# EDGAR Filing Document

**Accession Number:** 0001102113
**File Stem:** 0001102113-23-000001
**Filing Date:** 2023-1
**Character Count:** 186738
**Document Hash:** 8751be1a4b34deeb509a7f50df537363
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001102113-23-000001.hdr.sgml**: 20230110

**ACCESSION NUMBER**: 0001102113-23-000001

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

**PUBLIC DOCUMENT COUNT**: 7

**FILED AS OF DATE**: 20230105

**DATE AS OF CHANGE**: 20230110

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** BANK OF AMERICA NA
- **CENTRAL INDEX KEY:** 0001102113
- **IRS NUMBER:** 941687665

**FILING VALUES:**
- **FORM TYPE:** SBSE-A/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 026-00158
- **FILM NUMBER:** 23520080

**BUSINESS ADDRESS:**
- **STREET 1:** 100 N. TRYON STREET
- **CITY:** CHARLOTTE
- **STATE:** NC
- **ZIP:** 28255
- **BUSINESS PHONE:** (704) 386-5494

**MAIL ADDRESS:**
- **STREET 1:** 100 N. TRYON STREET
- **CITY:** CHARLOTTE
- **STATE:** NC
- **ZIP:** 28255

### Attached PDF Documents

**Attachment 1:** `BANA7RforAmd6.pdf`

# Bank of America, N.A.

Form SBSE-A

Supplemental Filing Attachment:

**7R Filing as of December 20, 2022**

# National Futures Association

Firm Application (7R) Filed December 18, 2012

OMB Number 3038-0072

NFA ID 0282338 BANK OF AMERICA NA

Submitted By WEEMST3 TERRY WEEMS

Page 1

# Instructions

READ THESE INSTRUCTIONS CAREFULLY BEFORE COMPLETING OR REVIEWING THE APPLICATION. THE FAILURE TO ANSWER ALL QUESTIONS COMPLETELY AND ACCURATELY OR THE OMISSION OF REQUIRED INFORMATION MAY RESULT IN THE DENIAL OR REVOCATION OF REGISTRATION.

# DEFINED TERMS

Words that are underlined in this form are defined terms and have the meanings contained in the Definition of Terms section.

# GENERAL

Read the Instructions and Questions Carefully

A question that is answered incorrectly because it was misread or misinterpreted can result in severe consequences, including denial or revocation of registration. Although this applies to all questions in the application, it is particularly important to the questions in the Disciplinary Information Section.

Rely Only on Advice from NFA Staff

A question that is answered incorrectly because of advice received from a lawyer, employer, a judge or anyone else (other than a member of NFA's Registration, Compliance, Legal or Information Center ("RCLI") departments) can result in severe consequences, including denial or revocation of registration. This also applies to all questions in the form, but is particularly important regarding the Disciplinary Information Section. If the language of a question in the Disciplinary Information Section requires disclosure of a matter, a "Yes" answer to the question is required no matter what other advice has been received from anyone other than NFA's RCLI staff. Additionally, the applicant or registrant remains responsible for failures to disclose even if someone completes the form on the applicant's or registrant's behalf.

Update the Information on the Application

If information provided on the application changes or a matter that would have required disclosure on the application occurs after the application is filed, the new information must be promptly filed. APs and Principals should advise their Sponsors of the new information, and the Sponsor must file the update on their behalf. The failure to promptly update information can result in severe consequences, including denial or revocation of registration.

Compliance with Disclosure Requirements of Another Regulatory Body is not Sufficient

# National Futures Association

Firm Application (7R) Filed December 18, 2012

OMB Number 3038-0072

NFA ID 0282338 BANK OF AMERICA NA

Submitted By WEEMST3 TERRY WEEMS

Page 2

With some exceptions, which are described below in the Regulatory and Financial Questions sections, if any question requires the provision of information, that information must be provided. In particular, if a question in the Disciplinary Information Section requires disclosure of a matter, the question must be answered "Yes" and additional documents must be provided even if the matter has been disclosed to another regulatory body such as FINRA, an exchange or a state regulator. Similarly, disclosure is required even if another regulatory body does NOT require disclosure of the same matter.

Call NFA with Questions

If there is any question about whether particular information must be provided, whether a particular matter must be disclosed or whether a particular question requires a "Yes" answer, call the NFA Information Center at (312) 781-1410. Representatives are available from 8:00 a.m. to 5:00 p.m., Central Time, Monday through Friday. If the advice of NFA staff is sought, a written record containing the date of the conversation, the name of the NFA staff person giving the advice and a description of the advice should be made during the conversation and kept in the event an issue concerning disclosure of the matter arises later.

# DISCIPLINARY INFORMATION SECTION

Criminal Disclosures

Some common mistakes in answering the criminal disclosure questions involve expungements, diversion programs and similar processes. The Commodity Futures Trading Commission requires a "Yes" answer even if the matter has been expunged or the records sealed, there was no adjudication or finding of guilt, the guilty plea was vacated or set aside or the matter was dismissed upon completion of the diversion program.

Another common error regarding criminal matters concerns matters that do not involve the futures industry. All criminal matters must be disclosed, even if a matter is unrelated to the futures industry, unless the case was decided in a juvenile court or under a Youth Offender law.

Regulatory Disclosures

Regulatory actions taken by the Commodity Futures Trading Commission, NFA or domestic futures exchanges do not need to be disclosed since NFA is already aware of them once they are entered into NFA's BASIC system.

Financial Disclosures

It is not necessary to disclose arbitration or CFTC reparations matters unless the applicant or registrant has failed to pay an award issued in a futures-related arbitration or an order entered in a

# National Futures Association

Firm Application (7R) Filed December 18, 2012

OMB Number 3038-0072

NFA ID 0282338 BANK OF AMERICA NA

Submitted By WEEMST3 TERRY WEEMS

Page 3

reparations matter.

Only adversary actions that a bankruptcy trustee or a trustee's attorney files must be disclosed. Adversary actions that creditors file are not disclosable. A person named as a party to an adversary action in a bankruptcy proceeding must disclose the action, even if the person is not the bankrupt person.

# ADDITIONAL DOCUMENTS

For any matter that caused a "Yes" answer, a written explanation detailing the events and conduct must be provided. That explanation can be entered on the Matter pages by giving it a name, e.g., the docket number of the case, and describing it in the text box. Alternatively, the explanation can be sent in hard copy format to NFA.

In addition to the required explanation, other documents about the matter must be sent to NFA. If court documents are unavailable, a letter from the court verifying that must be sent to NFA. If documents other than court documents are unavailable, the person must provide a written explanation for their unavailability.

Like answering the questions correctly, providing all documents to NFA is important. Failure to do so will delay the registration process and may result in a denial of the application.

# National Futures Association

Firm Application (7R) Filed December 18, 2012

OMB Number 3038-0072

NFA ID 0282338 BANK OF AMERICA NA

Submitted By WEEMST3 TERRY WEEMS

Page 4

# Definition of Terms

(The following terms are defined solely for the purpose of using NFA's Online Registration System.)

10% OR MORE INTEREST: direct or indirect ownership of 10% or more of an applicant's or registrant's stock; entitlement to vote or empowered to sell 10% or more of an applicant's or registrant's voting securities; contribution of 10% or more of an applicant's or registrant's capital; or entitlement to 10% or more of an applicant's or registrant's net profits.

ADJUDICATION: in a criminal case, a determination by the court that the defendant is guilty or not guilty.

ADVERSARY ACTION: a lawsuit arising in or related to a bankruptcy case commenced by a creditor or bankruptcy trustee by filing a complaint with the bankruptcy court.

ALIAS: another name utilized by an individual or previously used by an entity.

CHARGE: a formal complaint, information, indictment or equivalent instrument containing an accusation of a crime.

DBA: abbreviation for Doing Business As. The firm is doing its futures, retail off-exchange forex or swaps business by this name.

# DESIGNATED SUPERVISOR:

Solely for the purpose of determining whether the Branch Manager Examination (Series 30) is required, Designated Supervisor means a person who is registered with FINRA (formerly known as NASD) as a General Securities Representative and has been designated to act as the supervisor of an office that is not an Office of Supervisory Jurisdiction ("non-OSJ"), provided that:

- either the futures activity conducted in the non-OSJ that is subject to the Designated Supervisor's supervision is limited to activity not requiring the Series 3 Examination and both the Designated Supervisor and the Branch Manager of the Office of Supervisory Jurisdiction to which the non-OSJ reports have otherwise satisfied NFA's Proficiency Requirements appropriate to their supervisory activities; or
- the activity that is conducted in the non-OSJ that requires the Series 3 Examination is supervised by the Branch Manager of the Office of Supervisory Jurisdiction to which the non-OSJ reports and both the Designated Supervisor and Branch Office Manager have passed the Series 3 Examination.

ENJOINED: subject to an injunction.

# National Futures Association

Firm Application (7R) Filed December 18, 2012

Page 5

OMB Number 3038-0072

NFA ID 0282338 BANK OF AMERICA NA

Submitted By WEEMST3 TERRY WEEMS

ENTITY: any person other than an individual.

FELONY: any crime classified as a felony and for states and countries that do not differentiate between a felony or misdemeanor, an offense that could result in imprisonment for any period of more than one year. The term also includes a general court martial.

FINANCIAL SERVICES INDUSTRY: the commodities, securities, accounting, banking, finance, insurance, law or real estate industries.

FOUND: subject to a determination that conduct or a rule violation has occurred. The term applies to dispositions of any type, including but not limited to consent decrees or settlements in which the findings are neither admitted nor denied or in which the findings are for settlement or record purposes only.

