0001145549-19-033375.txt : 20190912 0001145549-19-033375.hdr.sgml : 20190912 20190912101801 ACCESSION NUMBER: 0001145549-19-033375 CONFORMED SUBMISSION TYPE: N-CEN PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190630 FILED AS OF DATE: 20190912 DATE AS OF CHANGE: 20190912 EFFECTIVENESS DATE: 20190912 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: 191089713 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 S000005544 Nuveen High Income Bond Fund C000015076 Class A FJSIX C000015078 Class C FCSIX C000015079 Class R3 FANSX C000015080 Class I FJSYX 0000820892 S000005545 Nuveen Inflation Protected Securities Fund C000015081 Class A FAIPX C000015082 Class C FCIPX C000015083 Class R3 FRIPX C000015084 Class I FYIPX C000151931 Class R6 FISFX C000188674 Class T 0047 0000820892 S000005548 Nuveen Core Bond Fund C000015089 Class A FAIIX C000015090 Class I FINIX C000096213 Class C NTIBX C000151932 Class R6 NTIFX C000188676 Class T 0049 0000820892 S000005566 Nuveen Short Term Bond Fund C000015156 Class A FALTX C000015157 Class I FLTIX C000081083 Class C FBSCX C000104758 Class R3 NSSRX C000151933 Class R6 NSSFX C000188682 Class T 0059 0000820892 S000005573 Nuveen Strategic Income Fund C000015185 Class A FCDDX C000015187 Class C FCBCX C000015188 Class R3 FABSX C000015189 Class I FCBYX C000151934 Class R6 FSFRX 0000820892 S000005578 Nuveen Core Plus Bond Fund C000015203 Class A FAFIX C000015205 Class C FFAIX C000015206 Class R3 FFISX C000015207 Class I FFIIX C000151935 Class R6 FPCFX C000188684 Class T 0064 N-CEN 1 primary_doc.xml X0201 N-CEN LIVE 0000820892 XXXXXXXX true false false N-1A S000005544 C000015076 C000015078 C000015079 C000015080 S000005548 true S000005578 true S000005545 true S000005566 true S000005573 C000015185 C000015187 C000015188 C000151934 C000015189 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 17 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 High Income Bond Fund S000005544 1BP8U8JQ20MHBPP75F80 N 4 0 1 N/A N N N N U.S. Bank National Association 6BYL5QZYBDK8S7L73M02 Y N N/A N/A N/A Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y 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)) EUROCLEAR N/A BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) ROYAL BANK OF CANADA N/A CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB, Oslo Branch N/A NO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York, London N/A GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) 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 Virtu Americas LLC 008-68193 000149823 549300RA02N3BNSWBV74 5331.790000000000 Bloomberg Tradebook 008-49219 000040881 549300P0PVQNO43T7K36 252.070000000000 Barclays Capital Inc. 008-41342 000019714 AC28XWWI3WIBK2824319 2226.240000000000 Cantor Fitzgerald & Co. 008-00201 000000134 5493004J7H4GCPG6OB62 1457.280000000000 JPMorgan Securities LLC 008-36950 000018718 ZBUT11V806EZRVTWT807 1150.000000000000 Sanford C. Bernstein & Co., LLC 008-52942 000104474 549300I7JYZHT7D5CO04 1042.660000000000 Goldman Sachs & Co. LLC 008-00129 000000361 FOR8UP27PHTHYVLBNG30 966.690000000000 Bank of America, National Association 008-07221 000007691 B4TYDEB6GKMZO031MB27 861.820000000000 Stuart Frankel & Co., Incorporated 008-17419 000014593 254900XE1RBF5OLE0T50 719.990000000000 Pareto Securities Inc. 008-50796 000044734 549300XXWEPZGXETT322 539.570000000000 15108.300000000000 JPMorgan Securities LLC 008-36950 000018718 ZBUT11V806EZRVTWT807 74060685.000000000000 Morgan Stanley 008-15869 000008209 7PDDXEMZ0ZV0CEDU4D16 20483003.130000000000 Bank of America, National Association 008-07221 000007691 B4TYDEB6GKMZO031MB27 63569530.890000000000 Barclays Capital Inc. 008-41342 000019714 AC28XWWI3WIBK2824319 59813533.930000000000 Credit Suisse Securities (USA) LLC 008-00422 000000816 1V8Y6QCX6YMJ2OELII46 52694396.570000000000 Jefferies LLC 008-15074 000002347 58PU97L1C0WSRCWADL48 