Certain items in Part I of Form MA require additional information on Schedule D. Use this Schedule D to report details for items listed below. Report only new information or changes/updates to previously submitted information. Do not repeat previously submitted information.
This is an: INITIAL or AMENDED Schedule D or ANNUAL UPDATE
SECTION 1-B Other Names under which Municipal Advisor-Related Business is Conducted
List the applicant's other business names and the jurisdictions in which they are used. A separate Schedule D must be completed for each business name, and the jurisdictions where that name is used.
SECTION 1-D Additional Registrations of the Applicant
Indicate any additional registrations with federal or state regulators, and the relevant registration number. A separate Schedule D must be completed for each such registration.
SECTION 1-E Additional Offices at which the Applicant's Municipal Advisor-Related Business is Conducted
Provide the location of the largest five additional offices (in terms of numbers of employees) at which the applicant's municipal advisor-related business is conducted other than applicant's principal office and place of business. A separate Schedule D must be completed for each such office.
Select only one: AddDelete Amend
Street Address 1:
Street Address 2:
City:
State/Country:
PENNSYLVANIA �
Is this address a private residence?
A private residential address will not be included in publicly available versions of this registration form.
Telephone number at this location:
Fax number (if any) a this location:
Select only one: AddDelete Amend
Street Address 1:
Street Address 2:
City:
State/Country:
CALIFORNIA �
Is this address a private residence?
A private residential address will not be included in publicly available versions of this registration form.
Telephone number at this location:
Fax number (if any) a this location:
SECTION 1-F Additional Website Addresses
List any additional website addresses of the applicant. A separate Schedule D must be completed for each such website address.
SECTION 1-I Location of Books and Records
Complete the following information for each location at which the applicant keeps books and records, other than its principal office and place of business. A separate Schedule D must be completed for each location.
Select only one: AddDelete Amend
Name of entity where books and records are kept:
Pershing LLC
Street Address 1:
Street Address 2:
City:
State/Country:
NEW JERSEY �
Is this address a private residence?
Telephone number at this location:
Fax number (if any) at this location:
For non-US telephone and fax numbers, include country code with area code and local number.
This is (Select only one):
one of applicant's branch offices or affiliates.
a third-party unaffiliated record keeper.
Other
Briefly describe the books and records kept at the location(s) you checked. If you checked "other," describe additionally all such location(s).
BNY MELLON CAPITAL MARKETS, LLC ("BNYMCM") MAINTAINS A FULLY DISCLOSED CLEARING RELATIONSHIP WITH PERSHING LLC WHEREBY BNYMCM INTRODUCES ITS CUSTOMERS TO PERSHING AND PERSHING MAINTAINS CUSTOMER ACCOUNTS AND RELATED BOOKS AND RECORDS.�
Select only one: AddDelete Amend
Name of entity where books and records are kept:
BNY MELLON CORPORATION (BROKER DEALER SERVICES DIVISION)
Street Address 1:
Street Address 2:
City:
State/Country:
NEW YORK �
Is this address a private residence?
Telephone number at this location:
Fax number (if any) at this location:
For non-US telephone and fax numbers, include country code with area code and local number.
This is (Select only one):
one of applicant's branch offices or affiliates.
a third-party unaffiliated record keeper.
Other
Briefly describe the books and records kept at the location(s) you checked. If you checked "other," describe additionally all such location(s).
BNY MELLON CAPITAL MARKETS, LLC ("BNYMCM") SELF CLEARS ITS MORTGAGE-BACKED SECURITIES BUSINESS & HAS AN AGREEMENT WITH BNY MELLON CORPORATION (BROKER DEALER SERVICES DIVISION) TO ASSIST BNYMCM IN MORTGAGE-BACKED SECURITIES CLEARANCE & SETTLEMENT ACTIVITIES�
Select only one: AddDelete Amend
Name of entity where books and records are kept:
UBS SECURITIES LLC
Street Address 1:
Street Address 2:
City:
State/Country:
NEW YORK �
Is this address a private residence?
Telephone number at this location:
Fax number (if any) at this location:
For non-US telephone and fax numbers, include country code with area code and local number.
This is (Select only one):
one of applicant's branch offices or affiliates.
a third-party unaffiliated record keeper.
Other
Briefly describe the books and records kept at the location(s) you checked. If you checked "other," describe additionally all such location(s).