# INTERNAL REVENUE CODE:

Section 7203: Willful Failure to File Return, Supply Information or Pay Tax

Section 7204: Fraudulent Statement or Failure to Make Statement

Section 7205: Fraudulent Withholding Exemption Certificate or Failure to Supply Information

Section 7207: Fraudulent Returns, Statements or Other Documents

# INVESTMENT RELATED STATUTES:

- The Commodity Exchange Act
- The Securities Act of 1933
- The Securities Exchange Act of 1934
- The Public Utility Holding Company Act of 1935
- The Trust Indenture Act of 1939
- The Investment Advisers Act of 1940
- The Investment Company Act of 1940
- The Securities Investors Protection Act of 1970
- The Foreign Corrupt Practices Act of 1977
- Chapter 96 of Title 18 of the United States Code
- Any similar statute of a State or foreign jurisdiction
- Any rule, regulation or order under any such statutes; and
- The rules of the Municipal Securities Rulemaking Board

MISDEMEANOR: any crime classified as a misdemeanor and for states and countries that do not differentiate between a felony or misdemeanor, an offense that could result in imprisonment for any period of at least six days but not more than one year. By way of example, an offense for which the maximum period of imprisonment is 60 days would be considered a misdemeanor. The term also includes a special court martial.

# National Futures Association

Firm Application (7R) Filed December 18, 2012

Page 6

OMB Number 3038-0072

NFA ID 0282338 BANK OF AMERICA NA

Submitted By WEEMST3 TERRY WEEMS

OTHER NAME: For firms or sole proprietors, any other name that the applicant uses or has used in the past for its futures, retail off-exchange forex or swaps business but not the name of any other legal entity that the applicant has an affiliation or association with (see DBA). For individuals, this is any name the person is or has been known by. For example, a maiden name, an alias name that you use or are known by, or a previous name if you have changed your legal name.

PERSON: an individual, association, partnership, corporation, limited liability company, limited liability partnership, trust, or other form of business organization.

PRINCIPAL: an individual who is:

- a sole proprietor of a sole proprietorship; or
- a general partner of a partnership; or
- a director, president, chief executive officer, chief operating officer or chief financial officer of a corporation, limited liability company or limited partnership; or
- in charge of a business unit, division or function of a corporation, limited liability company or limited partnership if the unit, division or function is subject to regulation by the Commission; or
- a manager, managing member or a member vested with the management authority for a limited liability company or limited liability partnership; or

an individual who directly or indirectly, through agreement, holding companies, nominees, trusts or otherwise:

- is the owner of 10% or more of the outstanding shares of any class of a registrant's stock; or
- is entitled to vote 10% or more of any class of a registrant's voting securities; or
- has the power to sell or direct the sale of 10% or more of any class of a registrant's voting securities; or
- has contributed 10% or more of a registrant's capital; or
- is entitled to receive 10% or more of a registrant's net profits; or
- has the power to exercise a controlling influence over a registrant's activities that are subject to regulation by the Commission; or

an entity that:

- is a general partner of a registrant; or
- is the direct owner of 10% or more of any class of a registrant's securities; or
- has directly contributed 10% or more of a registrant's capital unless such capital contribution consists of subordinated debt contributed by:
  - an unaffiliated bank insured by the Federal Deposit Insurance Corporation; or

# National Futures Association

Firm Application (7R) Filed December 18, 2012

OMB Number 3038-0072

NFA ID 0282338 BANK OF AMERICA NA

Submitted By WEEMST3 TERRY WEEMS

Page 7

- a United States branch or agency of an unaffiliated foreign bank that is licensed under the laws of the United States and regulated, supervised and examined by United States government authorities having regulatory responsibility for such financial institutions; or
- an insurance company subject to regulation by any State.

SELF-REGULATORY ORGANIZATION (SRO): a private, non-governmental organization authorized to set and enforce standards or conduct for an industry, NFA, FINRA (formerly known as NASD), and the securities and futures exchanges in the U.S. are examples of domestic SROs.

# UNITED STATES CRIMINAL CODE:

Section 152: Concealment of assets, making false claims or bribery in connection with a bankruptcy

Section 1341, 1342 or 1343: Mail fraud

Chapter 25: Counterfeiting and forgery

Chapter 47: Fraud or false statements in a matter within the jurisdiction of a United States department or agency

Chapter 95 or 96: Racketeering and Racketeering Influence

# National Futures Association

Firm Application (7R) Filed December 18, 2012

OMB Number 3038-0072

NFA ID 0282338 BANK OF AMERICA NA

Submitted By WEEMST3 TERRY WEEMS

Page 8

# Privacy Act and Paperwork Reduction Act Notice

The information in Forms 7-R, 7-W, 8-R and 8-T and on the fingerprint card is being collected pursuant to authority granted in Sections 2c, 4f, 4k, 4n, 4s, 8a and 19 of the Commodity Exchange Act [7 U.S.C. §§ 6f, 6k, 6n, 6s, 12a and 23]. Under Section 2c, it is unlawful for anyone to engage in off-exchange foreign currency futures transactions or off-exchange foreign currency leveraged, margined or financed transactions with persons who are not eligible contract participants without registration, or exemption from registration, as a retail foreign exchange dealer, futures commission merchant, introducing broker, commodity pool operator or commodity trading advisor, as appropriate. Under Section 4d of the Commodity Exchange Act [7 U.S.C. §6d], it is unlawful for anyone to act as a futures commission merchant or introducing broker without being registered in that capacity under the Act. Under Section 4m of the Commodity Exchange Act [7 U.S.C. §6m], it is unlawful for a commodity trading advisor or commodity pool operator to make use of the mails or any means or instrumentality of interstate commerce in connection with his business as a commodity trading advisor or commodity pool operator without being registered in the appropriate capacity under the Act, except that a commodity trading advisor who, during the course of the preceding 12 months, has not furnished commodity trading advice to more than 15 persons and does not hold himself out generally to the public as a commodity trading advisor, need not register. Under Section 4s of the Commodity Exchange Act [7 U.S.C. §6s], it is unlawful for anyone to act as a swap dealer or major swap participant without being registered in that capacity under the Act. Under Section 19 of the Commodity Exchange Act [7 U.S.C. §23] and Section 31.5 of the CFTC's regulations, it is unlawful for anyone to act as a leverage transaction merchant without being registered in that capacity under the Act.

The information requested in Form 7-R is designed to assist NFA and the CFTC, as appropriate, in determining whether the application for registration should be granted or denied and to maintain the accuracy of registration files. The information in Form 7-W is designed to assist NFA and the CFTC in determining whether it would be contrary to the requirements of the Commodity Exchange Act, or any rule, regulation or order thereunder, or the public interest to permit withdrawal from registration.

The information requested in Form 8-R and on the fingerprint card will be used by the CFTC or NFA, as appropriate, as a basis for initiating an inquiry into the individual's fitness to be an associated person, floor broker or floor trader or to be a principal of a futures commission merchant, swap dealer, major swap participant, retail foreign exchange dealer, introducing broker, commodity trading advisor, commodity pool operator, leverage transaction merchant or non-natural person floor trader. Portions of the information requested in Form 8-R will be used by the CFTC and, in appropriate cases, by NFA, to confirm the registration of certain associated persons. The information requested in Form 8-T will be used by the CFTC, and, in appropriate cases, by NFA, to record the registration status of the individual and, in appropriate cases, as a basis for further inquiry into the individual's fitness to remain in business subject to the CFTC's jurisdiction.

# National Futures Association

Firm Application (7R) Filed December 18, 2012

Page 9

OMB Number 3038-0072

NFA ID 0282338 BANK OF AMERICA NA

Submitted By WEEMST3 TERRY WEEMS

With the exception of the social security number, all information in Forms 8-R and 8-T must be furnished. Disclosure of the social security number is voluntary. Disclosure of the Federal employer identification number is voluntary. The social security number and the Federal employer identification number are sought pursuant to the Debt Collection Improvement Act of 1996. Under the Debt Collection Improvement Act, a social security number or a taxpayer identifying number furnished to the CFTC as part of the registration process can be used for purposes of collecting and reporting on any debt owed to the U.S. Government, including civil monetary penalties. The furnishing of a social security number or Federal employer identification number, however, assists the CFTC and NFA in identifying individuals and firms and therefore expedites the processing of those forms.

The failure by an applicant, registrant or principal to timely file a properly completed Form 7-R and all other related required filings may result in the denial of an application for registration or withdrawal thereof or, in the case of an annual records maintenance fee, treating the registrant as having petitioned for withdrawal. Failure by an applicant, registrant or principal to timely file or cause to be filed a properly completed Form 8-R or 8-T, any other required related filings, or a fingerprint card may result in the lapse, denial, suspension or revocation of registration, withdrawal of the application or other enforcement or disciplinary action by the CFTC or NFA.

With the exception of the fingerprint card, any information contained in the Personal Information Section and any information contained in Matter Information pages related to the Disciplinary Information Sections on Form 8-R and on Form 8-T or Item 7 on Form 8-W, the Forms 7-R, 7-W, 8-R and 8-T are considered by the CFTC to be public records and will be available for inspection by any person. Copies will be maintained by National Futures Association, Registration Department, Suite 1800, 300 S. Riverside Plaza, Chicago, IL 60606-6615. Further, the CFTC or NFA may disclose the fingerprint card and any other information described above to third parties pursuant to routine uses which the CFTC has published in the Federal Register or as otherwise authorized under the Privacy Act, [5 U.S.C. §552a], and the Commodity Exchange Act. Disclosure of such information may be made by the CFTC as follows: (1) in connection with administrative proceedings or matters in litigation; (2) in connection with investigations; (3) where the information is furnished to regulatory, self-regulatory and law enforcement or other governmental agencies to assist them in meeting responsibilities assigned to them by law or made available to any member of Congress who is acting in his or her capacity as a member of Congress; (4) where disclosure is required under the Freedom of Information Act [5 U.S.C. §552]; (5) in connection with an employer's hiring or retention of an employee; (6) in connection with the verification of information submitted for sponsorship purposes; (7) in other circumstances in which the withholding of such information appears unwarranted; and (8) in connection with legally required or authorized reports. Disclosure may be made by NFA in accordance with rules approved by the CFTC.

