# EDGAR Filing Document

**Accession Number:** 0000913181
**File Stem:** 0000913181-25-000036
**Filing Date:** 2025-11
**Character Count:** 16939
**Document Hash:** e08c1c960f85d30118310fb7d5129c89
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000913181-25-000036.hdr.sgml**: 20251118

**ACCESSION NUMBER**: 0000913181-25-000036

**CONFORMED SUBMISSION TYPE**: TA-1/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20251103

**DATE AS OF CHANGE**: 20251118

**EFFECTIVENESS DATE**: 20251113

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** MUFG Investor Services (US) LLC
- **CENTRAL INDEX KEY:** 0000913181

**ORGANIZATION NAME:**
- **EIN:** 272935244
- **STATE OF INCORPORATION:** KS
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-05475
- **FILM NUMBER:** 251493943

**BUSINESS ADDRESS:**
- **STREET 1:** 805 KING FARM BOULEVARD, SUITE 600
- **CITY:** ROCKVILLE
- **STATE:** MD
- **ZIP:** 20850
- **BUSINESS PHONE:** 800-820-0888

**MAIL ADDRESS:**
- **STREET 1:** 805 KING FARM BOULEVARD, SUITE 600
- **CITY:** ROCKVILLE
- **STATE:** MD
- **ZIP:** 20850

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** MUFG Investor Services (US), LLC
- **DATE OF NAME CHANGE:** 20161019

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** RYDEX FUND SERVICES LLC/TA
- **DATE OF NAME CHANGE:** 20101206

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PADCO SERVICE CO INC                                    /TA
- **DATE OF NAME CHANGE:** 20010119

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM TA-1

### UNIFORM FORM OF APPLICATION FOR REGISTRATION AS A TRANSFER AGENT

### Registrant Information

**Appropriate regulatory agency:** SEC

**Full name of Registrant:** MUFG Investor Services (US) LLC

**FINS Number:** 269647

**Address of principal office where transfer agent activities are performed:** 805 King Farm Blvd., Suite 600, Rockville, MD, 20850

**Is mailing address different from principal office address?:** No

**Telephone Number:** 240-614-4800

**Does registrant conduct business in other locations?:** No

**Is registrant a self-transfer agent?:** No

**Does registrant engage a service company to perform any of its transfer agent functions?:** No

**Is registrant engaged as a service company by a named transfer agent?:** No

### Ownership and Control Information

**Registrant Type:** Other

**Description (if Other):** Limited Liability Company

**Does any other person control the management or policies of the applicant?:** Yes

- **Controlling Entity Name:** Kelly Dudley

- **Agreement Description:** Interim Chief Compliance Officer, MUFG Investor Services (US) LLC

**Does any other person directly or indirectly finance the applicant?:** No

**Control Affiliates Information:**

| Entity Name                  | Relationship Start Date   | Title or Status   | Authority Description                    |
|:---|:---|:---|:---|
| MUFG Fund Services (USA) LLC | 07/01/2017                | Sole Owner        | 100% ownership of MUFG Investor Services |

### Disciplinary History

- **Convicted/plead guilty to any felony or investment-related misdemeanor?:** No

- **Convicted/plead guilty to any other felony?:** No

- **Enjoined in connection with any investment-related activity?:** No

- **Found to have violated any investment-related statute or regulation?:** No

- **Made a false statement or omission in a filing with the SEC?:** No

- **Found to have violated SRO rules or failed to supervise?:** Yes

  - **Details #1:**

    - **Entity Name:** MUFG Securities Americas Inc. f.k.a. Mitsubishi UFJ Securities (USA) Inc.

    - **Action Title:** Docket/Case Number 3-17094

    - **Action Date:** 02/02/2016

    - **Court/Body Name and Location:** US Securities & Exchange Commission

    - **Action Description:** SEC alleged that Mitsubishi UFJ Securities (USA) Inc. ("MUS(USA)") violated Section 17(A)(2) of the Securities Act in connection with its underwriting of certain municipal securities offerings.

    - **Disposition:** Without admitting or denying the findings, MUS(USA) consented to (1) cease and desist from further violations; (2) pay a monetary penalty of $20,000.

  - **Details #2:**

    - **Entity Name:** MUFG Securities Americas Inc.