BNY MELLON CAPITAL MARKETS, LLC ("BNYMCM") MAINTAINS A FUTURES ACCOUNT WITH UBS WHEREBY BNYMCM WILL EXECUTE CERTAIN FUTURES, OPTIONS AND OTC DERIVATIVES TRANSACTIONS FOR FIRM ACCOUNTS THROUGH UBS AND UBS WILL MAINTAIN RELATED BOOKS AND RECORDS.�
SECTION 1-J Registration with Foreign Financial Regulatory Authorities
List the full name, in English, of each foreign financial regulatory authority, provide the foreign registration number (if any), and list the full name, in English, of the country with which the applicant is registered. A separate Schedule D must be completed for each foreign financial regulatory authority with whom the applicant is registered.
Select only one: AddDelete Amend
English Name of Foreign Financial Regulatory Authority:
Ontario Securities Commission (OSC)
Foreign Registration No. (if any):
English Name of Country:
ONTARIO, CANADA �
SECTION 1-K Business Affiliates of the Applicant
Provide the name of any domestic or foreign business affiliate of the applicant and any federal, state, or foreign registration of such affiliate and the registration number. A separate Schedule D must be completed for each such affiliate.
Name of Affiliate:
PERSHING LLC
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
FINRA
(b) Registration No., if any:
7560
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
PERSHING ADVISOR SOLUTIONS LLC
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
FINRA
(b) Registration No., if any:
36671
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
MELLON HEDGE ADVISORS
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
FINRA
(b) Registration No., if any:
133402
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
WALTER SCOTT & PARTNERS LIMITED
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
SEC
(b) Registration No., if any:
801-19420
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
UNITED KINGDOM �
Name of Affiliate:
PERSHING SECURITIES LIMITED
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
Financial Services Authority (FSA)
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
UNITED KINGDOM �
Name of Affiliate:
PERSHING SECURITIES INTERNATIONAL LIMITED
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
Financial Services Authority (FSA)
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
UNITED KINGDOM �
Name of Affiliate:
PERSHING LIMITED
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
Financial Services Authority (FSA)
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
UNITED KINGDOM �
Name of Affiliate:
BNY MELLON ASSET MANAGEMENT CANADA LIMITED
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
BNY MELLON INVESTMENT MANAGEMENT EMEA LIMITED
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
MBSC SECURITIES CORPORATION
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
FINRA
(b) Registration No., if any:
231
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
BNY MELLON INVESTMENT MANAGEMENT HONG KONG LIMITED
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
BNY MELLON SERVICOS FINANCEIROS DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS (DTVM) S.A.
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
PERSHING (CHANNEL ISLANDS) LIMITED
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
PERSHING SECURITIES SINGAPORE PRIVATE LIMITED
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
THE BANK OF NEW YORK MELLON SECURITIES COMPANY JAPAN LIMITED
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
FINANCIAL SERVICES AGENCY OF JAPAN (JFSA)
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
JAPAN �
Name of Affiliate:
CONVERGEX EXECUTION SOLUTIONS LLC
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
FINRA
(b) Registration No., if any:
35693
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
THE DREYFUS CORPORATION
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
FINRA
(b) Registration No., if any:
105642
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
NEWTON CAPITAL MANAGEMENT LTD
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
SEC
(b) Registration No., if any:
801-42114
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
UNITED KINGDOM �
Name of Affiliate:
STANDISH
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
FINRA
(b) Registration No., if any:
113972
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
LOCKWOOD ADVISORS INC
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
FINRA
(b) Registration No., if any:
106108
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
WESTMINSTER RESEARCH ASSOCIATES LLC
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
FINRA
(b) Registration No., if any:
14508
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
ALCENTRA NY, LLC
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
FINRA
(b) Registration No., if any:
128557
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
G-TRADE SERVICES LLC
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
FINRA
(b) Registration No., if any:
140314
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
CENTERSQUARE INVESTMENT MANAGEMENT HOLDINGS, INC.
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
FINRA
(b) Registration No., if any:
106983
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
CENTERSQUARE INVESTMENT MANAGEMENT, INC.
