# EDGAR Filing Document

**Accession Number:** 0001285911
**File Stem:** 0001285911-25-000004
**Filing Date:** 2025-9
**Character Count:** 42607
**Document Hash:** ca91bbb982fb46a6ccdefa3decb5d87a
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001285911-25-000004.hdr.sgml**: 20250925

**ACCESSION NUMBER**: 0001285911-25-000004

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

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20250919

**DATE AS OF CHANGE**: 20250925

**EFFECTIVENESS DATE**: 20250929

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** BNY MELLON TRANSFER INC
- **CENTRAL INDEX KEY:** 0001285911

**ORGANIZATION NAME:**
- **EIN:** 000000000

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-06102
- **FILM NUMBER:** 251340682

**BUSINESS ADDRESS:**
- **STREET 1:** 144 GLENN CURTISS BOULEVARD
- **CITY:** UNIONDALE
- **STATE:** NY
- **ZIP:** 11556-0144
- **BUSINESS PHONE:** 212-922-6400

**MAIL ADDRESS:**
- **STREET 1:** C/O BNY MELLON INVESTMENT ADVISER, INC.
- **STREET 2:** 240 GREENWICH STREET
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10286

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** BNY Mellon Transfer, Inc.
- **DATE OF NAME CHANGE:** 20190603

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** DREYFUS TRANSFER INC
- **DATE OF NAME CHANGE:** 20040401

### 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:** BNY MELLON TRANSFER INC

**FINS Number:** 482448

**Address of principal office where transfer agent activities are performed:** 144 Glenn Curtiss Boulevard, Uniondale, NY, 11556

**Is mailing address different from principal office address?:** Yes

**Mailing Address:** 240 Greenwich Street, New York, NY, 10286

**Telephone Number:** 212-922-7075

**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?:** Yes

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

### Ownership and Control Information

**Registrant Type:** Corporation

**Does any other person control the management or policies of the applicant?:** No

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

**Control Affiliates Information:**

| Entity Name                                                            | Relationship Start Date   | Title or Status                         | Ownership Code   | Control Person   | Relationship End Date   |
|:---|:---|:---|:---|:---|:---|
| BNY Mellon Investment Adviser, Inc. (formerly,The Dreyfus Corporation) | 06/23/1995                | Parent Company                          | E                | Yes              |  |
| The Bank of New York Mellon Corporation                                | 07/01/2007                | Ultimate Parent Company                 | E                | Yes              |  |
| Matthew NMN Perrone                                                    | 06/01/2009                | Senior Vice President                   | NA               |  |  |
| Irene Despina Papadoulis - aka Irene Pappas                            | 12/10/2012                | President                               | NA               |  | 02/07/2024              |
| Mark Daniel Woods                                                      | 03/11/2019                | Chief Financial Officer and Treasurer   | NA               |  | 09/10/2019              |
| Kenneth James Bradle                                                   | 06/28/2019                | Chairman                                | NA               |  | 10/01/2020              |
| Renee Michelle LaRoche-Morris                                          | 06/28/2019                | Director and Vice President             | NA               |  | 01/14/2021              |
| Gregory Allan Brisk                                                    | 06/28/2019                | Director and Vice President             | NA               |  | 10/01/2020              |
| John Patrick Shea                                                      | 09/10/2019                | Chief Financial Officer and Treasurer   | NA               |  | 01/11/2021              |
| BNY Mellon IHC, LLC                                                    | 04/11/2017                | Parent Company of MBC Investments Corp. | E                | Yes              |  |
| MBC Investments Corporation                                            | 02/28/2017                | Parent of BNY Mellon Investment Adviser | E                | Yes              |  |
| Paul Mazziotti                                                         | 06/08/2020                | Chief Compliance Officer                | NA               |  | 05/14/2021              |
| Kenneth James Bradle                                                   | 10/01/2020                | Chairman and Director                   | NA               |  |  |
| Eileen Marie Mello                                                     | 03/01/2021                | Director                                | NA               |  | 02/07/2024              |
| Gregory John Pasquale                                                  | 01/11/2021                | Chief Financial Officer and Treasurer   | NA               |  |  |
| Irene Despina Papadoulis - aka Irene Pappas                            | 02/07/2024                | President and Director                  | NA               |  |  |

### Disciplinary History

- **Convicted/plead guilty to any felony or investment-related misdemeanor?:** Yes

  - **Details #1:**

    - **Entity Name:** Pershing Securities Australia Pty. Ltd (Pershing Australia)

    - **Action Title:** Australian Securities & Investments Commission (ASIC) vs. Pershing Australia

    - **Action Date:** 11/15/2019

    - **Court/Body Name and Location:** Downing Centre Local Court, Sydney, Australia