If an individual believes that the placing in the CFTC's or NFA's public files of any of the information contained in the Personal Information Section or in Matter Information pages related

# National Futures Association

Firm Application (7R) Filed December 18, 2012

OMB Number 3038-0072

NFA ID 0282338 BANK OF AMERICA NA

Submitted By WEEMST3 TERRY WEEMS

Page 10

to Disciplinary Information on Form 8-R and on Form 8-T or Item 7 on Form 8-W, or on the fingerprint card would constitute an unwarranted invasion of his personal privacy, the individual may petition the CFTC, pursuant to 17 CFR 145.9, to treat such information as confidential in response to requests under the Freedom of Information Act (FOIA) [5 U.S.C. §552]. The CFTC will make no determination as to confidential treatment of information submitted unless and until the information is the subject of an FOIA request. The filing of a petition for confidential treatment, however, does not guarantee that the information will be treated confidentially in response to an FOIA request.

Forms which have not been prepared and executed in compliance with applicable requirements may not be acceptable for filing. Acceptance of this form shall not constitute any finding that the information is true, current or complete. Misstatements or omissions of fact may constitute federal criminal violations [7 U.S.C. §13 and 18 U.S.C. §1001] or grounds for disqualification from registration.

This notice is provided in accordance with the requirements of the Privacy Act [5 U.S.C. §552a(e)(3)] and summarizes some of an individual's rights under the Privacy Act [5 U.S.C. §552a] and the Freedom of Information Act [5 U.S.C. §552]. Individuals desiring further information should consult the CFTC's regulations under the Privacy Act, 17 CFR Part 146, and under the Freedom of Information Act, 17 CFR Part 145, and the CFTC's annual notice, published in the Federal Register, pursuant to the Privacy Act, of the existence and character of each system of records maintained by the CFTC.

You are not required to provide the information requested on a form subject to the Paperwork Reduction Act unless the form displays a valid OMB Control Number.

The time needed to complete and file Form 7-R, Form 3-R, Form 7-W, Form 8-R and Form 8-T and Form 8-W may vary depending upon individual circumstances. The estimated average times are:

Form 7-R

FCM 0.5 hours

SD 1.0 hours

MSP 1.0 hours

RFED 0.5 hours

IB 0.4 hours

CPO 0.4 hours

CTA 0.4 hours

FT 0.5 hours

Form 3-R 0.1 hours

Form 7-W 0.1 hours

Form 8-R 0.8 hours

Form 8-T 0.2 hours

# National Futures Association

Firm Application (7R) Filed December 18, 2012

OMB Number 3038-0072

NFA ID 0282338 BANK OF AMERICA NA

Submitted By WEEMST3 TERRY WEEMS

Page 11

Form 8-W 0.1 hours.

# National Futures Association

Firm Application (7R) Filed December 18, 2012

Page 12

OMB Number 3038-0072

NFA ID 0282338 BANK OF AMERICA NA

Submitted By WEEMST3 TERRY WEEMS

## Registration Categories

NFA MEMBER

SWAP DEALER

## Membership Information

Not applicable.

# National Futures Association

Firm Application (7R) Filed December 18, 2012

Page 13

OMB Number 3038-0072

NFA ID 0282338 BANK OF AMERICA NA

Submitted By WEEMST3 TERRY WEEMS

# Business Information

| Business Address | 100 NORTH TRYON STREET SUITE 170 CHARLOTTE, NORTH CAROLINA 28202 UNITED STATES |
| --- | --- |
| Phone Number | 980-386-5000 |
| Fax Number | Not provided. |
| E-mail Address | Not provided. |
| Website / URL | Not provided. |
| Federal EIN | 94-1687665 |
| CRD ID | Not provided. |
| Form of Organization | US FEDERALLY CHARTERED BANK |
| Location |  |
| Other Names | BANK OF AMERICA MERRILL LYNCH DBA IN USE |

# National Futures Association

Firm Application (7R) Filed December 18, 2012

Page 14

OMB Number 3038-0072

NFA ID 0282338 BANK OF AMERICA NA

Submitted By WEEMST3 TERRY WEEMS

## Location of Business Records

Business Records Address

ONE BRYANT PARK

NEW YORK, NY 10036

UNITED STATES

# National Futures Association

Firm Application (7R) Filed December 18, 2012

Page 15

OMB Number 3038-0072

NFA ID 0282338 BANK OF AMERICA NA

Submitted By WEEMST3 TERRY WEEMS

## Holding Company Information

Name: BANA HOLDING CORPORATION
10% or more interest? YES

# National Futures Association

Firm Application (7R) Filed December 18, 2012

Page 16

OMB Number 3038-0072

NFA ID 0282338 BANK OF AMERICA NA

Submitted By WEEMST3 TERRY WEEMS

## Regulator Information

### Non-U.S. Regulator(s) During The Past Five Years

ARGENTINA: PUBLIC REGISTER OF COMMERCE

AUSTRALIA: AUSTRALIAN SECURITIES & INVESTMENT COMMISSION (ASIC)

AUSTRALIA: AUSTRALIAN PRUDENTIAL REGULATION AUTHORITY (APRA)

BELGIUM: CBFA (BANKING, FINANCE AND INSURANCE COMMISSION)

CANADA: OFFICE OF THE SUPERINTENDENT OF FINANCIAL INSTITUTIONS

CAYMAN ISLANDS: CAYMAN ISLANDS MONETARY AUTHORITY (CIMA)

CHILE: SUPERINTENDENCIA DE VALORES Y SEGUROS (SVS) [THE CHILEAN

SECURITIES AND INSURANCE SUPERVISOR]

CHINA: CHINA BANKING REGULATORY COMMISSION (CBRC)

CHINA: HONG KONG MONETARY AUTHORITY (HKMA)

CHINA: PEOPLE'S BANK OF CHINA (PBOC)

CHINA: STATE ADMINISTRATION OF FOREIGN EXCHANGE (SAFE)

FRANCE: AUTORITE DE CONTROLE PRUDENTIAL [CONTROL AUTHORITY OF PRUDENTIAL]

GERMANY: DEUTSCHE BUNDESBANK

GREECE: MINISTRY OF DEVELOPMENT

INDIA: RESERVE BANK OF INDIA

INDONESIA: BANK INDONESIA

IRELAND: FINANCIAL REGULATOR

ITALY: BANK OF ITALY

JAPAN: FINANCIAL SERVICES AGENCY

KOREA: FINANCIAL SUPERVISORY SERVICE

MALAYSIA: LUBUAN OFFSHORE FINANCIAL SERVICES AUTHORITY (LOFSA)

NETHERLANDS: DUTCH CENTRAL BANK (DNB)

PERU: CENTRAL RESERVE BANK OF PERU (SBS)

PERU: THE SUPERINTENDENCY OF BANKS AND INSURANCE

PHILIPPINES: CENTRAL BANK OF THE PHILIPPINES

SINGAPORE: MONETARY AUTHORITY OF SINGAPORE

SPAIN: BANK OF SPAIN

TAIWAN: FINANCIAL SUPERVISORY COMMISSION

THAILAND: BANK OF THAILAND

THAILAND: SECURITIES AND EXCHANGE COMMISSION

UNITED KINGDOM: FINANCIAL SERVICES AUTHORITY

### U.S. Regulator(s)

THE OFFICE OF THE CONTROLLER OF THE CURRENCY

# National Futures Association

Firm Application (7R) Filed December 18, 2012

OMB Number 3038-0072

NFA ID 0282338 BANK OF AMERICA NA

Submitted By WEEMST3 TERRY WEEMS

Page 17

# National Futures Association

Firm Application (7R) Filed December 18, 2012

OMB Number 3038-0072

NFA ID 0282338 BANK OF AMERICA NA

Submitted By WEEMST3 TERRY WEEMS

Page 18

# Disciplinary Information

# Criminal Disclosures

For additional assistance and information on completing this page, refer to the Instructions and Definition of Terms at the beginning of this document.

THE FIRM OR SOLE PROPRIETOR MUST ANSWER "YES" TO THE QUESTIONS ON THIS PAGE EVEN IF:

ADJUDICATION OF GUILT WAS WITHHELD OR THERE WAS NO CONVICTION; OR
- THERE WAS A CONDITIONAL DISCHARGE OR POST-CONVICTION DISMISSAL AFTER SUCCESSFUL COMPLETION OF A SENTENCE; OR
A STATE CERTIFICATE OF RELIEF FROM DISABILITIES OR SIMILAR DOCUMENT WAS ISSUED RELIEVING THE HOLDER OF FORFEITURES, DISABILITIES OR BARS RESULTING FROM A CONVICTION; OR
THE RECORD WAS EXPUNGED OR SEALED; OR
A PARDON WAS GRANTED.

THE FIRM OR SOLE PROPRIETOR MAY ANSWER "NO" IF THE CASE WAS DECIDED IN A JUVENILE COURT OR UNDER A YOUTH OFFENDER LAW.

