# EDGAR Filing Document

**Accession Number:** 0000849542
**File Stem:** 0000849542-25-000008
**Filing Date:** 2025-12
**Character Count:** 31969
**Document Hash:** b340a51ae1a84c34ce4294da742e2441
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000849542-25-000008.hdr.sgml**: 20251230

**ACCESSION NUMBER**: 0000849542-25-000008

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

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20251230

**DATE AS OF CHANGE**: 20251230

**EFFECTIVENESS DATE**: 20260109

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** BNY Mellon Investment Servicing (US) Inc.
- **CENTRAL INDEX KEY:** 0000849542

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

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-01761
- **FILM NUMBER:** 251612614

**BUSINESS ADDRESS:**
- **STREET 1:** 4400 COMPUTER DRIVE
- **CITY:** WESTBOROUGH
- **STATE:** MA
- **ZIP:** 01581
- **BUSINESS PHONE:** 5088718500

**MAIL ADDRESS:**
- **STREET 1:** 4400 COMPUTER DRIVE
- **CITY:** WESTBOROUGH
- **STATE:** MA
- **ZIP:** 01581

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PNC Global Investment Servicing (U.S.) Inc.
- **DATE OF NAME CHANGE:** 20080729

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PFPC INC/DE/                                            /TA
- **DATE OF NAME CHANGE:** 20000209

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** FIRST DATA INVESTOR SERVICES GROUP INC                  /TA
- **DATE OF NAME CHANGE:** 19990224

### 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 Investment Servicing (US) Inc.

**FINS Number:** 418772

**Address of principal office where transfer agent activities are performed:** 118 Flanders Road, Westborough, MA, 01581

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

**Telephone Number:** 508-871-9006

**Does registrant conduct business in other locations?:** Yes

**Other Business Location Address 1:** 103 Bellevue Parkway, Wilmington, DE, 19809

**Other Business Location Address 2:** 135 Santilli Highway, Everett, MA, 02149

**Other Business Location Address 3:** 500 Ross Street, Pittsburgh, PA, 15262

**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?:** Yes

**Service Company Arrangement 1:**

- **Name:** Prudential Mutual Fund Services, LLC

- **File Number:** 084-05681

- **Address:** 100 Mulberry Street, Gateway Center III, Newark, NJ, 07102

**Service Company Arrangement 2:**

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

- **File Number:** 085-05006

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

**Service Company Arrangement 3:**

- **Name:** Virtus Fund Services, LLC

- **File Number:** 084-06485

- **Address:** 101 Munson Street, Ste 104, Greenfield, MA, 01301

**Service Company Arrangement 4:**

- **Name:** Delaware Investments Fund Services Company

- **File Number:** 084-06512

- **Address:** 2005 Market Street, Philadelphia, PA, 19103

**Service Company Arrangement 5:**

- **Name:** BNY Mellon Transfer, Inc.