    - **Action Description:** Pershing Australia was charged with three counts under the Australian Corporations Act 2001 (the Act). On May 5, 2020, Pershing Australia pled guilty to two investment-related counts related to securities clearance and settlement. Australian law does not recognize misdemeanors or felonies, but the fine will exceed $1000. Sequence 1: Pled guilty to breaching s993C(1) between June 30, 2016 and December 16, 2017 through making payments out of a client money account that were not permitted by Reg 7.8.02 of the Corporations Regulations 2001. Sequence 3: Pled guilty to breaching s993B(1) between January 25, 2016 and December 31, 2018 by receiving money in connection with financial services, and then failing to pay that money into an account complying with the client money requirements within s981B of the Act. Sequence 2: Charged for a one-time underpayment of 1,044.65 Australian dollars to its trust account on August 21, 2017.

    - **Disposition:** On May 5, 2020, Pershing Australia pled guilty to Sequences 1 and 3, breaching s993C(1) and s993B(1) of the Act. Sentencing is expected to occur on July 27, 2020, and will consist only of a monetary fine and certain revised license conditions with ASIC.

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

- **Enjoined in connection with any investment-related activity?:** Yes

  - **Details #1:**

    - **Entity Name:** CIBC Mellon Trust Company

    - **Action Title:** U.S. Securities and Exchange Commission v. CIBC Mellon Trust Company

    - **Action Date:** 01/14/2005

    - **Court/Body Name and Location:** U.S. Securities and Exchange Commission (SEC)

    - **Action Description:** CIBC Mellon Trust Company (CMTC), a transfer agent that is an affiliate of Registrant by virtue of Mellon Canada Holding Company's 50 percent interest in the joint venture, submitted a Consent to Entry of Judgment (the Consent) which was presented by the SEC in the United States District Court for the District of Columbia (the Court) on February 16, 2005. In the Consent, and solely for the purpose of the injunctive action and any other proceedings arising out of the SEC's investigation brought by or on behalf of the SEC or to which the SEC is a party, CMTC consented to the entry of Final Judgment as to Defendant CMTC (the Final Judgment) without admitting or denying the matters set forth therein (other than those relating to the jurisdiction of the Court and the subject matter of the action). The Final Judgment, entered on February 24, 2005, resolved the allegations that CMTC had failed to register as a transfer agent with the SEC, that it had issued legend free stock certificates of a company whose shares were not registered with the SEC, that one of its managers had accepted payments of stock from that company's officers to issue the certificates, and that it had acted as an unregistered broker or dealer in connection with its stock plan administration business. CMTC was permanently enjoined from prescribed violations of Securities Act Section 5, Exchange Act Section 10(b) and Rule 10b-5, Exchange Act Section 15(a), Exchange Act Section 17A(c)(1), and from aiding and abetting future violations of Exchange Act Section 10(b) or Rule 10b-5. CMTC also agreed to pay a civil monetary penalty of $5 million and disgorgement of $889,773 and prejudgment interest of $140,270. Payment was made on March 4, 2005. CMTC also consented, without admitting or denying the SEC complaint's allegations, to the entry of an SEC administrative order based on the Final Judgment on March 2, 2005 (the Order). Pursuant to the Order, CMTC was censured and agreed to an undertaking to engage an independent consultant to review its relevant businesses and procedures. This matter responds to items 10B(1) and 10(2).

    - **Disposition:** Entry of Judgment on consent. See item (v) above for detail.

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

- **Made a false statement or omission in a filing with the SEC?:** Yes

  - **Details #1:**

    - **Entity Name:** One or more control affiliates - see attached file for Question 10 Data

    - **Action Title:** See attached file for Question 10 Data

    - **Action Date:** 12/17/2007

    - **Court/Body Name and Location:** See attached file for Question 10 Data

    - **Action Description:** See attached file for Question 10 Data

    - **Disposition:** See attached file for Question 10 Data

  - **Details #2:**

    - **Entity Name:** The Bank of New York Mellon (the Bank)

    - **Action Title:** SEC Administrative Preceding File No. 3-17268

    - **Action Date:** 06/13/2016

    - **Court/Body Name and Location:** The Securities and Exchange Commission (the "SEC")

    - **Action Description:** On June 13, 2016, the SEC finalized a settlement with the Bank, an affiliate of the Registrant, relating to the Bank's standing instruction foreign exchange ("FX") program. The SEC instituted a settled administrative proceeding against the Bank, finding that the Bank violated Section 34(b) of the Investment Company Act of 1940, and caused violations of Section 31(a) of the Act and Rule 31a-1(b) thereunder. The order requires the Bank to cease and desist from such violations, pay a $30 million civil penalty, and disgorge $133,022,207 which is deemed satisfied by the Bank's prior payments in related settlements with the U.S. Attorney's Office for the Southern District of New York and The New York Attorney General. The order also requires the Bank to report on its remediation and implementation of compliance measures relating to its standing instruction FX programs offered to registered investment adviser custodial clients.