A. Has the firm or sole proprietor ever pled guilty or nolo contendere ("no contest") to or been convicted or found guilty of any felony in any domestic, foreign or military court? NO

B. Has the firm or sole proprietor ever pled guilty to or been convicted or found guilty of any misdemeanor in any domestic, foreign or military court which involves: NO

- embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property; or
- violation of sections 7203, 7204, 7205 or 7207 of the Internal Revenue Code of 1986; or
- violation of sections 152, 1341, 1342 or 1343 or chapters 25, 47, 95 or 96 of the United States Criminal Code; or
- any transaction in or advice concerning futures, options, leverage transactions or

# National Futures Association

Firm Application (7R) Filed December 18, 2012

OMB Number 3038-0072

NFA ID 0282338 BANK OF AMERICA NA

Submitted By WEEMST3 TERRY WEEMS

Page 19

securities?

C. Is the firm or sole proprietor a party to any action, or is there a charge pending, the resolution of which could result in a "Yes" answer to the above questions? NO

For any "Yes" answer to the questions above, has the firm or sole proprietor previously provided NFA or the CFTC all supplemental documentation for all matters requiring a "Yes" answer? N/A

# National Futures Association

Firm Application (7R) Filed December 18, 2012

Page 20

OMB Number 3038-0072

NFA ID 0282338 BANK OF AMERICA NA

Submitted By WEEMST3 TERRY WEEMS

## Regulatory Disclosures

For additional assistance and information on completing this page, refer to the Instructions and Definition of Terms at the beginning of this document.

D. In any case brought by a domestic or foreign governmental body (other than the CFTC), has the firm or sole proprietor ever been permanently or temporarily enjoined after a hearing or default or as the result of a settlement, consent decree or other agreement, from engaging in or continuing any activity involving:

NO

- any transaction in or advice concerning futures, options, leverage transactions or securities; or
- embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property?

E. In any case brought by a domestic or foreign governmental body (other than the CFTC), has the firm or sole proprietor ever been found after a hearing or default or as the result of a settlement, consent decree or other agreement, to:

YES

- have violated any provision of any investment-related statute or regulation; or
- have violated any statute, rule, regulation or order which involves embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property; or
- have willfully aided, abetted, counseled, commanded, induced or procured such violation by any other person?

F. Has the firm or sole proprietor ever been debarred by any agency of the United States from contracting with the United States?

NO

G. Has the firm or sole proprietor ever been the subject of any order issued by or a party to any agreement with a domestic or foreign regulatory authority (other than the CFTC), including but not limited to a licensing authority, or self-regulatory organization (other than NFA or a domestic futures exchange) that prevented or restricted the firm or sole proprietor's ability to engage in any business in the financial services industry?

NO

# National Futures Association

Firm Application (7R) Filed December 18, 2012

OMB Number 3038-0072

NFA ID 0282338 BANK OF AMERICA NA

Submitted By WEEMST3 TERRY WEEMS

Page 21

H. Are any of the orders or other agreements described in Question G currently in effect against the firm or sole proprietor? NO

I. Is the firm or sole proprietor a party to any action, or is there a charge pending, the resolution of which could result in a "Yes" answer to the above questions? NO

For any "Yes" answer to the questions above, has the firm or sole proprietor previously provided NFA or the CFTC all supplemental documentation for all matters requiring a "Yes" answer? NO

# National Futures Association

Firm Application (7R) Filed December 18, 2012

Page 22

OMB Number 3038-0072

NFA ID 0282338 BANK OF AMERICA NA

Submitted By WEEMST3 TERRY WEEMS

## Financial Disclosures

For additional assistance and information on completing this page, refer to the Instructions and Definition of Terms at the beginning of this document.

J. Has the firm or sole proprietor ever been the subject of an adversary action brought by, or on behalf of, a bankruptcy trustee? YES

For any "Yes" answer to the question above, has the firm or sole proprietor previously provided NFA or the CFTC all supplemental documentation for all matters requiring a "Yes" answer? NO

# National Futures Association

Firm Application (7R) Filed December 18, 2012

Page 23

OMB Number 3038-0072

NFA ID 0282338 BANK OF AMERICA NA

Submitted By WEEMST3 TERRY WEEMS

## Contact Information

Registration Contact

JANE MICHAEL

VP/SENIOR REGISTRATION MANAGER

4802 DEER LAKE DR E

FL9-801-02-01

JACKSONVILLE, FL 32246

UNITED STATES

Phone: 904-218-4044

E-mail: JANE.R.MICHAEL@BANKOFAMERICA.COM

Membership Contact

GENE PORTER

DIRECTOR/REGISTRATION EXECUTIVE

4802 DEER LAKE DR E

FL9-801-02-01

JACKSONVILLE, FL 32246

UNITED STATES

Phone: 904-218-4124

Fax: 704-409-1304

E-mail: GENE.E.PORTER@BANKOFAMERICA.COM

Accounting Contact

BRADLEY WEBER

SVP/SENIOR FINANCE MANAGER

101 S TRYON ST

NC1-002-23-91

CHARLOTTE, NC 28255

UNITED STATES

Phone: 980-388-7856

Fax: 980-387-0399

E-mail: BRAD.WEBER@BANKOFAMERICA.COM

# National Futures Association

Firm Application (7R) Filed December 18, 2012

Page 24

OMB Number 3038-0072

NFA ID 0282338 BANK OF AMERICA NA

Submitted By WEEMST3 TERRY WEEMS

# Arbitration Contact

AMANDA VAUGHN

ASSOC GEN'L COUNSEL & MANAGING DIRECTOR

50 ROCKEFELLER PLAZA

NY1-050-07-01

NEW YORK, NY 10020

UNITED STATES

Phone: 646-855-0932

Fax: 646-855-5945

E-mail: AMANDA.VAUGHN@BANKOFAMERICA.COM

# Compliance Contact

KATHLEEN CAWLEY

DIRECTOR/GBAM COMPLIANCE EXECUTIVE

ONE BRYANT PARK

NY1-100-17-01

NEW YORK, NY 10036

UNITED STATES

Phone: 646-855-2264

Fax: 212-292-8944

E-mail: KATHY.CAWLEY@BANKOFAMERICA.COM

# Chief Compliance Officer

PAULA DOMINICK

CHIEF COMPLIANCE OFFICER

ONE BRYANT PARK

NEW YORK, NY 10036

UNITED STATES

Phone: 646-855-1322

Fax: 646-855-5294

E-mail: PAULA.DOMINICK@BANKOFAMERICA.COM

# National Futures Association

Firm Application (7R) Filed December 18, 2012

Page 25

OMB Number 3038-0072

NFA ID 0282338 BANK OF AMERICA NA

Submitted By WEEMST3 TERRY WEEMS

Enforcement/Compliance Communication Contact

KATHLEEN CAWLEY

DIRECTOR/GBAM COMPLIANCE EXECUTIVE

ONE BRYANT PARK

NY1-100-17-01

NEW YORK, NY 10036

UNITED STATES

Phone: 646-855-2264

Fax: 212-292-8944

E-mail: KATHY.CAWLEY@BANKOFAMERICA.COM

# National Futures Association

Firm Application (7R) Filed December 18, 2012

OMB Number 3038-0072

NFA ID 0282338 BANK OF AMERICA NA

Submitted By WEEMST3 TERRY WEEMS

Page 26

# Firm Certification Statement

BY FILING THIS FORM 7-R, THE APPLICANT AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S

certification that the answers and the information provided in the Form 7-R are true, complete and accurate and that in light of the circumstances under which the applicant has given them, the answers and statements in the Form 7-R are not misleading in any material respect;

certification that the person who electronically files the Form 7-R on behalf of the applicant is authorized by the applicant to file the Form 7-R and to make the certifications, representations, requests, acknowledgements, authorizations and agreements contained in this agreement;

certification that, if the applicant is an applicant for registration as an SD or MSP, the applicant undertakes that, no later than ninety (90) days following the date this Form 7-R is filed, it will be and shall remain in compliance with the requirement of Section 4s(b)(6) of the Act that, except to the extent otherwise specifically provided by rule, regulation or order, the applicant will not permit any person associated with it who is subject to a statutory disqualification to effect or be involved in effecting swaps on behalf of the applicant, if the applicant knows, or in the exercise of reasonable care should know, of the statutory disqualification. For the purpose of this certification, "statutory disqualification" refers to the matters addressed in Sections 8a(2) and 8a(3) of the Act and "person" means an "associated person of a swap dealer or major swap participant" as defined in Section 1a(4) of the Act and CFTC regulations thereunder;

acknowledgement that the applicant is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the Form 7-R;

acknowledgement that the applicant is responsible at all times for maintaining the information in the Form 7-R in a complete, accurate and current manner by electronically filing updates to the information contained therein;

acknowledgement that the applicant may not act as an FCM, RFED, IB, CPO, CTA or FT until registration has been granted, that the applicant may not act as a Forex Firm or Forex Dealer Member until approval as a Forex Firm or designation as an approved Forex Dealer Member has been granted and that the applicant may not act as a Swap Firm until approval as a Swap Firm has been granted; in the case of an IB, until registration or a temporary license has been granted; or in the case of an SD or MSP, until registration or provisional registration has been granted;

or until confirmation of exemption from registration as an IB, CPO or CTA pursuant to CFTC Regulation 30.5 is granted;

