FAQ

Do I have to split MS-9 Capital Reserve funds into principal and interest?
No, capital reserve funds can be reported into the principal section of the MS-9 ledger.
Mon, 6 Aug, 2018 at 4:01 PM
How should fees be reported on the MS-9?
The fees should be reported in the Principal Withdrawals or Income Expenses fields.
Mon, 6 Aug, 2018 at 4:02 PM
How should funds from stock splits be reported?
Fund received from stock splits should be reported on the MS-9 under Principal New Funds.
Mon, 6 Aug, 2018 at 4:02 PM
How should funds received from class action settlements be reported?
These funds should be reported on the MS-9 under Principal New Funds.
Mon, 6 Aug, 2018 at 4:03 PM
How should funds that are invested via multiple methods be reported on the MS-9?
Funds that are invested through multiple methods or types (i.e. a combination such as stocks and bonds or bonds and CDs) should be reported as "Common ...
Mon, 6 Aug, 2018 at 4:04 PM
I have an investment that was created during the year (Principal BOY of zero), how should I report the principal-only fair value?
Enter the original cost of the investment in the Principal Only Beginning of Year Fair Value field and record your unrealized gains/losses accordingly.
Mon, 6 Aug, 2018 at 4:05 PM
The MS-9 Income-Income field we currently report is net income. Will DOJ accept net income?
Yes, for 2018 DOJ will be accepting net income in the MS-9 Income section. Note that in 2019 it is recommended that the Income is shown as a gross total with...
Mon, 6 Aug, 2018 at 4:05 PM
What formula should be used to calculate the allocation of Realized, Unrealized, and Gap/Gain?
For the purposes of principal and income allocation on the MS-9, the percentage of participation of each individual fund in a single common investment should...
Mon, 6 Aug, 2018 at 4:06 PM
Should Principal Fees should be entered in the Principal Withdrawals column?
Yes.
Mon, 6 Aug, 2018 at 4:06 PM
Should Income Fees should be entered in the Income Expended column?
Yes.
Mon, 6 Aug, 2018 at 4:06 PM