# EDGAR Filing Document

**Accession Number:** 0001878049
**File Stem:** 0001878049-26-000004
**Filing Date:** 2026-4
**Character Count:** 9040
**Document Hash:** 1318f4c58544760220570f721c578870
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001878049-26-000004.hdr.sgml**: 20260429

**ACCESSION NUMBER**: 0001878049-26-000004

**CONFORMED SUBMISSION TYPE**: SBSE-A/A

**PUBLIC DOCUMENT COUNT**: 3

**FILED AS OF DATE**: 20260424

**DATE AS OF CHANGE**: 20260429

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Bank of New York Mellon / SBSD
- **CENTRAL INDEX KEY:** 0001878049

**ORGANIZATION NAME:**
- **EIN:** 135160382
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SBSE-A/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 026-00213
- **FILM NUMBER:** 26911560

**BUSINESS ADDRESS:**
- **STREET 1:** 240 GREENWICH STREET
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10286
- **BUSINESS PHONE:** 212-815-3427

**MAIL ADDRESS:**
- **STREET 1:** 240 GREENWICH STREET
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10286

### Attached PDF Documents

**Attachment 1:** `7rfullapril2026.pdf`

_No text found in this document._

**Attachment 2:** `ListofChangesApr2026.pdf`

_No text found in this document._

## Form SBSE-A: Registration for Security-Based Swap Dealers

### Applicant Information

**Full Applicant Name:** Bank of New York Mellon / SBSD

**NFA Number:** 420990

**IRS Employer ID No.:** 13-5160382

**CIK:** 0001878049

**Main Address:** 240 GREENWICH STREET, NEW YORK, NY, 10286

**Mailing Address:** 240 GREENWICH STREET, NEW YORK, NY, 10286

**Business Telephone:** 212-815-3427

**Contact Employee:**

- **Name:** Rosemary Francavilla

- **Title:** Senior Vice Presdient

- **Phone:** 212-815-4596

- **Email:** rosemary.francavilla@bny.com

**Chief Compliance Officer:**

- **Name:** Alison Matthesen Higgins

- **Title:** Chief Compliance Officer

- **Phone:** 201-394-3225

- **Email:** alison.higgins@bny.com

### Business and Activities

**Registered as Swap Dealer?:** Yes

**Registered as Swap Participant?:** No

**Uses Mathematical Models?:** Yes

**Is a Non-Resident Entity?:** No

**Subject to Prudential Regulator?:** Yes

**Is an Investment Advisor?:** No

**Engaged in Other Business?:** Yes

**Holds Customer Funds?:** Yes

**Prudential Regulators:** The Federal Reserve Board, The Federal Deposit Insurance Corporation

**Description of Business:**
The BNY Mellon Security-Based Swap Dealer currently engages in dealing within its Markets Line of Business, in order to provide counterparties with a means to hedge their risk and free up capital for other expenditures.