    - **Disposition:** See 10(c)(1)(v) above.

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

  - **Details #1:**

    - **Entity Name:** One or more control affiliates - See attached file for Question 10 Data

    - **Action Title:** See attached file for Question 10 Data

    - **Action Date:** 12/17/2007

    - **Court/Body Name and Location:** See attached file for Question 10 Data

    - **Action Description:** See attached file for Question 10 Data

    - **Disposition:** See attached file for Question 10 Data

  - **Details #2:**

    - **Entity Name:** The Bank of New York Mellon

    - **Action Title:** SEC Admin. Proceeding File No. 3-12269

    - **Action Date:** 04/24/2006

    - **Court/Body Name and Location:** U.S. Securities and Exchange Commission

    - **Action Description:** The SEC alleged that The Bank of New York Mellon (formerly, The Bank of New York) (BNY) failed as a transfer agent to exercise reasonable care to ascertain the correct addresses of lost security holders and escheated assets belonging to those security holders to various states. As a result BNY entered into agreement to offer payment to certain security holders for property escheated erroneously (while reserving the right to pursue their claim for repayment with the State to which the property was escheated). In addition BNY paid a penalty of $250,000 and agreed to the retention of an independent consultant to review and evaluate certain of the Bank's policies and procedures.

    - **Disposition:** See 10 (c)(2)(v) above

  - **Details #3:**

    - **Entity Name:** The Bank of New York Mellon

    - **Action Title:** SEC Admin. Proceeding File No. 3-12526

    - **Action Date:** 01/09/2007

    - **Court/Body Name and Location:** U.S. Securities and Exchange Commission

    - **Action Description:** The SEC alleged that from at least January 1, 2003 through June 30, 2004, in connection with certain auctions, The Bank of New York Mellon (formerly, The Bank of New York)(BNY) accepted initial or revised bids after submission deadlines and allowed broker-dealers to intervene in auctions. In certain instances, this conduct also affected the rate paid on the auction rate securities. As a result, BNY caused violations of section 17(a)(2) of the Securities Act. BNY was required to make certain disclosures regarding its material auction practices and procedures; and not later than 6 months after the date of this order, unless otherwise extended by the Staff of the Commission for good cause shown, have its CEO or general counsel certify in writing to the Staff of the Commission that BNY has implemented procedures. In addition BNY paid a monetary settlement in the amount of $750,000.

    - **Disposition:** See 10 (c) (2) (v) above

  - **Details #4:**

    - **Entity Name:** CIBC Mellon Trust Company

    - **Action Title:** U.S. Securities and Exchange Commission v. CIBC Mellon Trust Company

    - **Action Date:** 01/14/2005

    - **Court/Body Name and Location:** See 10 (b) (1) above

    - **Action Description:** See 10 (b) (1) above

    - **Disposition:** See 10 (b) (1) above

  - **Details #5:**

    - **Entity Name:** The Bank of New York Mellon Corporation(BNY Mellon)

    - **Action Title:** SEC Release No.34-75720

    - **Action Date:** 08/18/2015

    - **Court/Body Name and Location:** Securities and Exchange Commission (SEC)

    - **Action Description:** The SEC Staff alleged violations of the U.S. Foreign Corrupt Practices Act in connection with the provision of a limited number of internships to relatives of sovereign wealth fund officials.

    - **Disposition:** An order was issued against BNY Mellon in the amount of $14,800,000, consisting of disgorgement fees of $8,300,000, prejudgment interest of $1,500,000 and a civil monetary penalty in the amount of $5,000,000. BNY Mellon effected payment on 8/24/15.

  - **Details #6:**

    - **Entity Name:** The Bank of New York Mellon (the Bank)

    - **Action Title:** SEC Administrative Preceding File No. 3-17268

    - **Action Date:** 06/13/2016

    - **Court/Body Name and Location:** The Securities and Exchange Commission (the "SEC")

    - **Action Description:** See 10(c)(1)(v) above

    - **Disposition:** See 10(c)(1)(vi) above

  - **Details #7:**

    - **Entity Name:** The Bank of New York Mellon Corporation (BNY Mellon)

    - **Action Title:** SEC Release No. 34-79777; Administrative File No. 3-17768

    - **Action Date:** 01/12/2017

    - **Court/Body Name and Location:** The Securities and Exchange Commission (the SEC)

    - **Action Description:** The SEC Staff alleged violations of Sections 13(b)(2)(A) & (B) of the Securities Exchange Act of 1934 for books and records and internal regulatory accounting control deficiencies in connection with the calculation of risk-based regulatory capital ratios presented in annual and quarterly reports filed with the SEC.