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
FINRA
(b) Registration No., if any:
107644
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
LIQUIDPOINT, LLC
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
FINRA
(b) Registration No., if any:
47658
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
THE BOSTON COMPANY ASSET MANAGEMENT LLC
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
FINRA
(b) Registration No., if any:
105616
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
EACM ADVISORS LLC
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
FINRA
(b) Registration No., if any:
132057
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
MELLON CAPITAL MANAGEMENT CORPORATEION
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
FINRA
(b) Registration No., if any:
105764
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
PARETO, PARETO INVESTMENT MANAGEMENT LIMITED
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
SEC
(b) Registration No., if any:
801-38908
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
UNITED KINGDOM �
Name of Affiliate:
BNY MELLON INVESTMENT MANAGEMENT AUSTRALIA LTC.
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
AUSTRALIAN SECURIITES AND INVESTMENTS COMMISSION (ASIC)
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
AUSTRALIA �
Name of Affiliate:
BNY MELLON CAPITAL MARKETS EMEA LIMITED
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
FINANCIAL SERVICES AUTHORITY (FSA)
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
UNITED KINGDOM �
Name of Affiliate:
BNY MARKETS LIMITED
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
FINANCIAL CONDUCT AUTHORITY (FCA)
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
UNITED KINGDOM �
Name of Affiliate:
CONVERGEX LIMITED
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
ARX INVESTIMENTOS LTDA
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
SEC
(b) Registration No., if any:
801-69636
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
BRAZIL �
Name of Affiliate:
THE BANK OF NEW YORK CAPITAL MARKETS LIMITED
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
PARETO NEW YORK LLC
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
FINRA
(b) Registration No., if any:
145995
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
CONVERGEX PRIME SERVICES LLC
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
FINRA
(b) Registration No., if any:
140185
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
PERSHING SECURITIES CANADA LIMITED
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
PERSHING SECURITIES AUSTRALIA PTY LTD
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
ALCENTRA LIMITED
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
SEC
(b) Registration No., if any:
801-74223
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
UNITED KINGDOM �
Name of Affiliate:
HEDGEMARK ADVISORS, LLC
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
FINRA
(b) Registration No., if any:
151306
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
HEDGEMARK SECURITIES LLC
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
FINRA
(b) Registration No., if any:
164503
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
BNY MELLON TRANSITION MANAGEMENT ADVISORS
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
FINRA
(b) Registration No., if any:
168024
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
48WALL CAPITAL MANAGEMENT LLC
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
FINRA
(b) Registration No., if any:
169156
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
BNY MELLON ASSET MANAGEMENT JAPAN LIMITED
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
SEC
(b) Registration No., if any:
801-79022
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
JAPAN �
Name of Affiliate:
BNY MELLON INVESTMENT MANAGEMENT SINGAPORE PTE. LIMITED
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
SEC
(b) Registration No., if any:
801-79021
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
SINGAPORE �
Name of Affiliate:
STANDISH (UK)
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
SEC
(b) Registration No., if any:
801-78888
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
UNITED KINGDOM �
Name of Affiliate:
AMHERST CAPITAL MANAGEMENT LLC
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
FINRA
(b) Registration No., if any:
174130
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
CUTWATER ASSET MANAGEMENT
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
FINRA
(b) Registration No., if any:
37214
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
BNY MELLON INVESTMENT MANAGEMENT CAYMAN LTC
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
FINRA
(b) Registration No., if any:
170663
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
SECTION 3 Successions
Complete the following information if succeeding to the business of a currently-registered municipal advisor. If the applicant succeeded more than one municipal advisory firm in the succession being reported on this Form MA, a separate Schedule D must be completed for each predecessor firm. See Instruction 1 of the Specific Instructions for Certain Items in Form MA included in the General Instructions.
SECTION 4-D Firms and Other Persons that Solicit Municipal Advisor Clients on the Applicant's Behalf
Provide the name, address, and phone number of any firm or other person that is not otherwise an associated person of the applicant that solicits municipal advisor clients on the applicant's behalf. A separate Schedule D must be completed for each such firm or natural person.
SECTION 4-E Employees That Also Do Business Independently on the Applicant's Behalf as Affiliates of the Applicant
SECTION 5-B Description of Primary Business (for businesses not listed in Part A of Item 5)
If you checked Item 5-B.2 describe the applicant's primary business (not the applicant's municipal advisor-related business):
�
SECTION 6 Financial Industry and Other Activities of Associated Persons
The following information must be completed for each associated person in every category you checked in Item 6-A. A separate Schedule D must be completed for each such associated person.