# National Futures Association

Firm Application (7R) Filed December 18, 2012

OMB Number 3038-0072

NFA ID 0282338 BANK OF AMERICA NA

Submitted By WEEMST3 TERRY WEEMS

Page 27

authorization that NFA may conduct an investigation to determine the applicant's fitness for registration or for confirmation of exemption from registration as an IB, CPO and CTA pursuant to CFTC Regulation 30.5 and, if applicable, NFA membership and agreement to cooperate promptly and fully, consistent with applicable Federal law, in such investigation, which investigation may include contacting foreign regulatory and law enforcement authorities, including the submission of documents and information to NFA that NFA, in its discretion, may require in connection with the applicant's application for registration, confirmation of exemption from registration as an IB, CPO and CTA pursuant to CFTC Regulation 30.5 or NFA membership;

authorization and request that any person, including but not limited to contract markets, furnish upon request to NFA or any agent acting on behalf of NFA any information requested by NFA in connection with any investigation conducted by NFA to determine the applicant's fitness for registration or for confirmation of exemption from registration as an IB, CPO and CTA pursuant to CFTC Regulation 30.5;

agreement that any person furnishing information to NFA or any agent acting on behalf of NFA in connection with the investigation so authorized is released from any and all liability of whatever nature by reason of furnishing such information to NFA or any agent acting on behalf of NFA;

agreement that, if the applicant is a foreign applicant:

subject to any applicable blocking, privacy or secrecy laws, the applicant's books and records will be available for inspection by the CFTC, the U.S. Department of Justice ("DOJ") and NFA for purposes of determining compliance with the Act, CFTC Regulations and NFA Requirements;

subject to any applicable blocking, privacy or secrecy laws, such books and records will be produced on 72 hours notice at the location in the United States stated in the Form 7-R or, in the case of an IB, CPO or CTA confirmed as exempt from registration pursuant to CFTC Regulation 30.5, at the location specified by the CFTC or DOJ, provided, however, if the applicant is applying for registration as an FCM, SD, MSP or RFED, upon specific request, such books and records will be produced on 24 hours notice except for good cause shown;

the applicant will immediately notify NFA of any changes to the location in the United States where such books and records will be produced;

except as the applicant has otherwise informed the CFTC in writing, the applicant is not subject to any blocking, privacy or secrecy laws which would interfere with or create an obstacle to full inspection of the applicant's books and records by the CFTC, DOJ and NFA;

subject to any applicable blocking, privacy or secrecy laws, the failure to provide the CFTC,

# National Futures Association

Firm Application (7R) Filed December 18, 2012

OMB Number 3038-0072

NFA ID 0282338 BANK OF AMERICA NA

Submitted By WEEMST3 TERRY WEEMS

Page 28

DOJ or NFA with access to its books and records in accordance with this agreement may be grounds for enforcement and disciplinary sanctions, denial, suspension or revocation of registration, withdrawal of confirmation of exemption from registration as an IB, CPO or CTA pursuant to CFTC Regulation 30.5, and denial, suspension or termination of NFA membership; and

subject to any applicable blocking, privacy or secrecy laws, the applicant for registration shall provide to NFA copies of any audit or disciplinary report related to the applicant for registration issued by any non-U.S. regulatory authority or non-U.S. self-regulatory organization and any required notice that the applicant for registration provides to any non-U.S. regulatory authority or non-U.S. self-regulatory organization and shall provide these copies both as part of this application and thereafter immediately upon the applicant for registration's receipt of any such report or provision of any such notice;

representation that if the applicant is an applicant for exemption from registration as an IB, CPO or CTA pursuant to CFTC Regulation 30.5;

the applicant does not act as an IB, CPO or CTA, respectively, in connection with trading on or subject to the rules of a designated contract market in the United States by, for or on behalf of any U.S. customer, client or pool;

the applicant irrevocably agrees to the jurisdiction of the Commission and state and federal courts located in the U.S. with respect to activities and transactions subject to Part 30 of the CFTC's regulations; and

the applicant would not be statutorily disqualified from registration under §8a(2) or §8a(3) of the Act and is not disqualified from registration pursuant to the laws or regulations of its home country;

an express agreement that, whenever admitted to NFA membership, the applicant and its employees shall become and remain bound by all NFA requirements, including without limitation all applicable NFA Bylaws, Compliance Rules, Financial Requirements, Registration Rules, Code of Arbitration and Member Arbitration Rules, as then and thereafter in effect, and that this agreement shall apply each time the applicant becomes a Member of NFA; and

if the applicant is applying for NFA membership, certification that the applicant has authorized the person filing this application for NFA membership to file it on the Applicant's behalf.

# National Futures Association

Firm Application (7R) Filed December 18, 2012

Page 29

OMB Number 3038-0072

NFA ID 0282338 BANK OF AMERICA NA

Submitted By WEEMST3 TERRY WEEMS

# Confidential Matter Information

# Regulatory Disclosures

Matter Name OFFICE OF THE COMPTROLLER OF THE CURRENCY; JULY 23, 1987 ENFORCEMENT ACTION

Matter Details VIOLATION OF BOOKS AND RECORDKEEPING PROVISIONS AS WELL AS OTHER PROVISION OF THE U.S. SECURITIES LAWS. BANK OF AMERICA, N.A. (F/K/A BANK OF AMERICA NT&SA) WAS SANCTIONED BY THE OFFICE OF THE COMPTROLLER OF THE CURRENCY (THE "OCC") DUE TO PROBLEMS ASSOCIATED WITH AN ATTEMPTED CONVERSION TO A NEW SECURITIES TRADE PROCESSING AND RECORDKEEPING SYSTEM. THE OCC FOUND THAT DUE TO SYSTEMS PROBLEMS, BANK OF AMERICA, N.A. VIOLATED BOOKS AND RECORD-KEEPING PROVISIONS AS WELL AS OTHER PROVISIONS OF THE U.S. SECURITIES LAWS. PURSUANT TO THE ORDER ISSUED BY THE OCC, BANK OF AMERICA, N.A. WAS CENSURED, TWO OF BANK OF AMERICA, N.A.'S OFFICERS WERE SUSPENDED FOR SEVERAL DAYS AND BANK OF AMERICA, N.A. WAS DIRECTED TO ADOPT CERTAIN POLICIES AND PROCEDURES AND TO CREATE A COMPLIANCE REVIEW COMMITTEE. THE ORDER WAS LIFTED IN 1991.

Matter Name OFFICE OF THE COMPTROLLER OF THE CURRENCY; 1/15/1992 ENFORCEMENT ACTION

Matter Details IN JANUARY 1992, AS PART OF AN INDUSTRY-WIDE RESOLUTION OF AN INVESTIGATION OF CERTAIN MARKET PRACTICES FOR U.S. GOVERNMENT SPONSORED ENTERPRISE SECURITIES, THE COMPTROLLER ISSUED A CEASE AND DESIST ORDER TO BANK OF AMERICA, N.A. (F/K/A BANK OF AMERICA NT&SA) AND APPROXIMATELY 100 OTHER SECURITIES DEALERS (INCLUDING OTHER BANKS) REQUIRING THESE ENTITIES TO CEASE AND DESIST FROM FURTHER VIOLATIONS OF CERTAIN RECORDKEEPING REQUIREMENTS UNDER THE U.S. GOVERNMENT SECURITIES ACT AND THE COMPTROLLER'S RULES AND TO PAY CIVIL MONEY PENALTIES. WITHOUT ADMITTING OR DENYING THE

# National Futures Association

Firm Application (7R) Filed December 18, 2012

Page 30

OMB Number 3038-0072

NFA ID 0282338 BANK OF AMERICA NA

Submitted By WEEMST3 TERRY WEEMS

COMPTROLLER'S FINDINGS, BANK OF AMERICA, N.A. AGREED TO PAY A FINE IN THE AMOUNT OF $100,000.

# Financial Disclosures

Matter Name GENERAL FINANCIAL DISCLOSURE

Matter Details DUE TO THE INHERENT NATURE OF ITS BUSINESS, BANK OF AMERICA, N.A. ("BANA") IS INVOLVED IN HUNDREDS OF ADVERSARY ACTIONS BROUGHT BY A BANKRUPTCY TRUSTEE EACH YEAR. THE VAST MAJORITY OF THESE ACTIONS ARE HANDLED IN THE NORMAL COURSE OF BUSINESS BY BANA'S SPECIAL ASSET GROUPS IN ITS CONSUMER AND COMMERCIAL BANKING BUSINESSES. DUE TO THE VOLUME OF BANKRUPTCY MATTERS BANA IS INVOLVED IN AT ANY ONE TIME, BANA SOUGHT ADVICE FROM THE NFA ON WHAT WOULD BE REPORTABLE FOR PURPOSES OF THIS 7-R FILING. THE NFA ADVISED THAT SWAP DEALERS ARE ONLY REQUIRED TO DISCLOSE UNDER FORM 7-R FINANCIAL DISCLOSURE QUESTION J "MATERIAL" ADVERSARY ACTIONS BROUGHT BY A BANKRUPTCY TRUSTEE, MEANING THOSE THAT ARE REPORTABLE ON A SECURITIES FILING SUCH AS THE FORM 10-K. AFTER A REVIEW OF THE RELEVANT 10-K FILINGS, BANA HAS NO "MATERIAL" ADVERSARY ACTIONS BROUGHT BY A BANKRUPTCY TRUSTEE TO REPORT ON THIS FILING.

