# EDGAR Filing Document

**Accession Number:** 0000831495
**File Stem:** 0000831495-26-000003
**Filing Date:** 2026-4
**Character Count:** 10055
**Document Hash:** 21a83993bc8c307970124797b196facb
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000831495-26-000003.hdr.sgml**: 20260402

**ACCESSION NUMBER**: 0000831495-26-000003

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

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20260402

**DATE AS OF CHANGE**: 20260402

**EFFECTIVENESS DATE**: 20260412

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** DELAWARE SERVICE CO INC /PA/ /TA
- **CENTRAL INDEX KEY:** 0000831495

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

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-01640
- **FILM NUMBER:** 26834624

**BUSINESS ADDRESS:**
- **STREET 1:** 100 INDEPENDENCE
- **STREET 2:** 610 MARKET STREET
- **CITY:** PHILADELPHIA
- **STATE:** PA
- **ZIP:** 19106-2354
- **BUSINESS PHONE:** 215 255 1200

**MAIL ADDRESS:**
- **STREET 1:** 100 INDEPENDENCE
- **STREET 2:** 610 MARKET STREET
- **CITY:** PHILADELPHIA
- **STATE:** PA
- **ZIP:** 19106-2354

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** RODNEY SUB 3 CORP                                       /TA
- **DATE OF NAME CHANGE:** 19880812

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** DELAWARE SERVICE CO INC /PA/                            /TA
- **DATE OF NAME CHANGE:** 19880407

### 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:** DELAWARE SERVICE CO INC /PA/ /TA

**FINS Number:** 411116

**Address of principal office where transfer agent activities are performed:** 100 Independence, 610 Market Street, Philadelphia, PA, 19106

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

**Telephone Number:** 2152552300

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

**Is registrant a self-transfer agent?:** Yes

**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   |
|:---|:---|:---|:---|:---|
| Shawn Lytle                                | 06/01/2015                | CHIEF EXECUTIVE OFFICER               | NA               | Yes              |
| David F Connor                             | 06/01/2015                | General Counsel                       | NA               | Yes              |
| Richard Salus                              | 06/01/2015                | GLOBAL HEAD OF FUND SERVICES          | NA               | Yes              |
| Marty Wolin                                | 01/01/2024                | CHIEF COMPLIANCE OFFICER              | NA               | Yes              |
| NOMURA ASSET MANAGEMENT INTERNATIONAL INC. | 12/01/2025                | PARENT OF REGISTRANT                  | E                | Yes              |
| NOMURA HOLDING AMERICA INC.                | 12/01/2025                | PARENT OF NAMI INC.                   | E                | Yes              |
| NOMURA HOLDINGS, INC.                      | 12/01/2025                | PARENT OF NOMURA HOLDING AMERICA INC. | E                | Yes              |
| EUGENE CHIULLI                             | 12/01/2025                | CHIEF FINANCIAL OFFICER               | NA               | Yes              |

### 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?:** Yes

  - **Details #1:**

    - **Entity Name:** Delaware Service Company, Inc.

    - **Action Title:** "In the Matter of Delaware Service Company, Inc."

    - **Action Date:** 08/31/2006

    - **Court/Body Name and Location:** U.S. Securities and Exchange Commission, Washington, D.C.

    - **Action Description:** Order instituting administrative and cease-and-desist proceedings pursuant to Section 9(b) and 9(f) of the 1940 Act, in connection with violations of Section 19(a), Rule 19a-1, promulgated thereunder, and Section 34(b).

    - **Disposition:** DSC must cease and desist from committing or causing any violations and any future violations of Section 34(b) and Section 19(a) of the Investment Company Act of 1940 and Rule 19a-1, promulgated thereunder

  - **Details #2:**

    - **Entity Name:** Macquarie Investment Management Business Trust

    - **Action Title:** In the Matter of Macquarie Investment Management Business Trust

    - **Action Date:** 09/19/2024

    - **Court/Body Name and Location:** U.S. Securities and Exchange Commission, Washington, D.C.

    - **Action Description:** The Registrant entered into a settlement order with the SEC alleging that, between January 1, 2017 and April 2021: (1) MIMBT valued certain collateralized mortgage-backed obligations ("CMOs") at inflated prices; (2) MIMBT executed dealer-interposed and internal cross trades of those CMOs between registered investment company clients and other clients at prices that deviated from market prices; (3) certain disclosures of MIMBT relating to performance, valuation, liquidity, and cross trading contained false and misleading statements and omissions; and (4) MIMBT failed to implement policies and procedures relating to valuation, conflicts of interest and cross trades.

    - **Disposition:** The Registrant must cease and desist from committing or causing any violations or future violations of Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act and Rules 206(4)-7 and 206(4)-8 thereunder, and sections 17(a)(1) and (a)(2) and 34(b) of the Investment Company Act and Rules 22c-1 and 38a-1 thereunder; pay disgorgement of $7,633,671 and prejudgment interest of $2,197,535; and pay a civil money penalty in the amount of $70,000,000.

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

  - **Details #1:**

    - **Entity Name:** Delaware Service Company, Inc.

    - **Action Title:** "In the Matter of Delaware Service Company, Inc."

    - **Action Date:** 08/31/2006

    - **Court/Body Name and Location:** U.S. Securities and Exchange Commission, Washington, D.C.

    - **Action Description:** Order instituting administrative and cease-and-desist proceedings pursuant to Section 9(b) and 9(f) of the 1940 Act, in connection with violations of Section 19(a), Rule 19a-1, promulgated thereunder, and Section 34(b).

    - **Disposition:** DSC must cease and desist from committing or causing any violations and any future violations of Section 34(b) and Section 19(a) of the Investment Company Act of 1940 and Rule 19a-1, promulgated thereunder.

  - **Details #2:**

    - **Entity Name:** Macquarie Investment Management Business Trust

    - **Action Title:** In the Matter of Macquarie Investment Management Business Trust

    - **Action Date:** 09/19/2024

    - **Court/Body Name and Location:** U.S. Securities and Exchange Commission, Washington, D.C.

    - **Action Description:** The Registrant entered into a settlement order with the SEC alleging that, between January 1, 2017 and April 2021: (1) MIMBT valued certain collateralized mortgage-backed obligations ("CMOs") at inflated prices; (2) MIMBT executed dealer-interposed and internal cross trades of those CMOs between registered investment company clients and other clients at prices that deviated from market prices; (3) certain disclosures of MIMBT relating to performance, valuation, liquidity, and cross trading contained false and misleading statements and omissions; and (4) MIMBT failed to implement policies and procedures relating to valuation, conflicts of interest and cross trades.

    - **Disposition:** The Registrant must cease and desist from committing or causing any violations or future violations of Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act and Rules 206(4)-7 and 206(4)-8 thereunder, and sections 17(a)(1) and (a)(2) and 34(b) of the Investment Company Act and Rules 22c-1 and 38a-1 thereunder; pay disgorgement of $7,633,671 and prejudgment interest of $2,197,535; and pay a civil money penalty in the amount of $70,000,000.

- **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?:** No

- **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?:** No

- **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?:** No

- **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:** Marty Wolin

**Title:** CHIEF COMPLIANCE OFFICER

**Date:** 04/02/2026

**Phone Number:** 215-252-3785