Select only one: AddDelete Amend
Legal Name of Associated Person:
THE BANK OF NEW YORK MELLON CORPORATION
Primary Business Name of Associated Person:
THE BANK OF NEW YORK MELLON CORPORATION
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
KLINGER, DANIEL ADAM
Primary Business Name of Associated Person:
KLINGER, DANIEL ADAM
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BNY MELLON INVESTMENT ADVISER, INC.
Primary Business Name of Associated Person:
THE DREYFUS CORPORATION
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
NEWTON INVESTMENT MANAGEMENT (NORTH AMERICA) LTD
Primary Business Name of Associated Person:
NEWTON INVESTMENT MANAGEMENT (NORTH AMERICA) LTD
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Financial Services Authority (FSA)
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
UNITED KINGDOM �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BNY MELLON ADVISORS, INC.
Primary Business Name of Associated Person:
BNY MELLON ADVISORS, INC.
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
PERSHING LLC
Primary Business Name of Associated Person:
PERSHING LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
PERSHING ADVISOR SOLUTIONS LLC
Primary Business Name of Associated Person:
PERSHING ADVISOR SOLUTIONS LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
MELLON INVESTMENTS CORPORATION
Primary Business Name of Associated Person:
MELLON
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
MELLON HEDGE ADVISORS
Primary Business Name of Associated Person:
MELLON HEDGE ADVISORS
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
INSIGHT INVESTMENT INTERNATIONAL LIMITED (#107095)
Primary Business Name of Associated Person:
INSIGHT INVESTMENT (#107095)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Financial Services Authority (FSA)
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
UNITED KINGDOM �
Select only one: AddDelete Amend
Legal Name of Associated Person:
WALTER SCOTT & PARTNERS LIMITED
Primary Business Name of Associated Person:
WALTER SCOTT & PARTNERS LIMITED
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
SEC
Registration Number (if any): (Need to capture the right value from schema)
112161
English Name of Country:
UNITED KINGDOM �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BNY MELLON INVESTMENTS LIMITED
Primary Business Name of Associated Person:
BNY MELLON INVESTMENTS LIMITED
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
UNKNOWN
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
UNITED KINGDOM �
Select only one: AddDelete Amend
Legal Name of Associated Person:
PERSHING SECURITIES LIMITED
Primary Business Name of Associated Person:
PERSHING SECURITIES LIMITED
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Financial Services Authority (FSA)
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
UNITED KINGDOM �
Select only one: AddDelete Amend
Legal Name of Associated Person:
PERSHING SECURITIES INTERNATIONAL LIMITED
Primary Business Name of Associated Person:
PERSHING SECURITIES INTERNATIONAL LIMITED
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Financial Services Authority (FSA)
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
IRELAND �
Select only one: AddDelete Amend
Legal Name of Associated Person:
PERSHING LIMITED
Primary Business Name of Associated Person:
PERSHING LIMITED
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Financial Services Authority (FSA)
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
UNITED KINGDOM �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BNY MELLON ASSET MANAGEMENT CANADA LIMITED
Primary Business Name of Associated Person:
BNY MELLON ASSET MANAGEMENT CANADA LIMITED
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Ontario Securities Commission (OSC)
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
CANADA (FEDERAL LEVEL) �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BNY MELLON INVESTMENT MANAGEMENT EMEA LIMITED
Primary Business Name of Associated Person:
BNY MELLON INVESTMENT MANAGEMENT EMEA LIMITED
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Financial Services Authority (FSA)
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
UNITED KINGDOM �
Select only one: AddDelete Amend
Legal Name of Associated Person:
MBSC SECURITIES CORPORATION
Primary Business Name of Associated Person:
MBSC SECURITIES CORPORATION
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BNY MELLON INVESTMENT MANAGEMENT HONG KONG LIMITED
Primary Business Name of Associated Person:
BNY MELLON INVESTMENT MANAGEMENT HONG KONG LIMITED
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BNY MELLON SERVICOS FINANCEIROS DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS (DTVM) S.A.
Primary Business Name of Associated Person:
BNY MELLON SERVICOS FINANCEIROS DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS (DTVM) S.A.