# Business Information

Viewed on October 21, 2021

NFA ID 0282338 BANK OF AMERICA NA

Name
BANK OF AMERICA NA
Form of Organization
US FEDERALLY CHARTERED BANK

Federal EIN
941687665

Business Address
Street Address 1
100 NORTH TRYON STREET
Street Address 2
SUITE 170
City
CHARLOTTE
State (United States only)
NORTH CAROLINA
Zip/Postal Code
28202
Country
UNITED STATES

Phone Number
980-386-5000
Fax Number
Not provided

Email
Not provided

Website/URL
Not provided

CRD/IARD ID
Not provided
US FEDERALLY CHARTERED BANK
F

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 1

# Disciplinary Information - Criminal Disclosures

Viewed on October 21, 2021

NFA ID 0282338 BANK OF AMERICA NA

For additional assistance and information on completing this page, refer to the Instructions and Definition of Terms at the beginning of this document.

THE QUESTIONS ON THIS PAGE MUST BE ANSWERED "YES" EVEN IF:

- ADJUDICATION OF GUILT WAS WITHHELD OR THERE WAS NO CONVICTION; OR
- THERE WAS A CONDITIONAL DISCHARGE OR POST-CONVICTION DISMISSAL AFTER SUCCESSFUL COMPLETION OF A SENTENCE; OR
- A STATE CERTIFICATE OF RELIEF FROM DISABILITIES OR SIMILAR DOCUMENT WAS ISSUED RELIEVING THE HOLDER OF FORFEITURES, DISABILITIES OR BARS RESULTING FROM A CONVICTION; OR
- THE RECORD WAS EXPUNGED OR SEALED; OR
- A PARDON WAS GRANTED.

THE QUESTIONS MAY BE ANSWERED "NO" IF THE CASE WAS DECIDED IN A JUVENILE COURT OR UNDER A YOUTH OFFENDER LAW.

For each matter that requires a "Yes" answer to Questions A, B or C below, a Criminal Disclosure Matter Page (DMP) must be filed using NFA's DMP Filing System that requests:

- who was involved;
- when it occurred;
- what the allegations were;
- what the final determination was, if any; and
- the date of the determination.

In addition, documents must be provided for each matter requiring a "Yes" answer that show:

- the charges;
- the classification of the offense, i.e., felony or misdemeanor;
- the plea, sentencing and probation information, as applicable;
- the final disposition; and
- a summary of the circumstances surrounding the criminal matter.

The documents may be provided electronically using the upload function in the DMP Filing System or sending them to NFA (See Instructions).

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 2

Firm Application (Form 7-R) Viewed on October 21, 2021

NFA ID 0282338 BANK OF AMERICA NA

Question A

Has the firm ever pled guilty or nolo contendere ("no contest") to or been convicted or found guilty of any felony in any U.S., non-U.S. or military court?

No

Question B

Has the firm ever pled guilty to or been convicted or found guilty of any misdemeanor in any U.S., non-U.S. or military court which involves:

- embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering, or misappropriation of funds, securities or property; or
- violation of sections 7203, 7204, 7205 or 7207 of the Internal Revenue Code of 1986; or
- violation of sections 152, 1341, 1342 or 1343 or chapters 25, 47, 95 or 96 of the U.S. Criminal Code; or
- any transaction in or advice concerning futures, options, leverage transactions or securities?

No

Question C

Is there a charge pending, the resolution of which could result in a "Yes" answer to the above questions?

No

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 2 of 2

# Disciplinary Information - Financial Disclosures

Viewed on October 21, 2021

NFA ID 0282338 BANK OF AMERICA NA

For additional assistance and information on completing this page, refer to the Instructions and Definition of Terms at the beginning of this document.

For each matter that requires a "Yes" answer to Question J below, a Financial DMP must be filed using NFA's DMP Filing System that requests:

- who was involved;
- when it occurred;
- what the allegations were;
- what the final determination was, if any;
- the date of the determination; and
- a summary of the circumstances surrounding the financial matter.

In addition, documents must be provided for each matter requiring a "Yes" answer that show:

- the allegations; and
- the final disposition.

The documents may be provided electronically using the upload function in the DMP Filing System or sending them to NFA (See Instructions).

Question J

Has the firm ever been the subject of an adversary action brought by a U.S. bankruptcy trustee?

Yes

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 1

# Disciplinary Information - Regulatory Disclosures

Viewed on October 21, 2021

NFA ID 0282338 BANK OF AMERICA NA

For additional assistance and information on completing this page, refer to the Instructions and Definition of Terms at the beginning of this document.

For each matter that requires a "Yes" answer to Questions D, E, F, G, H or I below, a Regulatory DMP must be filed using NFA's DMP Filing System that requests:

- who was involved;
- when it occurred;
- what the allegations were;
- what the final determination was, if any;
- the date of the determination; and
- a summary of the circumstances surrounding the regulatory matter.

In addition, documents must be provided for each matter requiring a "Yes" answer that show:

- the allegations; and
- the final disposition.

The documents may be provided electronically using the upload function in the DMP Filing System or sending them to NFA (See Instructions).

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 3

Firm Application (Form 7-R) Viewed on October 21, 2021

NFA ID 0282338 BANK OF AMERICA NA

Question D

In any case brought by a U.S. or non-U.S. governmental body (other than the CFTC), has a court ever permanently or temporarily enjoined the firm after a hearing or default or as the result of a settlement, consent decree or other agreement, from engaging in or continuing any activity involving:

- any transaction in or advice concerning futures, options, leverage transactions or securities; or
- embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property?

Yes

Question E

In any case brought by a U.S. or non-U.S. governmental body (other than the CFTC), has the firm ever been found, after a hearing or default or as the result of a settlement, consent decree or other agreement, to:

- have violated any provision of any investment-related statute or regulation thereunder; or
- have violated any statute, rule, regulation or order which involves embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property; or
- have willfully aided, abetted, counseled, commanded, induced or procured such violation by any other person; or
- have failed to supervise another person's activities under any investment-related statute or regulation thereunder?

Yes

Question F

Has the firm ever been debarred by any agency of the U.S. from contracting with the U.S.?

No

Question G

Has the firm ever been the subject of any order issued by or a party to any agreement with a U.S. or non-U.S. regulatory authority (other than the CFTC), including but not limited to a licensing authority, or self-regulatory organization (other than NFA or a U.S. futures exchange) that prevented or restricted the firm's ability to engage in any business in the financial services industry?

Yes

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 2 of 3

Firm Application (Form 7-R) Viewed on October 21, 2021

NFA ID 0282338 BANK OF AMERICA NA---

# Question H

Are any of the orders or other agreements described in Question G currently in effect against the firm?

Yes

# Question I

Is the firm a party to any action, the resolution of which could result in a 'Yes' answer to the above questions?

Yes

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 3 of 3

# Enforcement/Compliance Communication Contact Information

Viewed on October 21, 2021

NFA ID 0282338 BANK OF AMERICA NA

| First Name | LIU |
| --- | --- |
| Last Name | DAN DAN |
| Title | DIRECTOR, COMPL & OP RISK MGR |
| Street Address 1 | ONE BRYANT PARK |
| Street Address 2 | NY1-100-36-15 |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10036 |
| Country | UNITED STATES |
| Phone | 646-855-2264 |
| Email | DANDAN.LIU2@BOFA.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 1

# Entity Profile Information

Viewed on October 21, 2021

NFA ID 0282338 BANK OF AMERICA NA

# Current Status Information

| Branch ID | Status | Effective Date |
| --- | --- | --- |
|  | NFA MEMBER APPROVED | 04/05/2013 |
|  | SWAP DEALER PROVISIONALLY REGISTERED | 12/31/2012 |
|  | NFA ID 0444690 BANK OF AMERICA EUROPE DAC |  |
|  | PRINCIPAL APPROVED | 10/04/2017 |

# Status History Information

| Status | Effective Date |
| --- | --- |
| NFA MEMBER APPROVED | 04/05/2013 |
| SWAP DEALER PROVISIONALLY REGISTERED | 12/31/2012 |
| NFA MEMBER PENDING | 12/18/2012 |
| SWAP DEALER PENDING | 12/18/2012 |
| NFA ID 0351524 BANC OF AMERICA INVESTMENT ADVISORS INC |  |
| PRINCIPAL WITHDRAWN | 09/21/2010 |
| PRINCIPAL APPROVED | 08/12/2005 |
| NFA ID 0331203 BANC OF AMERICA INVESTMENT SERVICES INC |  |
| PRINCIPAL WITHDRAWN | 10/29/2005 |
| PRINCIPAL APPROVED | 07/07/2003 |
| NFA ID 0444690 BANK OF AMERICA EUROPE DAC |  |
| PRINCIPAL APPROVED | 10/04/2017 |
| PRINCIPAL PENDING | 09/14/2017 |

Page 1 of 2

NFA ID 0282293 COLUMBIA MANAGEMENT ADVISORS LLC

PRINCIPAL WITHDRAWN

03/05/2010

PRINCIPAL APPROVED

11/11/1997

PRINCIPAL PENDING

09/29/1997

#### Outstanding Requirements

Annual Due Date: 5/1/2022

4S SUBMISSIONS IN REVIEW

ANNUAL MEMBERSHIP DUES REQUIRED FOR 11/1/2021

ANNUAL MEMBERSHIP DUES REQUIRED FOR 2/1/2022

#### Disciplined Employee Summary

---

Page 2 of 2

# Location of Business Records

Viewed on October 21, 2021

NFA ID 0282338 BANK OF AMERICA NA

| Street Address 1 | ONE BRYANT PARK |
| --- | --- |
| City | NEW YORK |
| State | NEW YORK |
| Zip/Postal Code | 10036 |
| Country | UNITED STATES |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 1