47936715.660000000000 Deutsche Bank Securities Inc. 008-17822 000002525 9J6MBOOO7BECTDTUZW19 41076394.380000000000 Goldman Sachs & Co. LLC 008-00129 000000361 FOR8UP27PHTHYVLBNG30 36935985.340000000000 Citigroup Global Markets Inc. 008-08177 000007059 MBNUM2BPBDO7JBLYG310 28193897.490000000000 Cantor Fitzgerald & Co. 008-00201 000000134 5493004J7H4GCPG6OB62 26743076.560000000000 637204296.720000000000 N 288080285.383631000000 Committed 2650000000.000000000000 N N N Nuveen Strategic Income Fund S000005573 D1SNQQOZ05OZW7FW7N26 N 5 0 1 N/A N N N N U.S. Bank National Association 6BYL5QZYBDK8S7L73M02 Y N N/A N/A N/A Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y 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)) CITIBANK EUROPE PLC HUNGARIAN BRANC N/A HU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK AG, SEOUL BRANCH N/A KR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) EUROCLEAR N/A BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC BANK AUSTRALIA LIMITED N/A AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) ROYAL BANK OF CANADA N/A CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon SA/NV N/A DE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of Tokyo-Mitsubishi UFJ Ltd, Tokyo N/A JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) 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 Citigroup Global Markets Inc. 008-08177 000007059 MBNUM2BPBDO7JBLYG310 35720.350000000000 Virtu Americas LLC 008-68193 000149823 549300RA02N3BNSWBV74 78.860000000000 35799.210000000000 Barclays Capital Inc. 008-41342 000019714 AC28XWWI3WIBK2824319 76033895.100000000000 Jefferies LLC 008-15074 000002347 58PU97L1C0WSRCWADL48 20521939.170000000000 JPMorgan Securities LLC 008-36950 000018718 ZBUT11V806EZRVTWT807 75781309.960000000000 Goldman Sachs & Co. LLC 008-00129 000000361 FOR8UP27PHTHYVLBNG30 75105998.860000000000 Citigroup Global Markets Inc. 008-08177 000007059 MBNUM2BPBDO7JBLYG310 58067622.850000000000 Bank of America, National Association 008-07221 000007691 B4TYDEB6GKMZO031MB27 50207861.760000000000 Morgan Stanley 008-15869 000008209 7PDDXEMZ0ZV0CEDU4D16 48915970.580000000000 Credit Suisse Securities (USA) LLC 008-00422 000000816 1V8Y6QCX6YMJ2OELII46 36902494.550000000000 Wells Fargo Securities, LLC 008-65876 000126292 VYVVCKR63DVZZN70PB21 56598310.600000000000 BNP Paribas Securities Corp. 008-32682 000015794 RCNB6OTYUAMMP879YW96 32363801.550000000000 765914875.700000000000 N 619644645.229979000000 Committed 2650000000.000000000000 N N N N true INTERNAL CONTROL RPT 2 nuvpwc_06302019.htm INTERNAL CONTROL REPORT 06.30.2019

Report of Independent Registered Public Accounting Firm

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

Investment Trust and Nuveen Investment Trust II and Shareholders of

Nuveen High Income Bond Fund,

Nuveen Strategic Income Fund,

Nuveen NWQ Global Equity Income Fund,

Nuveen NWQ Multi-Cap Value Fund,

Nuveen NWQ Large-Cap Value Fund,

Nuveen NWQ Small/Mid-Cap Value Fund,

Nuveen NWQ Small-Cap Value Fund and

Nuveen NWQ International Value Fund

In planning and performing our audits of the financial statements of Nuveen High Income Bond Fund, Nuveen Strategic Income Fund, Nuveen NWQ Global Equity Income Fund, Nuveen NWQ Multi-Cap Value Fund, Nuveen NWQ Large-Cap Value Fund, Nuveen NWQ Small/Mid-Cap Value Fund, Nuveen NWQ Small-Cap Value Fund and Nuveen NWQ International Value Fund (hereafter, collectively referred to as the "Funds") as of and for the year ended June 30, 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/trustees 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 June 30, 2019.

This report is intended solely for the information and use of the Board of Directors of Nuveen Investment Funds, Inc., and the Board of Trustees of Nuveen Investment Trust and Nuveen Investment Trust II, 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

August 27, 2019