-CREF Individual & Institutional Services, LLC 008-44454 000020472 N/A 0.000000000000 Teachers Professional Investors Services, Inc. 008-47051 000036130 N/A 0.000000000000 0.000000000000 Merrill Lynch & Co. Inc. 008-07221 000007691 DWW559HN8WVTCCS4VJ94 78821445.750000000000 Jefferies LLC 008-15074 000002347 58PU97L1C0WSRCWADL48 9071729.830000000000 JPMorgan Securities LLC 008-36950 000018718 ZBUT11V806EZRVTWT807 49528375.940000000000 Morgan Stanley 008-15869 000008209 7PDDXEMZ0ZV0CEDU4D16 48558752.160000000000 RBC Capital Markets, LLC 008-45411 000031194 549300LCO2FLSSVFFR64 46687885.850000000000 Wells Fargo Securities, LLC 008-65876 000126292 VYVVCKR63DVZZN70PB21 34785000.000000000000 Goldman Sachs & Co. LLC 008-00129 000000361 FOR8UP27PHTHYVLBNG30 30275514.670000000000 Barclays Capital Inc. 008-41342 000019714 AC28XWWI3WIBK2824319 25158720.700000000000 Citigroup 008-08177 000007059 549300S41SMIODVIT266 12211518.000000000000 National Financial Services LLC 008-26740 000013041 549300JRHF1MHHWUAW04 9877662.240000000000 395156625.580000000000 N 581160068.350000000000 Committed 2650000000.000000000000 N N N true INTERNAL CONTROL RPT 2 nuvpwc_033119.htm INTERNAL CONTROL REPORT 03.31.19 HTML

Report of Independent Registered Public Accounting Firm

To the Board of Trustees of Nuveen Municipal Trust, the Board of Directors of Nuveen Investment Funds, Inc., and Shareholders of

Nuveen All-American Municipal Bond Fund,

Nuveen Inflation Protected Municipal Bond Fund,

Nuveen Intermediate Duration Municipal Bond Fund,

Nuveen Limited Term Municipal Bond Fund,

Nuveen High Yield Municipal Bond Fund,

Nuveen Short Duration High Yield Municipal Bond Fund,

Nuveen Strategic Municipal Opportunities Fund and

Nuveen Short Term Municipal Bond Fund

In planning and performing our audits of the financial statements of Nuveen All-American Municipal Bond Fund, Nuveen Inflation Protected Municipal Bond Fund, Nuveen Intermediate Duration Municipal Bond Fund, Nuveen Limited Term Municipal Bond Fund, Nuveen High Yield Municipal Bond Fund, Nuveen Short Duration High Yield Municipal Bond Fund and Nuveen Strategic Municipal Opportunities Fund (separate portfolios of Nuveen Municipal Trust) and Nuveen Short Term Municipal Bond Fund (a separate portfolio of Nuveen Investment Funds, Inc.) (hereafter, collectively referred to as the “Funds”) as of and for the year ended March 31, 2019, in accordance with the standards of the Public Company Accounting Oversight Board (United States) (PCAOB), 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-CEN, but not for the purpose of expressing an opinion on the effectiveness of the Funds’ internal control over financial reporting. Accordingly, we do not express an opinion on the effectiveness of the Funds’ internal control over financial reporting.

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 company’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 company’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 company; (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 company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a company’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 company’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 over financial reporting that might be material weaknesses under standards established by the PCAOB. 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 material weaknesses as defined above as of March 31, 2019.

This report is intended solely for the information and use of the Board of Trustees of Nuveen Municipal Trust, the Board of Directors of Nuveen Investment Funds, 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/ PricewaterhouseCoopers LLP

Chicago, Illinois

May 29, 2019