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Brazilian Securities and Exchange Commission (Comissao de Valores Mobiliarios??CVM)
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
BRAZIL �
Select only one: AddDelete Amend
Legal Name of Associated Person:
INSIGHT NORTH AMERICA LLC (#145995)
Primary Business Name of Associated Person:
INSIGHT INVESTMENT
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
PERSHING (CHANNEL ISLANDS) LIMITED
Primary Business Name of Associated Person:
PERSHING (CHANNEL ISLANDS) LIMITED
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Jersey Financial Services License (AFSL)
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
JERSEY �
Select only one: AddDelete Amend
Legal Name of Associated Person:
PERSHING SECURITIES SINGAPORE PRIVATE LIMITED
Primary Business Name of Associated Person:
PERSHING SECURITIES SINGAPORE PRIVATE LIMITED
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
SINGAPORE ACCOUNTING AND CORPORATE REGULATORY AUTHORITY
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
SINGAPORE �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BNY MELLON INVESTMENT MANAGEMENT JAPAN LIMITED
Primary Business Name of Associated Person:
BNY MELLON INVESTMENT MANAGEMENT JAPAN LIMITED
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Kanto Local Financial Bureau
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
JAPAN �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BNY MELLON INVESTMENTS SWITZERLAND GMBH
Primary Business Name of Associated Person:
BNY MELLON INVESTMENTS SWITZERLAND GMBH
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
LYNCH, ROBERT E
Primary Business Name of Associated Person:
LYNCH, ROBERT E
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BNY Mellon ETF Investment Adviser, LLC
Primary Business Name of Associated Person:
BNY Mellon ETF Investment Adviser, LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
Newton Investment Management North America LLC
Primary Business Name of Associated Person:
Newton Investment Management North America
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BNY MELLON FUND MANAGEMENT (LUXEMBOURG) S.A
Primary Business Name of Associated Person:
BNY MELLON FUND MANAGEMENT (LUXEMBOURG) S.A
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
LUXEMBOURG COMMISSION DE SURVEILLANCE DU SECTEUR FINANCIER ("CSSF")
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
LUXEMBOURG �
Select only one: AddDelete Amend
Legal Name of Associated Person:
DRAGAN SKOKO
Primary Business Name of Associated Person:
DRAGAN SKOKO
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
ROBERT BARYSH
Primary Business Name of Associated Person:
ROBERT BARYSH
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
FREDERIC CHARLES GOODWIN
Primary Business Name of Associated Person:
FREDERIC CHARLES GOODWIN
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
Duffany, Stephen J
Primary Business Name of Associated Person:
Duffany, Stephen J
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
Michelle Marie Logue
Primary Business Name of Associated Person:
240 Greenwich Street, New York, NY 10286
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BNY Mellon IM Korea Limited
Primary Business Name of Associated Person:
BNY Mellon IM Korea Limited
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Financial Services Commission
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
KOREA, DEMOCRATIC PEOPLE'S REPUBLIC OF �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BNY Mellon AM Latin America S.A.
Primary Business Name of Associated Person:
BNY Mellon AM Latin America S.A.