    - **Disposition:** A civil money penalty in the amount of $6,600,000 was ordered to be paid by BNY Mellon. BNY Mellon will effect payment on a date TBD.

  - **Details #8:**

    - **Entity Name:** The Bank of New York Mellon (BNY Mellon)

    - **Action Title:** SEC RELEASE NO. 33-10856; ADMINISTRATIVE PROCEEDING FILE NO. 3-18933

    - **Action Date:** 12/17/2018

    - **Court/Body Name and Location:** Securities and Exchange Commission ("SEC")

    - **Action Description:** This action arises out of the SEC's assertion that BNY Mellon, as depositary bank, engaged in improper practices in connection with the pre-release of American Depositary Receipts ("ADRs"). Specifically, the SEC Staff alleged violations of Section 17(a)(3) of the Securities Act of 1933, which prohibits, in the offer or sale of securities, engaging in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchaser. As the SEC Order relates, (1) ADRs are negotiable instruments that trade on a U.S. market that represent an interest in a specified number of foreign securities that have been deposited with a depositary bank or with the depositary bank's foreign custodian; (2) ADRs allow U.S. investors to invest in foreign companies without having to purchase shares in the foreign market; (3) in some situations, a person may seek to obtain ADRs through a "pre-release" transaction whereby a market participant obtains newly-issued ADRs from the depositary bank (as opposed to purchasing an existing ADR from the market) without having already delivered the corresponding ordinary shares to the custodian; (4) the traditional rationale for pre-release transactions was to address settlement timing disparities that could delay delivery to the foreign custodian of recently purchased ordinary shares; and (5) several instruments (the "Pre-Release Agreements"), including the agreements with the depositary bank, the ADR itself and pre-release agreements with the involved broker-dealers ("Pre-Release Brokers"), either included or required BNY Mellon to obtain representations from the Pre-Release Brokers stating that for the duration of each pre-release transaction, the Pre-Release Broker or its customer (i) beneficially owned corresponding ordinary shares, (ii) assigned all beneficial right, title, and interest in the shares to the depositary, (iii) would not take any action with respect to such shares that was inconsistent with the transfer of beneficial ownership, and (iv) would pay foreign withholding taxes at the rate required for ADR holders and pass through to the depositary any dividends and dividend-related tax credits or refunds. The SEC found that BNY Mellon (1) did not take reasonable steps to determine that the Pre-Release Brokers or their counterparties complied with the obligations set forth in the Pre-Release Agreements and (2) at times, negligently facilitated short selling and enabled the settlement of trades with some ADRs that were not actually backed by the ordinary shares held for the benefit of the depositary in accordance with the requirements of the ADR facility.

    - **Disposition:** On 12/17/18 the SEC entered into an administrative settlement on a neither-admit-nor-deny basis with BNYMellon in which BNYMellon agreed to pay $29.3 million in disgorgement, prejudgment interest of $4.2 million and a civil money penalty of $20.5 million.

  - **Details #9:**

    - **Entity Name:** The Bank of New York Mellon Corporation (BNYM)

    - **Action Title:** CFTC Docket No. 19-42

    - **Action Date:** 09/30/2019

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

    - **Action Description:** The CFTC alleged that BNYM failed to correctly report certain swap transactions to a swap data repository from December 31, 2012 through at least 2018, in violation of Sections 2(a)(13)(G) and 4r(a)(3) of the Commodity Exchange Act (the Act), 7 U.S.C. 2(a)(13)(G), 6r(a)(3) (2012), and Regulations 43.3 and 45.3, 17 C.F.R. 43.3, 45.3 (2019) (the collectively, CFTC Rules.)

    - **Disposition:** On September 30, 2019.without admitting or denying any of the findings or conclusions, a settlement was reached in which BNY Mellon was ordered to cease and desist from violating the CFTC Rules and pay a civil monetary penalty in the amount of $750,000.

  - **Details #10:**

    - **Entity Name:** N/A

    - **Action Title:** CFTC Docket No. 25-01

    - **Action Date:** 09/04/2025

    - **Court/Body Name and Location:** U.S. Commodity Futures Trading Commission

    - **Action Description:** On September 4, 2025, the U.S. Commodities Futures Trading Commission ("CFTC") issued a settled administrative order against The Bank of New York Mellon ("BNYM") and BNY Mellon Securities Corporation ("BNYMSC"), which found that BNYMSC violated Section 4g of the Commodity Exchange Act ("CEA") and CFTC Regulation 1.35(a)(3), and that BNYM violated CEA Sections 4s(f)(1)(B) and 4s(g)(1) and CFTC Regulations 23.201(a)(1), 23.202(a)(1) and (b)(1). Specifically, the order found that from at least May 2020 to September 2025, BNYM and BNYMSC personnel communicated on platforms that were not approved for business purposes, many of which were not preserved by BNYM or BNYMSC. The order also found that BNYMSC failed to diligently supervise its activities in violation of CFTC Regulation 166.3 and that BNYM failed to diligently supervise its activities in violation of CEA Section 4s(h)(1)(B) and CFTC Regulation 23.602(a).