- **File Number:** 084-06102

- **Address:** 144 Glenn Curtiss Boulevard, Uniondale, NY, 11556-0144

### 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   |
|:---|:---|:---|:---|:---|:---|
| Joseph G. Bawiec                                            | 03/31/2009                | CFO                          | NA               | Yes              |  |
| Stephen P. Farlese                                          | 10/11/2013                | Board Director               | NA               | Yes              | 11/30/2025              |
| Calvin G. Holmquist                                         | 06/01/2014                | President and Board Chairman | NA               | Yes              | 09/30/2020              |
| David Cullman                                               | 09/29/2017                | Board Director               | NA               | Yes              | 11/18/2022              |
| Christine Gill                                              | 09/29/2017                | Board Director               | NA               | Yes              | 01/25/2022              |
| Matthew A. Wells                                            | 09/29/2017                | Board Director               | NA               | Yes              | 01/25/2022              |
| Timothy LiVolsi                                             | 02/07/2018                | Board Director               | NA               | Yes              | 06/30/2021              |
| Nicole Fouron                                               | 10/19/2018                | Board Director               | NA               | Yes              | 01/25/2022              |
| William Allsopp                                             | 01/01/2019                | CCO                          | NA               | Yes              |  |
| MIchael DeNofrio                                            | 12/01/1999                | Board Director               | NA               | Yes              | 12/31/2020              |
| BNY Mellon US Servicing Holdings LLC f/k/a BNYM GIS Funding | 07/01/2010                | Parent Entity                | E                | Yes              |  |
| The Bank of New York Mellon                                 | 07/01/2010                | Owner of Parent Entity       | E                | Yes              |  |
| The Bank of New York Mellon Corporation                     | 07/01/2010                | Parent Entity                | E                | Yes              |  |
| Alexandra Waite Goodburn                                    | 10/29/2020                | President & Board Chairman   | NA               | Yes              | 07/25/2025              |
| Julie Shores                                                | 02/03/2021                | Board Director               | NA               | Yes              | 11/15/2022              |
| Jean Marshall                                               | 01/25/2022                | Board Director               | NA               | Yes              | 07/26/2024              |
| Janelle Prevost                                             | 01/25/2022                | Board Director               | NA               | Yes              |  |
| Jonathan Mann                                               | 01/25/2022                | Board Director               | NA               | Yes              |  |
| Timothy Schilling                                           | 02/01/2023                | Board Director               | NA               | Yes              |  |
| Sean Lynch                                                  | 10/01/2025                | President and Chairman       | NA               | Yes              |  |
| Susan Hall                                                  | 12/11/2025                | Board Director               | NA               | Yes              |  |

### 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 30 June 2016 and 16 December 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 25 January 2016 and 31 December 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 21 August 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?:** No

- **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 controlled 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:** U.S. Securities and Exchange Commission (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 required 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 required 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 controlled 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 Preceeding 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) failed as a transfer agent to exercise reasonable care to obtain the correct addresses of lost security holders and escheated assets belonging to those various security holders.

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

  - **Details #3:**

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

    - **Action Title:** SEC 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 to 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:** U.S. 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 of 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 Aug 24, 2015.

  - **Details #6:**

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

    - **Action Title:** SEC Admin Preceeding File No. 3-17268

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

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

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

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

  - **Details #7:**

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

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

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

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

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

    - **Disposition:** A civil monetary 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; Admin 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 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 BNY Mellon in which BNY Mellon agreed to pay $29.3 million in disgorgement, prejudgment interest of $4.2 million and a civil 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, 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.

- **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 Questions 10 Data

    - **Action Title:** See attached File for Questions 10 Data

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

    - **Court/Body Name and Location:** See attached File for Questions 10 Data

    - **Action Description:** See attached File for Questions 10 Data

    - **Disposition:** See attached File for Questions 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 Questions 10 Data

    - **Action Title:** See attached File for Questions 10 Data

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

    - **Court/Body Name and Location:** See attached File for Questions 10 Data

    - **Action Description:** See attached File for Questions 10 Data

    - **Disposition:** See attached File for Questions 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 Admin Preceeding File No. 3-17268

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

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

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

    - **Disposition:** See 10(c)(1)(v) 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 (BNYM)

    - **Action Title:** Docket Number 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 ("AMLF") program. It alleged that due to a failure in its internal processes at the time, a portion of the Asset-Backed Commercial Paper ("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 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 #3:**

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

    - **Action Title:** NA

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

    - **Court/Body Name and Location:** Central Bank of Ireland aka 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.

    - **Disposition:** DAC agreed to a settlement with the CBI pursuant to which the CBI reprimanded and fined DAC pursuant to its Administrative Sanctions Procedure for 16 regulatory breaches relating to the outsourcing of fund administration activities.

- **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:** 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 advisors in relation to 2initial public offerings and 1 placing by UK issuers by disclosing the price intended to pay, or accepting such information, or both, shortly before the share prices were set. The FCA found that parts of this conducts 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 if 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 Finanzdienstleistungsaufscht - Germany

    - **Action Description:** Bundesanstalt fur Finanzdienstleistungsaufscht (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 in 10(f)(v).

- **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 Corporation (BNYM)

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

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

    - **Court/Body Name and Location:** Court: 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 on being NIM's parent company. Neither BNYM nor any of its employees was involved in any aspect of the relevant conduct. The FAC 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 of 1998 and Article 101 of the Treaty on the Functioning of the European Union which prohibits 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:** Sean Lynch

**Title:** President and Chairman

**Date:** 12/29/2025

**Phone Number:** 1-508-871-3586