### Control and History

**Are records kept by another entity?:** Yes

**Does another entity hold funds on behalf of applicant?:** Yes

**Is control exercised through an agreement?:** Yes

**Is applicant financed by another entity?:** No

**Is applicant succeeding a prior entity?:** No

**Subject to foreign regulation?:** No

**Number of Principals:** 22

### Schedule A: Principals

| Name                     | Title or Status                               | Date Acquired   | Date Began Working   | Ownership   | NFA ID No.   |
|:---|:---|:---|:---|:---|:---|
| Robert Edward Lynch      | Head of a Business Unit, Division or Function | 04/2020         | 11/2013              |  | 494793       |
| Elizabeth Erin Robinson  | Director                                      | 02/2017         | 12/2016              |  | 453767       |
| Alfred Warren Zollar     | Director                                      | 05/2019         | 05/2019              |  | 522369       |
| Linda Zarda Cook         | Director                                      | 03/2017         | 02/2017              |  | 469982       |
| Joseph James Echevarria  | Director                                      | 05/2015         | 02/2015              |  | 485375       |
| Marguerite Amy Gilliland | Director                                      | 05/2021         | 04/2021              |  | 539222       |
| Jeffrey Alan Goldstein   | Director                                      | 05/2014         | 05/2014              |  | 365537       |
| Kumara Guru Gowrappan    | Director                                      | 05/2021         | 04/2021              |  | 539299       |
| Ralph Izzo               | Director                                      | 09/2020         | 09/2020              |  | 533109       |
| Jason Dominick Vitale    | Head of a Business Unit, Division or Function | 04/2020         | 03/2017              |  | 529504       |
| Robin Antony Vince       | Chief Executive Officer                       | 09/2022         | 10/2020              |  | 453798       |
| Sandra Elizabeth OConnor | Director                                      | 03/2022         | 02/2022              |  | 430690       |
| Jason Sloan Granet       | Head of a Business Unit, Division or Function | 12/2022         | 07/2021              |  | 552758       |
| Dermot McDonogh          | Chief Financial Officer                       | 03/2023         | 11/2022              |  | 501552       |
| Alejandro Perez          | Head of a Business Unit, Division or Function | 05/2023         | 06/2021              |  | 556063       |
| Richard Gordon           | Head of a Business Unit, Division or Function | 07/2023         | 06/2023              |  | 557314       |
| Nehal Udeshi             | Managing Director                             | 08/2023         | 01/2024              |  |  |
| Rakefet Russak-Aminoach  | Director                                      | 07/2024         | 04/2024              |  | 563411       |
| Tiffany Eng              | Head of a Business Unit, Division or Function | 09/2024         | 09/2024              |  | 565801       |
| Alison Matthesen Higgins | Chief Compliance Officer                      | 01/2025         | 01/2025              |  | 568353       |
| Rajashree Datta          | Head of a Business Unit, Division or Function | 06/2025         | 01/2025              |  | 571711       |
| Charles F Lowrey         | Director                                      | 03/2026         | 02/2026              |  | 576977       |

### Schedule B: Explanations

**Description:**
BNYM is a New York state chartered Bank which houses the Investment Services businesses including Asset Servicing, Issuer Servicing, Treasury Services, Clearance and Collateral Management. The firm has $37.1 trillion in assets under custody and administration, and some $1.9 trillion in assets under management. BNY Mellon operates its investment Services which is 60 percent of its revenue and Investment Management which is 25 percent of its revenue along with Other Segment which is 15 percent of its revenue.

**Records Keeper:**

- **Name:** Smarsh Inc.

  - **Address:** 851 SW 6th Avenue, Suite 800, Portland, OR, 97204

  - **Effective Date:** 11-20-2020

  - **Arrangement:** BNY Mellon has had a relationship with Smarsh for over 10 years with various products. The Enterprise Archive contract was executed on November 20, 2020. Enterprise Archive is a secure, high-performance platform designed for organizations with demanding regulatory requirements handling large volumes of data. It provides a unified compliance and e-discovery workflow across our entire corpus of archived electronic communications.

- **Name:** NCC Group (formerly Iron Mountain)

  - **Address:** 24 Federal Street, 2nd Floor, Boston, MA, 02110

  - **Effective Date:** 03-28-2023

  - **Arrangement:** NCC is providing designated third-party services for applicable books and records retention to comply with SEC Rule 17a-3, 17a-4, 18a-5, and 18a-6.

- **Name:** NICE Engage

  - **Address:** 221 River Street, 10th Floor, Hoboken, NJ, 07030

  - **Effective Date:** 06-01-2006

  - **Arrangement:** Infrastructure and application used to record telephone calls for compliance and quality purposes. (Cisco and Avaya phones, Cisco Jabber).

**Onbehalf:**

- **Name:** Euroclear Bank

  - **Address:** 1 Boulevard du Roi Albert II, Brussels, C9, 1210

  - **Effective Date:** 09-01-2016

  - **Arrangement:** Euroclear Bank: Used to segregate margin for uncleared derivatives.

- **Name:** ClearStream

  - **Address:** 11 Westferry Circus, Canary Wharf, London, X0, E14 4HE

  - **Effective Date:** 09-01-2016

  - **Arrangement:** ClearStream: Used to segregate margin for uncleared derivatives.

- **Name:** JPMORGAN CHASE BANK, N.A. NEW YORK

  - **Address:** 4 Chase Metrotech Center, 6th Floor, Brooklyn, NY, 11245

  - **Effective Date:** 09-01-2016

  - **Arrangement:** JP Morgan Chase Bank, N.A. New York: Used to segregate margin for uncleared derivatives.

**Controlling Entity:**

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

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

  - **Effective Date:** 01-07-2013

  - **Arrangement:** Bank of New York Mellon Corporation: The Bank of New York Mellon Corporation is the holding company for The Bank of New York Mellon.

### Execution

**Date:** 04-24-2026

**Name of Applicant:** Bank of New York Mellon / SBSD

**Signature:** Rosemary Francavilla

**Printed Name:** Rosemary Francavilla

**Title:** Senior Vice President