    - **Disposition:** BNYM was ordered to cease and desist from violating CEA Sections 4s(f)(1)(B), 4s(g)(1), and 4s(h)(1)(B) and CFTC Regulations 23.201(a)(1), 23.202(a)(1) and (b)(1), and 23.602(a); and BNYMSC was ordered to cease and deist from violating CEA Section 4g and CFTC Regulations 1.35(a)(3) and 166.3. BNYM and BNYMSC were jointly ordered to pay a penalty of $500,000 and to comply with certain undertakings, including implementing the recommendations of an independent compliance consultant. BNYM and BNYMSC consented to entry of the order, without admitting or denying the findings or conclusions therein.

  - **Details #11:**

    - **Entity Name:** N/A

    - **Action Title:** Admin. Pro. File No. 3-22009

    - **Action Date:** 08/14/2024

    - **Court/Body Name and Location:** U.S. Securities and Exchange Commission

    - **Action Description:** On August 14, 2024, the U.S. Securities and Exchange Commission ("SEC") issued a settled administrative order in which it found that BNY Mellon Securities Corporation ("BNYMSC") and Pershing LLC ("Pershing") willfully violated Section 17(a) of the Securities Exchange Act of 1934 (the "Exchange Act") and Rule 17a-4(b) thereunder. The order also found that BNYMSC and Pershing failed to reasonably supervise their employees within the meaning of Exchange Act Section 15(b)(4)(E). Specifically, the order found that from at least January 2020 to the date of the Order, BNYMSC and Pershing personnel sent and received text message communications on platforms that were not approved for business purposes, many of which were not preserved by BNYMSC or Pershing. In numerous instances, BNYMSC and Pershing supervisors themselves communicated using these unapproved communication platforms. In determining to accept BNYMSC's and Pershing's offers of settlement, the SEC considered remedial acts promptly undertaken by BNYMSC and Pershing and cooperation afforded the Commission staff.

    - **Disposition:** BNYMSC and Pershing admitted the facts alleged in the order and acknowledged that their conduct violated the federal securities laws. Both entities were (i) censured; (ii) ordered to cease and desist from committing or causing any violations and any future violations of Exchange Act Section 17(a) and Rule 17a-4 thereunder; (iii) ordered to pay a penalty of $40 million; and (iv) ordered to comply with certain undertakings, including the retention of an independent compliance consultant to review their policies and procedures related to electronic communications.

- **Had authorization to act as a financial professional denied, suspended, or revoked?:** Yes

  - **Details #1:**

    - **Entity Name:** One or more control affiliates - see attached file for Question 10 Data

    - **Action Title:** See attached file for Question 10 Data

    - **Action Date:** 12/17/2007

    - **Court/Body Name and Location:** See attached file for Question 10 Data

    - **Action Description:** See attached file for Question 10 Data

    - **Disposition:** See attached file for Question 10 Data

- **Had a registration as a financial professional denied, suspended, or revoked?:** Yes

  - **Details #1:**

    - **Entity Name:** One or more control affiliates - see attached file for Question 10 Data

    - **Action Title:** See attached file for Question 10 Data

    - **Action Date:** 12/17/2007

    - **Court/Body Name and Location:** See attached file for Question 10 Data

    - **Action Description:** See attached file for Question 10 Data

    - **Disposition:** See attached file for Question 10 Data

  - **Details #2:**

    - **Entity Name:** The Bank of New York Mellon

    - **Action Title:** SEC Admin. Proceeding File No. 3-12526

    - **Action Date:** 01/09/2007

    - **Court/Body Name and Location:** U.S. Securities and Exchange Commission

    - **Action Description:** See 10 (c) (2) above

    - **Disposition:** See 10 (c) (2) above

  - **Details #3:**

    - **Entity Name:** The Bank of New York Mellon

    - **Action Title:** SEC Admin. Proceeding File No. 3-12269

    - **Action Date:** 04/24/2006

    - **Court/Body Name and Location:** U.S. Securities and Exchange Commission

    - **Action Description:** See 10 (c) (2) above

    - **Disposition:** See 10 (c) (2) above

  - **Details #4:**

    - **Entity Name:** The Bank of New York Mellon (the Bank)