    - **Action Title:** Docket/Case Number 3-18914

    - **Action Date:** 12/10/2018

    - **Court/Body Name and Location:** US Securities & Exchange Commission

    - **Action Description:** MUFG Securities Americas Inc. ("MUSA") allegedly submitted incomplete or deficient information in response to SEC electronic blue sheet (EBS) requests.

    - **Disposition:** The Order requires that MUSA: (1) Cease and desist from committing or causing any violations and any future violations of Section 17(a)(1) of the Exchange Act; (2) Receive a censure; and (3) Pay a civil monetary fine of $1.4 million USD.

  - **Details #3:**

    - **Entity Name:** MUFG Bank, Ltd. f.k.a. Bank of Tokyo-Mitsubishi UFJ, Ltd.

    - **Action Title:** Docket/Case Number 17-21

    - **Action Date:** 08/07/2017

    - **Court/Body Name and Location:** Commodity Futures Trading Commission (CFTC)

    - **Action Description:** Bank of Tokyo-Mitsubishi UFJ, Ltd. ("BTMU") self-disclosed to the CFTC that one of its traders engaged in the disruptive trading practices of "spoofing" various futures products on designated contract markets in the US, in violation of Commodity Exchange Act Section 4C(A)(5).

    - **Disposition:** BTMU consented to cease and desist from violating the Commodity Exchange Act's prohibition against spoofing, and was fined $600,000 USD.

- **Had authorization to act as a financial professional denied, suspended, or revoked?:** No

- **Had a registration as a financial professional denied, suspended, or revoked?:** No

- **Federal/State agency found a false statement or omission?:** No

- **Federal/State agency found a violation of investment-related regulations?:** Yes

  - **Details #1:**

    - **Entity Name:** MUFG Securities Americas Inc. f.k.a. Mitsubishi UFJ Securities (USA) Inc.

    - **Action Title:** Docket/Case Number 13-011

    - **Action Date:** 03/21/2013

    - **Court/Body Name and Location:** Ohio Division of Securities

    - **Action Description:** Ohio Division of Securities alleged that Mitsubishi UFJ Securities (USA) Inc. ("MUS(USA)") had been operating as a securities dealer in the state of Ohio without an Ohio dealer's license.

    - **Disposition:** MUS(USA) consented to cease and desist from further violations, and also agreed to disgorge the commissions and markups for all transactions made during the period.

  - **Details #2:**

    - **Entity Name:** MUFG Bank, Ltd. f.k.a. Bank of Tokyo-Mitsubishi UFJ, Ltd

    - **Action Title:** Consent Order under New York Banking Law 39 and 44

    - **Action Date:** 11/18/2014

    - **Court/Body Name and Location:** New York State Department of Financial Services (NYDFS)

    - **Action Description:** NYDFS alleged that Bank of Tokyo-Mitsubishi UFJ, Ltd. ("BTMU") misled NYDFS in reaching settlement terms of a prior 2013 consent order. BTMU also allegedly failed to maintain accurate books at its NY Branch.

    - **Disposition:** BTMU consented to pay a civil monetary penalty of $315 million USD. The NYDFS investigation led to the resignation from BTMU of the NY Branch Compliance Manager.

  - **Details #3:**

    - **Entity Name:** MUFG Bank, Ltd. f.k.a. Bank of Tokyo-Mitsubishi UFJ, Ltd.

    - **Action Title:** Consent Order under New York Banking Law 44

    - **Action Date:** 06/19/2013

    - **Court/Body Name and Location:** New York State Department of Financial Services (NYDFS)

    - **Action Description:** NYDFS alleged that Bank of Tokyo-Mitsubishi UFJ, Ltd. ("BTMU") committed violations of Economic Sanctions laws. The alleged violations were involving Iran, Sudan, Myanmar, and certain entities on OFAC's Specially Designated Nationals list.

    - **Disposition:** BTMU consented to pay a civil monetary penalty of $250 million USD. BTMU also consented to hire an independent consultant, who will review its Compliance Program.

  - **Details #4:**

    - **Entity Name:** MUFG Bank, Ltd. f.k.a. Bank of Tokyo-Mitsubishi UFJ, Ltd.

    - **Action Title:** Enforcement Action for 12/12/2012

    - **Action Date:** 12/12/2012

    - **Court/Body Name and Location:** Office of Foreign Asset Control (OFAC)

    - **Action Description:** OFAC alleged that Bank of Tokyo-Mitsubishi UFJ, Ltd. ("BTMU") violated the Burmese Sanctions Regulations, 31 CFR part 537; the Iranian Transactions Regulations, 31 CFR part 560; and Executive Order 13382.