# Membership Contact Information

Viewed on October 21, 2021

NFA ID 0282338 BANK OF AMERICA NA

Membership Contact

| First Name | JOHNESE |
| --- | --- |
| Last Name | PRICE JACKSON |
| Title | AVP BUSINESS CONTROL MGR |
| Street Address 1 | 9000 SOUTHSIDE BLVD |
| Street Address 2 | FL9-200-04-16 |
| City | JACKSONVILLE |
| State (United States only) | FLORIDA |
| Zip/Postal Code | 32256 |
| Country | UNITED STATES |
| Phone | 904-218-4207 |
| Email | JOHNESE.PRICE-JACKSON@BOFA.COM |

Accounting Contact

| First Name | CHERI |
| --- | --- |
| Last Name | DELAPP |
| Title | AVP SR BUSINESS CONTROL SPECIALIST |
| Street Address 1 | 9000 SOUTHSIDE BLVD |
| Street Address 2 | FL9-200-04-16 |
| City | JACKSONVILLE |
| State (United States only) | FLORIDA |
| Zip/Postal Code | 32256 |
| Country | UNITED STATES |
| Phone | 904-218-4053 |
| Email | CHERI.DELAPP@BOFA.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 3

Firm Application (Form 7-R) Viewed on October 21, 2021

NFA ID 0282338 BANK OF AMERICA NA---

# Arbitration Contact

| First Name | DAVID |
| --- | --- |
| Last Name | LEITCH |
| Title | GLOBAL GENERAL COUNSEL |
| Street Address 1 | 100 N TRYON ST |
| Street Address 2 | NC1-007-58-23 |
| City | CHARLOTTE |
| State (United States only) | NORTH CAROLINA |
| Zip/Postal Code | 28255 |
| Country | UNITED STATES |
| Phone | 980-386-9058 |
| Fax | 704-683-7218 |
| Email | DAVID.LEITCH@BOFA.COM |

# Compliance Contact

| First Name | DAN DAN |
| --- | --- |
| Last Name | LIU |
| Title | DIRECTOR, COMPL & OP RISK MGR |
| Street Address 1 | ONE BRYANT PARK |
| Street Address 2 | NY1-100-36-15 |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10036 |
| Country | UNITED STATES |
| Phone | 646-855-2264 |
| Email | DANDAN.LIU2@BOFA.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 2 of 3

Firm Application (Form 7-R) Viewed on October 21, 2021

NFA ID 0282338 BANK OF AMERICA NA---

# Chief Compliance Officer Contact

| First Name | LAUREN |
| --- | --- |
| Last Name | MOGENSEN |
| Title | CHIEF COMPLIANCE OFFICER |
| Street Address 1 | 100 FEDERAL ST |
| Street Address 2 | MA5-100-32-01 |
| City | BOSTON |
| State (United States only) | MASSACHUSETTS |
| Zip/Postal Code | 02110 |
| Country | UNITED STATES |
| Phone | 617-434-7016 |
| Fax | 617-310-3274 |
| Email | LAUREN.MOGENSEN@BOFA.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 3 of 3

[LOGO]

# Membership Information

Viewed on October 21, 2021

NFA ID 0282338 BANK OF AMERICA NA

Indicate the category in which the Member intends to vote on NFA membership matters. SWAP DEALER

U.S. Regulator Information

Is the firm currently regulated by any of the regulators listed below? Yes

THE OFFICE OF THE COMPTROLLER OF THE CURRENCY

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 1

# Non-U.S. Regulator Information

Viewed on October 21, 2021

NFA ID 0282338 BANK OF AMERICA NA

ARGENTINA - PUBLIC REGISTER OF COMMERCE; AUSTRALIA - AUSTRALIAN SECURITIES & INVESTMENT COMMISSION (ASIC); AUSTRALIA - AUSTRALIAN PRUDENTIAL REGULATION AUTHORITY (APRA); BELGIUM - CBFA (BANKING, FINANCE AND INSURANCE COMMISSION); CANADA - OFFICE OF THE SUPERINTENDENT OF FINANCIAL INSTITUTIONS; CAYMAN ISLANDS - CAYMAN ISLANDS MONETARY AUTHORITY (CIMA); CHILE - SUPERINTENDENCIA DE VALORES Y SEGUROS (SVS) [THE CHILEAN SECURITIES AND INSURANCE SUPERVISOR]; CHINA - CHINA BANKING REGULATORY COMMISSION (CBRC); CHINA - HONG KONG MONETARY AUTHORITY (HKMA); CHINA - PEOPLE'S BANK OF CHINA (PBOC); CHINA - STATE ADMINISTRATION OF FOREIGN EXCHANGE (SAFE); FRANCE - AUTORITE DE CONTROLE PRUDENTIAL [CONTROL AUTHORITY OF PRUDENTIAL]; GERMANY - DEUTSCHE BUNDESBANK; GREECE - MINISTRY OF DEVELOPMENT; INDIA - RESERVE BANK OF INDIA; INDONESIA - BANK INDONESIA; IRELAND - FINANCIAL REGULATOR; ITALY - BANK OF ITALY; JAPAN - FINANCIAL SERVICES AGENCY; KOREA - FINANCIAL SUPERVISORY SERVICE; MALAYSIA - LUBUAN OFFSHORE FINANCIAL SERVICES AUTHORITY (LOFSA); NETHERLANDS - DUTCH CENTRAL BANK (DNB); PERU - CENTRAL RESERVE BANK OF PERU (SBS); PERU - THE SUPERINTENDENCY OF BANKS AND INSURANCE; PHILIPPINES - CENTRAL BANK OF THE PHILIPPINES; SINGAPORE - MONETARY AUTHORITY OF SINGAPORE; SPAIN - BANK OF SPAIN; TAIWAN - FINANCIAL SUPERVISORY COMMISSION; THAILAND - BANK OF THAILAND; THAILAND - SECURITIES AND EXCHANGE COMMISSION; UNITED KINGDOM - FINANCIAL SERVICES AUTHORITY

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 1

Other Names

Viewed on October 21, 2021

NFA ID 0282338 BANK OF AMERICA NA

NATIONSBANK NA

ALIAS

BANK OF AMERICA

DBA IN USE

BANK OF AMERICA MERRILL LYNCH

DBA IN USE

BANK OF AMERICA NT & SA

DBA NOT IN USE

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 1

# Principal Information

Viewed on October 21, 2021

NFA ID 0282338 BANK OF AMERICA NA

# Individual Information

NFA ID 0449746
Name ALLEN, SHARON LEE
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 02-28-2013

NFA ID 0449747
Name BIES, SUSAN SCHMIDT
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 12-31-2012

NFA ID 0449750
Name BRAMBLE SR, FRANK PAUL
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 12-31-2012

NFA ID 0403734
Name CHAN, LAURIE
Title(s) HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest No
Status APPROVED
Effective Date 11-09-2020

NFA ID 0470677
Name DE WECK, PIERRE JACQUES PHILIPPE
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 12-03-2013

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 5

Firm Application (Form 7-R) Viewed on October 21, 2021

NFA ID 0282338 BANK OF AMERICA NA---

| NFA ID | 0494981 |
| --- | --- |
| Name | DEMARE, JAMES PAUL |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 04-04-2016 |

| NFA ID | 0517391 |
| --- | --- |
| Name | DIAZ, PATRICIO JOSE |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 01-15-2019 |

| NFA ID | 0457531 |
| --- | --- |
| Name | DONALD, ARNOLD WAYNE |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 01-30-2013 |

| NFA ID | 0489040 |
| --- | --- |
| Name | DONOFRIO, PAUL MICHAEL |
| Title(s) | CHIEF FINANCIAL OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 09-01-2015 |

| NFA ID | 0449755 |
| --- | --- |
| Name | HUDSON, LINDA PARKER |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-31-2012 |

| NFA ID | 0449756 |
| --- | --- |
| Name | LOZANO, MONICA CECILIA |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |

---

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 2 of 5

Firm Application (Form 7-R) Viewed on October 21, 2021

NFA ID 0282338 BANK OF AMERICA NA---

| Effective Date | 12-31-2012 |
| --- | --- |
| NFA ID | 0359936 |
| Name | MAGASINER, ANDREI GRISCHA |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-25-2016 |
| NFA ID | 0449757 |
| Name | MAY, THOMAS JOHN |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-31-2012 |
| NFA ID | 0477206 |
| Name | MOGENSEN, LAUREN ANNE |
| Title(s) | CHIEF COMPLIANCE OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 05-28-2014 |
| NFA ID | 0261748 |
| Name | MONTAG, THOMAS KELL |
| Title(s) | CHIEF OPERATING OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-21-2012 |
| NFA ID | 0401299 |
| Name | MOYNIHAN, BRIAN THOMAS |
| Title(s) | DIRECTOR CHIEF EXECUTIVE OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-31-2012 |
| NFA ID | 0457530 |
| Name | NOWELL III, LIONEL LEWIS |
| Title(s) | DIRECTOR |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Page 3 of 5

Firm Application (Form 7-R) Viewed on October 21, 2021

NFA ID 0282338 BANK OF AMERICA NA---

| 10% or More Interest | No |
| --- | --- |
| Status | APPROVED |
| Effective Date | 01-30-2013 |

| NFA ID | 0524095 |
| --- | --- |
| Name | RAMOS, DENISE LAURA |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-15-2019 |

| NFA ID | 0466397 |
| --- | --- |
| Name | ROSE, CLAYTON STUART |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-03-2018 |

| NFA ID | 0488315 |
| --- | --- |
| Name | SIMPSON, PAUL HOWARD |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-31-2016 |

| NFA ID | 0497808 |
| --- | --- |
| Name | WHITE, MICHAEL DENNIS |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-03-2016 |

| NFA ID | 0496348 |
| --- | --- |
| Name | WOODS, THOMAS DUNNE |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 05-10-2016 |

| NFA ID | 0521112 |
| --- | --- |
| Name | YANKAUER, STEPHEN |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 4 of 5