    - **Action Title:** SEC Administrative Preceding File No. 3-17268

    - **Action Date:** 06/13/2016

    - **Court/Body Name and Location:** The Securities and Exchange Commission (the "SEC")

    - **Action Description:** See 10(c)(1)(v) above

    - **Disposition:** See 10(c)(1)(vi) above

- **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:** One or more control affiliates - see attached file for Question 10 Data

    - **Action Title:** See attached file for Question 10 Data

    - **Action Date:** 12/17/2007

    - **Court/Body Name and Location:** See attached file for Question 10 Data

    - **Action Description:** See attached file for Question 10 Data

    - **Disposition:** See attached file for Question 10 Data

  - **Details #2:**

    - **Entity Name:** The Bank of New York Mellon

    - **Action Title:** None - never reached the courts

    - **Action Date:** 11/08/2005

    - **Court/Body Name and Location:** U.S. Attorney for EDNY and SDNY

    - **Action Description:** The Bank Of New York Mellon (formerly, The Bank of New York) (the Bank), an affiliate of the registrant, entered into a non-prosecution agreement with the U.S. Attorneys offices for the Eastern and Southern Districts of New York (EDNY and SDNY). The respective EDNY and SDNY investigations related to actions by Bank employees that facilitated a fraudulent scheme conducted by RW Professional Leasing Services Corp., a former customer of one of the Bank's Long Island branch offices, and certain funds transfer activities to and from Russia from 1996 to1999. Among other things, the non-prosecution agreement outlines a series of measures, many of which already are completed and others that are well underway, to enhance the Bank's procedures for monitoring and reporting suspicious activity. The Bank has agreed to pay restitution and forfeiture totaling $38 million, all of which has been previously reserved. The agreement, which has a term of three years, provides for the Bank to retain an independent examiner to review the enhanced procedures and report to the government on a periodic basis.

    - **Disposition:** See 10 (d) (2) (v) above

  - **Details #3:**

    - **Entity Name:** The Bank of New York Mellon (BNYM)

    - **Action Title:** Docket No. 12-018-CMP-SMB

    - **Action Date:** 12/01/2010

    - **Court/Body Name and Location:** Board of Governors of the Federal Reserve System (BGFRS)

    - **Action Description:** On 9/22/08, BNYM borrowed from the Boston Federal Reserve Bank under the Asset-Backed Commercial Paper Money Market Mutual Fund Liquidity Facility (the AMLF). It was alleged that due to a failure in its internal processes at the time, a portion of the ABCP collateral pledged by BNYM was ineligible under the terms of the AMLF. As a result, BNYM received more in the AMLF loans proceeds than it otherwise would have been advanced based upon the eligible ABCP collateral pledged.

    - **Disposition:** The BGFRS and BNYM have mutually agreed to enter into a combined order to Cease & Desist and Order of Assessment of a Civil Monetary Penalty of $6,000,000.

  - **Details #4:**

    - **Entity Name:** BNY Mellon Fund Services (Ireland) DAC (DAC)

    - **Action Title:** N/A

    - **Action Date:** 03/22/2022

    - **Court/Body Name and Location:** Central Bank of Ireland (CBI)

    - **Action Description:** In 2017, the CBI commenced an enforcement investigation against DAC, an Irish entity, in relation to the oversight of outsourced fund administration activities and related regulatory engagement. As part of the investigation, the CBI identified suspected breaches of Irish law/regulation between 2013 and 2019, which the CBI refers to as suspected prescribed contraventions (SPCs).

    - **Disposition:** On 3/22/22, DAC agreed to a settlement with CBI in which CBI reprimanded and fined DAC 10,780,000 EUR for 16 regulatory breaches relating to the outsourcing of fund administration activities. The fine was paid on 3/25/22.

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

- **Federal/State agency entered an order against the applicant?:** Yes

  - **Details #1:**

    - **Entity Name:** One or more control affiliates - see attached file for Question 10 Data

    - **Action Title:** See attached file for Question 10 Data

    - **Action Date:** 12/17/2007

    - **Court/Body Name and Location:** See attached file for Question 10 Data

    - **Action Description:** See attached file for Question 10 Data

    - **Disposition:** See attached file for Question 10 Data

  - **Details #2:**

    - **Entity Name:** BNY Mellon Insurance Agency, Inc. (formerly, Dreyfus Service Organization, Inc.)

