Equus Total Return, Inc.-Certificate of accounting of securities and similar investments in the custody of manageme... (40-17F2)
May 28 2008 - 4:20PM
Edgar (US Regulatory)
U.S. Securities and Exchange Commission
Washington, D.C. 20549
FORM N-17f-2
CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN
THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES
Pursuant to Rule 17f-2 [17 CRF 270.17f-2]
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1. Investment Company Act File Number:
814-00098
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Date examination
completed:
March 26, 2008
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2. State Identification Number:
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AL
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AK
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AZ
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AR
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CA
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CO
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CT
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DE
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DC
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FL
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GA
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HI
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ID
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IL
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IN
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IA
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KS
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KY
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LA
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ME
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MD
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MA
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MI
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MN
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MS
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MO
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MT
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NE
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NV
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NH
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NJ
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NM
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NY
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NC
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ND
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OH
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OK
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OR
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PA
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RI
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SC
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SD
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TN
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TX
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UT
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VT
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VA
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WA
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WV
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WI
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WY
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PUERTO RICO
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Other (specify):
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3. Exact name of investment company as specified in registration statement:
Equus Total Return, Inc.
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4. Address of
principal executive office: (number, street, city, state, zip code)
2727 Allen Parkway, 13th Floor, Houston, Texas 77019
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INSTRUCTIONS
This Form must be completed by the investment companies that have custody of securities or similar investments.
Investment Company
1.
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All items must be completed by the investment company.
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2.
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Give this Form to the independent public accountant who, in compliance with Rule 17f-2 under the Act and applicable state law, examines securities and similar investments in the
custody of the investment company.
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Accountant
3.
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Submit this Form to the Securities and Exchange Commission and appropriate state securities administrators when filing the certificate of accounting required by Rule 17f-2 under the
Act and applicable state law. File the original and one copy with the Securities and Exchange Commissions principal office in Washington, D.C., one copy with the regional office for the region in which the investment companys principal
business operations are conducted, and one copy with the appropriate state administrator(s), if applicable.
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THIS FORM MUST BE
GIVEN TO YOUR INDEPENDENT PUBLIC ACCOUNTANT
1
Management Statement Regarding Compliance with
Certain Provisions of the Investment Company Act of 1940
May 27, 2008
UHY LLP
12
Greenway Plaza, Suite 200
Houston, TX 77046
To whom it may
concern:
We, as members of management of Equus Total Return, Inc. (the Fund), are responsible for complying with the requirements of
subsections (b) and (c) of rule 17f-2, Custody of Investments by Registered Management Investment Companies, of the Investment Company Act of 1940 (the Act). We are also responsible for establishing and maintaining
effective internal controls over compliance with those requirements. We have performed an evaluation of the Funds compliance with the requirements of subsections (b) and (c) of rule 17f-2 as of March 26, 2008, and from
December 31, 2007 (the date of our last examination), through March 26, 2008.
Based on this evaluation, we assert that the Fund was in
compliance with the requirements of subsections (b) and (c) of rule 17f-2 of the Act as of March 26, 2008, and from December 31, 2007 (the date of our last examination), through March 26, 2008, with respect to securities
reflected in the investment account of the Fund.
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Equus Total Return, Inc.
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By:
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/s/ LSheryl D. Hudson
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LSheryl D. Hudson
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Chief Financial Officer
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2
Report of Independent Registered Public Accounting Firm
To the Board of Directors of
Equus Total Return, Inc.
We have examined managements assertion, included in the accompanying Management Statement Regarding Compliance With Certain Provisions of the Investment Company Act
of 1940, that Equus Total Return, Inc. (the Fund) complied with the requirements of subsections (b) and (c) of rule 17f-2 under the Investment Company Act of 1940 (the Act) as of March 26, 2008. Management is
responsible for the Funds compliance with those requirements. Our responsibility is to express an opinion on managements assertion about the Funds compliance based on our examination.
Our examination was conducted in accordance with the standards of the Public Company Accounting Oversight Board (United States) 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
March 26, 2008, and with respect to agreement of security purchases and sales, for the period from December 31, 2007 (the date of our last examination) through March 26, 2008:
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Count and inspection of all securities located in the vault of the Frost National Bank (the Custodian) in San Antonio, Texas without prior notice to
management;
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Confirmation of all securities hypothecated, pledged, placed in escrow, or out for transfer with brokers, pledges, or transfer agents; and
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Reconciliation of all such securities to the books and records of the Fund and the Custodian.
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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
specified requirements.
In our opinion, managements assertion that the Fund complied with the requirements of subsections (b) and (c) of
rule 17f-2 of the Act as of March 26, 2008, with respect to securities reflected in the investment account of the Fund is fairly stated, in all material respects.
This report is intended solely for the information and use of management and the Board of Directors of the Fund and the Securities and Exchange Commission and is not intended to be and should not be used by anyone
other than these specified parties.
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/s/ UHY LLP
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Houston, Texas
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May 27, 2008
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3
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