    - **Disposition:** BTMU consented to pay a civil monetary penalty of $8,571,634 USD. BTMU also consented to undertake significant remediation to improve its OFAC compliance policies and procedures.

  - **Details #5:**

    - **Entity Name:** MUFG Bank, Ltd

    - **Action Title:** Consent Order #2019-004

    - **Action Date:** 02/22/2019

    - **Court/Body Name and Location:** Office of the Comptroller of the Currency (OCC)

    - **Action Description:** The OCC found that the New York, Chicago, and Los Angeles branches of MUFG Bank, Ltd. had deficiencies in their Bank Secrecy Act compliance programs.

    - **Disposition:** The order requires the MUFG Bank, Ltd. branches to take comprehensive corrective actions to improve their Bank Secrecy Act and anti-money laundering compliance programs.

  - **Details #6:**

    - **Entity Name:** Mitsubishi UFJ Financial Group, Inc. & MUFG Bank, Ltd. f.k.a. Bank of Tokyo-Mitsubishi UFJ, Ltd.

    - **Action Title:** Docket/Case Number 06-028 WA/RB (Fed/NYS Banking Dept)

    - **Action Date:** 12/18/2006

    - **Court/Body Name and Location:** Federal Reserve Board, NY State Banking Dept., & Federal Deposit Insurance Corp.

    - **Action Description:** The joint release order determined that Bank of Tokyo-Mitsubishi UFJ, Ltd. failed to implement adequate Bank Secrecy Act and anti-money laundering compliance programs.

    - **Disposition:** Mitsubishi UFJ Financial Group, Inc entered into a written agreement with the Federal Reserve Banks of SF and NY, and the NY State Banking Dept. Bank of Tokyo-Mitsubishi UFJ, Ltd. consented to an order to cease and desist issued by the FDIC.

  - **Details #7:**

    - **Entity Name:** MUFG Bank, Ltd.

    - **Action Title:** Docket/Case # 1:17-CV-08691

    - **Action Date:** 06/24/2019

    - **Court/Body Name and Location:** New York State Department of Financial Services (NYDFS)

    - **Action Description:** Following MUFG Bank, Ltd.'s (MUFGBK) conversion of its state banking licenses issued by NYDFS to federal banking licenses issued by the Office of the Comptroller of the Currency (OCC) in November 2017, NYDFS issued an order asserting continuing regulatory authority over MUFGBK. MUFGBK thus filed a lawsuit seeking a declaration that NYDFS did not have continuing authority over it. In response, NYDFS filed counterclaims against MUFGBK under banking and related laws.

    - **Disposition:** Under the terms of the settlement, MUFGBK and NYDFS released all of their claims against each other, NYDFS agreed not to challenge the validity of the licenses issued by the OCC, and MUFGBK agreed to make a $33m settlement payment.

- **Federal/State agency denied, suspended, or revoked authorization?:** No

- **Federal/State agency entered an order against the applicant?:** No

- **Federal/State agency denied, suspended, or revoked registration?:** No

- **Federal/State agency revoked or suspended a license?:** No

- **SRO found a false statement or omission?:** No

- **SRO found a violation of its rules?:** Yes

  - **Details #1:**

    - **Entity Name:** MUFG Securities Americas Inc. f.k.a. Mitsubishi UFJ Securities (USA) Inc.

    - **Action Title:** Docket/Case Number 2007008490201

    - **Action Date:** 03/04/2009

    - **Court/Body Name and Location:** Financial Industry Regulatory Authority, Inc.

    - **Action Description:** Mitsubishi UFJ Securities (USA) Inc. ("MUS(USA)") allegedly permitted an employee to perform certain functions requiring principal registration while he was not registered with FINRA in that capacity.

    - **Disposition:** Without admitting or denying the findings, MUS(USA) consented to the described sanctions and to entry of findings; therefore, the firm is censured and fined $15,000 USD.

  - **Details #2:**

    - **Entity Name:** MUFG Securities Americas Inc. f.k.a. Mitsubishi UFJ Securities (USA) Inc.