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Financial Market Commission
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
CHILE �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BNY Mellon Investment Management Singapore PTE. Limited
Primary Business Name of Associated Person:
BNY Mellon Investment Management Singapore PTE. Limited
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Monetary Authority of Singapore
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
SINGAPORE �
Select only one: AddDelete Amend
Legal Name of Associated Person:
The Bank of New York Mellon Securities Company Japan
Primary Business Name of Associated Person:
The Bank of New York Mellon Securities Company Japan
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Financial Services Agency
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
JAPAN �
Select only one: AddDelete Amend
Legal Name of Associated Person:
GEARHART, JEFFREY S
Primary Business Name of Associated Person:
GEARHART, JEFFREY S
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
DEMENOCAL, DANIEL CROSBY JR
Primary Business Name of Associated Person:
DEMENOCAL, DANIEL CROSBY JR
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
GAVIN JR, JOHN MICHAEL
Primary Business Name of Associated Person:
GAVIN JR, JOHN MICHAEL
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
STRUMEYER, GARY MITCHELL
Primary Business Name of Associated Person:
STRUMEYER, GARY MITCHELL
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
GARDINER, CELESTE DELANEY
Primary Business Name of Associated Person:
GARDINER, CELESTE DELANEY
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
THE DREYFUS CORPORATION
Primary Business Name of Associated Person:
THE DREYFUS CORPORATION
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
NEWTON CAPITAL MANAGEMENT LTD
Primary Business Name of Associated Person:
NEWTON CAPITAL MANAGEMENT LTD
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Financial Services Authority (FSA)
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
UNITED KINGDOM �
Select only one: AddDelete Amend
Legal Name of Associated Person:
STANDISH
Primary Business Name of Associated Person:
STANDISH
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
LOCKWOOD ADVISORS INC
Primary Business Name of Associated Person:
LOCKWOOD ADVISORS INC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
WESTMINSTER RESEARCH ASSOCIATES LLC
Primary Business Name of Associated Person:
WESTMINSTER RESEARCH ASSOCIATED LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
CONVERGEX EXECUTION SOLUTIONS LLC
Primary Business Name of Associated Person:
CONVERGEX EXECUTION SOLUTIONS LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
ALCENTRA NY, LLC
Primary Business Name of Associated Person:
ALCENTRA NY, LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
G-TRADE SERVICES LLC
Primary Business Name of Associated Person:
G-TRADE SERVICES LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
CENTERSQUARE INVESTMENT MANAGEMENT HOLDINGS, INC.
Primary Business Name of Associated Person:
CENTERSQUARE INVESTMENT MANAGEMENT HOLDINGS, INC.
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
CENTERSQUARE INVESTMENT MANAGEMENT, INC.
Primary Business Name of Associated Person:
CENTERSQUARE INVESTMENT MANAGEMENT, INC.
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
LIQUIDPOINT, LLC
Primary Business Name of Associated Person:
LIQUIDPOINT, LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
THE BOSTON COMPANY ASSET MANAGEMENT LLC
Primary Business Name of Associated Person:
THE BOSTON COMPANY ASSET MANAGEMENT LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
EACM ADVISORS LLC
Primary Business Name of Associated Person:
EACM ADVISORS LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
MELLON CAPITAL MANAGEMENT CORPORATION
Primary Business Name of Associated Person:
MELLON CAPITAL MANAGEMENT CORPORATION
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
PARETO, PARETO INVESTMENT MANAGEMENT LIMITED
Primary Business Name of Associated Person:
PARETO, PARETO INVESTMENT MANAGEMENT LIMITED
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Financial Services Authority (FSA)
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
UNITED KINGDOM �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BNY MELLON INVESTMENT MANAGEMENT AUSTRALIA LTD.
Primary Business Name of Associated Person:
BNY MELLON INVESTMENT MANAGEMENT AUSTRALIA LTD.
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Australian Securities and Investments Commission (ASIC)
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
AUSTRALIA �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BNY MELLON CAPITAL MARKETS EMEA LIMITED
Primary Business Name of Associated Person:
BNY MELLON CAPITAL MARKETS EMEA LIMITED
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Financial Services Authority (FSA)
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
UNITED KINGDOM �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BNY MARKETS LIMITED
Primary Business Name of Associated Person:
BNY MARKETS LIMITED
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
UNKNOWN
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
UNITED KINGDOM �
Select only one: AddDelete Amend
Legal Name of Associated Person:
CONVERGEX LIMITED
Primary Business Name of Associated Person:
CONVERGEX LIMITED
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
UNKNOWN
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
UNITED KINGDOM �
Select only one: AddDelete Amend
Legal Name of Associated Person:
ARX INVESTIMENTOS LTDA
Primary Business Name of Associated Person:
ARX INVESTIMENTOS LTDA
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
SEC
Registration Number (if any): (Need to capture the right value from schema)
148403
English Name of Country:
BRAZIL �
Select only one: AddDelete Amend
Legal Name of Associated Person:
THE BANK OF NEW YORK CAPITAL MARKETS LIMITED
Primary Business Name of Associated Person:
THE BANK OF NEW YORK CAPITAL MARKETS LIMITED
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
UNKNOWN
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
UNITED KINGDOM �
Select only one: AddDelete Amend
Legal Name of Associated Person:
PARETO NEW YORK LLC
Primary Business Name of Associated Person:
PARETO NEW YORK LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
CONVERGEX PRIME SERVICES LLC
Primary Business Name of Associated Person:
CONVERGEX PRIME SERVICES LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
PERSHING SECURITIES CANADA LIMITED
Primary Business Name of Associated Person:
PERSHING SECURITIES CANADA LIMITED
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Ontario Securities Commission (OSC)
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
CANADA (FEDERAL LEVEL) �
Select only one: AddDelete Amend
Legal Name of Associated Person:
PERSHING SECURITIES AUSTRALIA PTY LTD
Primary Business Name of Associated Person:
PERSHING SECURITIES AUSTRALIA LTD
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Australian Financial services License (AFSL)
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
AUSTRALIA �
Select only one: AddDelete Amend
Legal Name of Associated Person:
ALCENTRA LIMITED
Primary Business Name of Associated Person:
ALCENTRA LIMITED
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
SEC
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
UNITED KINGDOM �
Select only one: AddDelete Amend
Legal Name of Associated Person:
HEDGEMARK ADVISORS, LLC
Primary Business Name of Associated Person:
HEDGEMARK ADVISORS, LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
HEDGEMARK SECURITIES LLC
Primary Business Name of Associated Person:
HEDGEMARK SECURITIES LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BNY MELLON TRANSITION MANAGEMENT ADVISORS
Primary Business Name of Associated Person:
BNY MELLON TRANSITION MANAGEMENT ADVISORS
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
48WALL CAPITAL MANAGEMENT LLC
Primary Business Name of Associated Person:
48WALL CAPITAL MANAGEMENT LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BNY MELLON ASSET MANAGEMENT JAPAN LIMITED
Primary Business Name of Associated Person:
BNY MELLON ASSET MANAGEMENT JAPAN LIMITED
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
SEC
Registration Number (if any): (Need to capture the right value from schema)
169829
English Name of Country:
JAPAN �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BNY MELLON INVESTMENT MANAGEMENT SINGAPORE PTE. LIMITED
Primary Business Name of Associated Person:
BNY MELLON INVESTMENT MANAGEMENT SINGAPORE PTE. LIMITED
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
SEC
Registration Number (if any): (Need to capture the right value from schema)
169691
English Name of Country:
SINGAPORE �
Select only one: AddDelete Amend
Legal Name of Associated Person:
STANDISH (UK)
Primary Business Name of Associated Person:
STANDISH (UK)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
SEC
Registration Number (if any): (Need to capture the right value from schema)
801-78888
English Name of Country:
UNITED KINGDOM �
Select only one: AddDelete Amend
Legal Name of Associated Person:
AMHERST CAPITAL MANAGEMENT LLC
Primary Business Name of Associated Person:
AMHERST CAPITAL MANAGEMENT LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
CUTWATER ASSET MANAGEMENT
Primary Business Name of Associated Person:
CUTWATER ASSET MANAGEMENT
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BNY MELLON INVESTMENT MANAGEMENT CAYMAN LTD
Primary Business Name of Associated Person:
BNY MELLON INVESTMENT MANAGEMENT CAYMAN LTD
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
SEC
Registration Number (if any): (Need to capture the right value from schema)
801-79316
English Name of Country:
CAYMAN ISLANDS �
Select only one: AddDelete Amend
Legal Name of Associated Person:
DONOVAN, TIMOTHY JAMES
Primary Business Name of Associated Person:
DONOVAN, TIMOTHY JAMES
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
JACOBS, CHRISTOPHER
Primary Business Name of Associated Person:
JACOBS, CHRISTOPHER
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
PENN, J. DEREK
Primary Business Name of Associated Person:
PENN, J. DEREK
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
SECTION 8 Control Persons (on a basis other than 25% ownership or executive officer status)
Section 8-A. A separate Schedule D must be completed for each control person not named in Item 1-A. or Schedules A, B, or C that directly or indirectly controls the applicant's management or policies.
Section 8-B. If any person named in Schedules A, B, or C or in Section 8-A of this Schedule D is a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934, provide the information below. A separate Schedule D must be completed for each public reporting company.
Schedule D: MISCELLANEOUS
The space below may be used to explain a response to an Item or to provide any other information.
This filing is being made to satisfy an existing delinquency for the fiscal year end 2015 Form MA-A. This filing contains the same information as the October 2015 form MA/A filing. The only difference is that this filing contains regulatory action disclosure items that occurred after 12/31/2015 and which cannot be removed.