    - **Action Title:** Proceeding by the Commissioner of Banking and Ins. State of NJ Ref. No. 8059711

    - **Action Date:** 09/08/2008

    - **Court/Body Name and Location:** State of New Jersey Department of Banking and Insurance, Trenton, New Jersey

    - **Action Description:** It was alleged that Dreyfus Service Organization (DSO) between June 2002 and November 2002 caused, permitted or was otherwise responsible for allowing the employee to solicit and write eight New Jersey annuity contracts without the benefit of a current license. DSO had an employee with a non-resident NJ insurance license which had expired and was later reinstated. The sales were made during the period when the employee's license was inactive, although DSO had reason to believe the license was, in fact, active. Without admitting or denying any violation of the insurance statutes or regulations or any wrongdoing, DSO consented to an administrative sanction in the amount of $4,000.00 to fully and completely resolve the matter.

    - **Disposition:** See 10(d) (4) (v) above.

  - **Details #3:**

    - **Entity Name:** The Bank of New York Mellon (BNYM)

    - **Action Title:** Docket No. 12-018-CMP-SMB

    - **Action Date:** 12/01/2010

    - **Court/Body Name and Location:** Board of Governors of the Federal Reserve System (BGFRS)

    - **Action Description:** On 9/22/08, BNYM borrowed from the Boston Federal Reserve Bank under the Asset-Backed Commercial Paper Money Market Mutual Fund Liquidity Facility (the AMLF). It was alleged that due to a failure in its internal processes at the time, a portion of the ABCP collateral pledged by BNYM was ineligible under the terms of the AMLF. As a result, BNYM received more in the AMLF loans proceeds than it otherwise would have been advanced based upon the eligible ABCP collateral pledged.

    - **Disposition:** The BGFRS and BNYM have mutually agreed to enter into a combined order to Cease & Desist and Order of Assessment of a Civil Monetary Penalty of $6,000,000.

  - **Details #4:**

    - **Entity Name:** The Bank of New York Mellon Corporation(BNYM) and Newton Investment Management Limited (NIM)

    - **Action Title:** CMP/01-2016/CA98

    - **Action Date:** 02/21/2019

    - **Court/Body Name and Location:** U.K. FINANCIAL CONDUCT AUTHORITY (FCA)

    - **Action Description:** On 21 February 2019, FCA found that NIM, through the actions of a former employee in 2014 and 2015, shared information with three other UK investment advisers in relation to two initial public offerings and one placing by UK issuers by disclosing the price it intended to pay, or accepting such information, or both, shortly before the share prices were set. The FCA found that parts of this conduct violated the UK competition act 1998. NIM self-reported this matter to the FCA following identification of the issue. The former employee's actions contravened NIM's code of conduct and ethical standards, and the employee has since been dismissed. BNYM was found jointly and severally liable by reason of being NIM's ultimate parent company. Neither BNYM nor any of its employees was involved in any aspect of the relevant conduct and there has been no allegation nor negative finding by the FCA in respect of the conduct of BNYM.

    - **Disposition:** The FCA issued their decision on 21 February 2019. The FCA's findings are provisional and the parties are entitled to make written and oral representations on them. Following any such representations by the parties the FCA will make its final decision.

- **Federal/State agency denied, suspended, or revoked registration?:** Yes

  - **Details #1:**

    - **Entity Name:** One or more control affiliates - see attached file for Question 10 Data

    - **Action Title:** See attached file for Question 10 Data

    - **Action Date:** 12/17/2007

    - **Court/Body Name and Location:** See attached file for Question 10 Data

    - **Action Description:** See attached file for Question 10 Data

    - **Disposition:** See attached file for Question 10 Data

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

- **SRO found a false statement or omission?:** Yes

  - **Details #1:**

    - **Entity Name:** One or more control affiliates - see attached file for Question 10 Data

    - **Action Title:** See attached file for Question 10 Data

    - **Action Date:** 04/14/2009

    - **Court/Body Name and Location:** See attached file for Question 10 Data

    - **Action Description:** See attached file for Question 10 Data

    - **Disposition:** See attached file for Question 10 Data

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

  - **Details #1:**

    - **Entity Name:** One or more control affiliates - see attached file for Question 10 Data

    - **Action Title:** See attached file for Question 10 Data

    - **Action Date:** 12/17/2007

    - **Court/Body Name and Location:** See attached file for Question 10 Data

    - **Action Description:** See attached file for Question 10 Data

    - **Disposition:** See attached file for Question 10 Data

- **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:** The Bank of New York Mellon Corporation

    - **Action Title:** Administrative Order Imposing a Fine

    - **Action Date:** 11/14/2010

    - **Court/Body Name and Location:** Bundesanstalt fur Finanzdienstleistungsaufsicht - Germany