    - **Action Title:** Docket/Case Number 2006005325701

    - **Action Date:** 07/11/2007

    - **Court/Body Name and Location:** Financial Industry Regulatory Authority, Inc. f.k.a. NASD

    - **Action Description:** The National Association of Securities Dealers ("NASD") alleged that Mitsubishi UFJ Securities (USA) Inc. ("MUS(USA)") failed to report to the trade reporting and compliance engine (TRACE) the lower of yield to call or yield to maturity for TRACE-eligible securities. MUS(USA) failed to enforce its written supervisory procedures.

    - **Disposition:** Without admitting or denying the findings, MUS(USA) consented to the described sanctions and to the entry of findings; therefore, the firm was censured and fined $10,000 USD.

- **SRO denied, suspended, or revoked authorization?:** No

- **SRO revoked or suspended a license?:** No

- **Subject of an order or finding by a foreign financial regulatory authority?:** Yes

  - **Details #1:**

    - **Entity Name:** MUFG Bank, Ltd. f.k.a. Bank of Tokyo-Mitsubishi UFJ, Ltd.

    - **Action Title:** JFSA Administrative Order

    - **Action Date:** 11/13/2009

    - **Court/Body Name and Location:** Japan Financial Services Agency (JFSA)

    - **Action Description:** The JFSA noted that there were deficiencies in the compliance management programs at certain Bank of Tokyo-Mitsubishi, Ltd. ("BTMU") branches.

    - **Disposition:** An administrative order was issued for business improvement and partial business suspension in respect to compliance management issues at certain BTMU branches.

  - **Details #2:**

    - **Entity Name:** MUFG Bank, Ltd. f.k.a. Bank of Tokyo-Mitsubishi UFJ, Ltd.

    - **Action Title:** JFSA Administrative Order

    - **Action Date:** 09/11/2009

    - **Court/Body Name and Location:** Japan Financial Services Agency (JFSA)

    - **Action Description:** The JFSA noted that there were deficiencies in Bank of Tokyo-Mitsubishi, Ltd. ("BTMU") overseas business and domestic investment operations.

    - **Disposition:** An administrative order was issued for business improvement with respect to BTMU overseas business and domestic investment operations.

  - **Details #3:**

    - **Entity Name:** MUFG Bank, Ltd. f.k.a. Bank of Tokyo-Mitsubishi UFJ, Ltd. & MUFG Securities EMEA PLC

    - **Action Title:** PRA Enforcement Order

    - **Action Date:** 02/09/2017

    - **Court/Body Name and Location:** Prudential Regulation Authority (PRA)

    - **Action Description:** The PRA alleged that the Bank of Tokyo-Mitsubishi, Ltd. ("BTMU") and MUFG Securities EMEA PLC failed to be open and cooperative with the PRA in relation to an enforcement action into BTMU by the New York Department of Financial Services.

    - **Disposition:** The PRA imposed a fine of 17.85M GBP on BTMU and a fine of 8.925M GBP on MUFG Securities EMEA PLC.

  - **Details #4:**

    - **Entity Name:** MUFG Bank, Ltd.

    - **Action Title:** Docket/Case Number AT.40135

    - **Action Date:** 05/16/2019

    - **Court/Body Name and Location:** European Commission

    - **Action Description:** The European Commission, in a settlement decision, fined MUFG Bank, Ltd. (along with a number of other banks) for alleged violations of European Union anti-trust rules.

    - **Disposition:** The total fine issued by the European Commission was 1.07b euros. The portion required to be paid by MUFG Bank, Ltd. was 69.75m euros (approx. $77.865 USD).

  - **Details #5:**

    - **Entity Name:** MUFG Bank, Ltd.

    - **Action Title:** Settlement with Competition Commission

    - **Action Date:** 06/06/2019

    - **Court/Body Name and Location:** Competition Commission (Switzerland)

    - **Action Description:** Switzerland's Competition Commission concluded amicable settlements with several banks, including MUFG Bank, Ltd., and fined the banks for alleged participation in anti-competitive arrangements in foreign exchange spot trading.

    - **Disposition:** The total fine issued by Switzerland's Competition Commission against the banks was approx. CHF 90m, and the portion required to be paid by MUFG Bank, Ltd. was approx. CHF 1.5m.

- **Currently the subject of any proceeding that could result in a 'yes' answer to any of the above?:** No

- **Had a bond revoked for disorderly conduct, fraud, or dishonesty?:** No

- **Have any unsatisfied judgments or liens against them?:** No

### Signature

**Signature:** Kelly Dudley

**Title:** Interim Chief Compliance Officer

**Date:** 10/20/2025

**Phone Number:** (203)-848-7081