    - **Action Description:** Bundesanstalt fur Finanzdienstleistungsaufsicht (the BaFin), the financial supervisory authority in Germany, alleged that The Bank of New York Mellon Corporation (BNY Mellon) violated certain supervisory duties under the Securities Trading Act (the Act). Under this Act, anyone whose shareholding in a German issuer reaches, exceeds or falls below 3%, 5%, 10%, 15%, 20%, 30%, 50% or 75% of the voting rights shall notify the issuer and the BaFin, without undue delay, and within four trading days at the latest. The BaFin alleged that: (1) notifications sent by BNY Mellon on behalf of certain subsidiaries to a German issuer and the BaFin of the reduction of its voting shares in the issuer below the 3% threshold was one month late and (2) BNY Mellon failed to take the supervisory measures required under the Act to prevent contravention of the shareholding notice obligations by its subsidiaries. On May 12, 2011, the BaFin issued an administrative order that: (1) determined that BNY Mellon negligently failed to comply with the supervisory requirements with respect to its subsidiaries in order to ensure compliance with the notification deadlines and (2) imposed against BNY Mellon an administrative fine of EUR 22,500.00 (approx. $31,725) and a fee (for procedural costs) of EUR 1,125.00 (approx. $1,586). BNY Mellon made payment effective May 27, 2011.

    - **Disposition:** See response to 10 (f) (1) (v).

  - **Details #2:**

    - **Entity Name:** The Bank of New York Mellon - London Branch (BNYM)

    - **Action Title:** Docket No. 122467

    - **Action Date:** 02/24/2014

    - **Court/Body Name and Location:** U.K. Financial Conduct Authority

    - **Action Description:** The U.K. Financial Conduct Authority alleged that BNYM failed to comply with certain rules set forth in the U.K. Client Assets Sourcebook, which sets forth the regime in the U.K. for the protection of client interests.

    - **Disposition:** BNYM entered into a settlement agreement with the UK Financial Conduct Authority (the FCA) on March 6, 2015, and the FCA issued its Final Notice, in which the 126 million pounds (approx. $188M) fine was imposed, on April 14, 2015.

  - **Details #3:**

    - **Entity Name:** The Bank of New York Mellon Corporation (BNYM) and Newton Investment Management Limited (NIM)

    - **Action Title:** CMP/01-2016/CA98

    - **Action Date:** 02/21/2019

    - **Court/Body Name and Location:** U.K. FINANCIAL CONDUCT AUTHORITY (FCA)

    - **Action Description:** On 21 February 2019, FCA found that NIM, through the actions of a former employee in 2014 and 2015, shared information with three other UK investment advisers in relation to two initial public offerings and one placing by UK issuers by disclosing the price it intended to pay, or accepting such information, or both, shortly before the share prices were set. The FCA found that parts of this conduct violated the UK competition act 1998. NIM self-reported this matter to the FCA following identification of the issue. The former employee's actions contravened NIM's code of conduct and ethical standards, and the employee has since been dismissed. BNYM was found jointly and severally liable by reason of being NIM's ultimate parent company. Neither BNYM nor any of its employees was involved in any aspect of the relevant conduct and there has been no allegation nor negative finding by the FCA in respect of the conduct of BNYM.

    - **Disposition:** The FCA issued their decision on 21 February 2019. The FCA's findings are provisional and the parties are entitled to make written and oral representations on them. Following any such representations by the parties the FCA will make its final decision.

- **Currently the subject of any proceeding that could result in a 'yes' answer to any of the above?:** Yes

  - **Details #1:**

    - **Entity Name:** The Bank of New York Mellon Corporation (BNYM)

    - **Action Title:** CMP/01-2016/CA98

    - **Action Date:** 11/29/2017

    - **Court/Body Name and Location:** U.K. Financial Conduct Authority (FCA), England

    - **Action Description:** The FCA has made provisional findings that BNYM is jointly and severally liable for certain conduct of its subsidiary Newton Investment Management Limited (NIM) solely by reason of being NIM's parent company. Neither BNYM nor any of its employees was involved in any aspect of the relevant conduct. The FCA has made provisional findings that NIM shared information with three other U.K. investment advisers in relation to two Initial Public Offerings (IPOs) and one placing by U.K. issuers by disclosing the price it intended to pay, or accepting such information, or both, shortly before the share prices were set. The FCA has provisionally concluded that the conduct infringed the prohibition imposed by section 2(1) of the U.K. Competition Act 1998 and Article 101 of the Treaty on the Functioning of the European Union which prohibit concerted practices which have as their object the prevention, restriction or distortion of competition.

    - **Disposition:** FCA's findings are provisional and the parties are entitled to make written and oral representations on them. Following any such representations, the FCA will make its final decision which the parties can challenge before the Competition Appeal Tribunal.

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

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

### Signature

**Signature:** Irene Despina Papadoulis - aka Irene Pappas

**Title:** President

**Date:** 09/19/2025

**Phone Number:** 516-338-3311