Firm Application (Form 7-R) Viewed on October 21, 2021

NFA ID 0282338 BANK OF AMERICA NA---

| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| --- | --- |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 04-11-2019 |

| NFA ID | 0449761 |
| --- | --- |
| Name | YOST, ROBERT DAVID |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-31-2012 |

| NFA ID | 0510243 |
| --- | --- |
| Name | ZUBER, MARIA THERESA |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-27-2017 |

| NFA ID | 0533174 |
| --- | --- |
| Name | ZUBERI, SOOFIAN J |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 11-20-2020 |

# Holding Company Information

| NFA ID | 0483691 |
| --- | --- |
| Full Name | BAC NORTH AMERICA HOLDING COMPANY |
| 10% or More Interest | Yes |
| Status | APPROVED |
| Effective Date | 11-05-2019 |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 5 of 5

# Principal Name and Financial Interest

Viewed on October 21, 2021

NFA ID 0282338 BANK OF AMERICA NA

Current Firms

| Sponsor ID | Sponsor Name | Title(s) | 10% or more interest? |
| --- | --- | --- | --- |
| 0444690 | BANK OF AMERICA EUROPE DAC |  | Y |

Past Firms

| Sponsor ID | Sponsor Name | Title(s) | 10% or more interest? |
| --- | --- | --- | --- |
| 0282293 | COLUMBIA MANAGEMENT ADVISORS LLC |  | Y |
| 0331203 | BANC OF AMERICA INVESTMENT SERVICES INC |  | Y |
| 0351524 | BANC OF AMERICA INVESTMENT ADVISORS INC |  | Y |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 1

# Registration Contact Information

Viewed on October 21, 2021

NFA ID 0282338 BANK OF AMERICA NA

| First Name | JOHNESE |
| --- | --- |
| Last Name | PRICE JACKSON |
| Title | AVP BUSINESS CONTROL MGR |
| Street Address 1 | 9000 SOUTHSIDE BLVD |
| Street Address 2 | FL9-200-04-16 |
| City | JACKSONVILLE |
| State (United States only) | FLORIDA |
| Zip/Postal Code | 32256 |
| Country | UNITED STATES |
| Phone | 904-218-4207 |
| Email | JOHNESE.PRICE-JACKSON@BOFA.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 1

Page 1 of 2

Online Registration System

# Disciplinary Information - Firm Regulatory Disclosure Matter Page

NFA ID 0282338 - BANK OF AMERICA NA

All the DMP section data has been loaded.

Please file a separate Disclosure Matter Page (DMP) for each regulatory action. A regulatory action may be reportable under more than one regulatory disclosure question. If the same conduct/event resulted in more than one regulatory action, provide details for each action on a separate DMP.

◀ Back to Summary

✏️ Amend

Disclosure Questions

Completing this section does not update answer(s) to the Regulatory Disclosure question(s). To update the Regulatory Disclosure questions, click the appropriate link on the Update/Withdraw Registration Information Menu.

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☐ D ☐ E ☐ F ☐ G ☐ H ☐ I

Regulatory Case Information

REGULATORY INFORMATION

❶ Regulatory/Civil Action initiated by:
Name of Regulatory Body:

CASE INFORMATION

❷ Case Number:
❸ Case Status:
❹ Were any of the following sanctions imposed?:

Comments

https://www.nfa.futures.org/ORS/DMP/Firm/Regulatory.aspx?NFAID=0282338&dmpN... 10/21/2021

Page 2 of 2

Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

ON AUGUST 6, 2013, THE DEPARTMENT OF JUSTICE FILED A CIVIL ACTION AGAINST MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. F/K/A BANC OF AMERICA SECURITIES LLC (THE "FIRM") AND OTHER ENTITIES, INCLUDING BANK OF AMERICA, N.A. (COLLECTIVELY THE "ENTITIES"). THE DEPARTMENT OF JUSTICE ALLEGES THAT THE ENTITIES VIOLATED THE FINANCIAL INSTITUTIONS REFORM, RECOVERY AND ENFORCEMENT ACT OF 1989, 12 U.S.C. § 1833A, THROUGH CIVIL VIOLATIONS OF 18 U.S.C. §§ 1001 AND 1014. THE COMPLAINT CLAIMS THAT THE ENTITIES MADE FALSE STATEMENTS TO AND OMITTED MATERIAL INFORMATION FROM THE GOVERNMENT AND FEDERALLY INSURED FINANCIAL INSTITUTIONS. SPECIFICALLY, THE COMPLAINT ALLEGES THAT THE ENTITIES FAILED TO DISCLOSE THE DISPROPORTIONATE CONCENTRATION OF WHOLESALE CHANNEL LOANS ORIGINATED BY THIRD PARTIES UNDERLYING THE RESIDENTIAL MORTGAGE BACKED SECURITIES. THE COMPLAINT ALLEGES THAT THE ENTITIES KNEW THE WHOLESALE CHANNEL LOANS WERE RISKIER AS COMPARED TO SIMILAR MORTGAGES ORIGINATED BY THE ENTITIES DIRECTLY. THE COMPLAINT ALSO ALLEGES THAT THE ENTITIES FAILED TO DISCLOSE THE PERCENTAGE OF PAPERSAVER LOANS MADE TO SELF-EMPLOYED BORROWERS. THE

### Supporting Documentation

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the complaint, settlement offer and final order/judgment.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

◀ Back to Summary

https://www.nfa.futures.org/ORS/DMP/Firm/Regulatory.aspx?NFAID=0282338&dmpN... 10/21/2021

Page 1 of 2

Online Registration System

# Disciplinary Information - Firm Regulatory Disclosure Matter Page

NFA ID 0282338 - BANK OF AMERICA NA

Please file a separate Disclosure Matter Page (DMP) for each regulatory action. A regulatory action may be reportable under more than one regulatory disclosure question. If the same conduct/event resulted in more than one regulatory action, provide details for each action on a separate DMP.

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✏️ Amend

Disclosure Questions

Completing this section does not update answer(s) to the Regulatory Disclosure question(s). To update the Regulatory Disclosure questions, click the appropriate link on the Update/Withdraw Registration Information Menu.

Check the question(s) you are disclosing the regulatory action under: 🗑️ Show Questions

☐ D ☐ E ☐ F ☐ G ☐ H ☐ I

Regulatory Case Information

REGULATORY INFORMATION

📌 Regulatory/Civil Action initiated by:
Name of Regulatory Body:

CASE INFORMATION

📌 Case Number:
📌 Case Status:
📌 Were any of the following sanctions imposed?:

Comments

Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

ON AUGUST 6, 2013, THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") FILED A CIVIL INJUNCTIVE ACTION AGAINST MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. F/K/A BANC OF AMERICA SECURITIES LLC

https://www.nfa.futures.org/ORS/DMP/Firm/Regulatory.aspx?NFAID=0282338&dmpN... 10/21/2021

Page 2 of 2

("FIRM") AND OTHER ENTITIES, INCLUDING BANK OF AMERICA, N.A. (COLLECTIVELY THE "ENTITIES"). THE COMMISSION ALLEGES THAT THE ENTITIES MADE MATERIAL MISREPRESENTATIONS AND OMISSIONS IN CONNECTION WITH THE SALE OF RESIDENTIAL MORTGAGE-BACKED SECURITIES. SPECIFICALLY, THE COMPLAINT ALLEGES THAT THE ENTITIES FAILED TO DISCLOSE THE DISPROPORTIONATE CONCENTRATION OF WHOLESALE LOANS (72% BY UNPAID PRINCIPAL BALANCE) UNDERLYING THE RESIDENTIAL MORTGAGE-BACKED SECURITIES AS COMPARED TO PRIOR RESIDENTIAL MORTGAGE-BACKED SECURITIES OFFERINGS. THE COMPLAINT ALSO ALLEGES THAT THE ENTITIES FAILED TO DISCLOSE KNOWN RISKS ASSOCIATED

# Supporting Documentation

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the complaint, settlement offer and final order/judgment.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

◀ Back to Summary

https://www.nfa.futures.org/ORS/DMP/Firm/Regulatory.aspx?NFAID=0282338&dmpN... 10/21/2021

Page 1 of 2

Online Registration System

# Disciplinary Information - Firm Regulatory Disclosure Matter Page

NFA ID 0282338 - BANK OF AMERICA NA

Please file a separate Disclosure Matter Page (DMP) for each regulatory action. A regulatory action may be reportable under more than one regulatory disclosure question. If the same conduct/event resulted in more than one regulatory action, provide details for each action on a separate DMP.

◀ Back to Summary

✏️ Amend

Disclosure Questions

Completing this section does not update answer(s) to the Regulatory Disclosure question(s). To update the Regulatory Disclosure questions, click the appropriate link on the Update/Withdraw Registration Information Menu.

Check the question(s) you are disclosing the regulatory action under: 🗑️ Show Questions

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Regulatory Case Information

REGULATORY INFORMATION

📌 Regulatory/Civil Action initiated by:
Name of Regulatory Body:

CASE INFORMATION

📌 Case Number:
📌 Case Status:
📌 Were any of the following sanctions imposed?:

Comments

Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

VIOLATION OF BOOKS AND RECORDKEEPING PROVISIONS AS WELL AS OTHER PROVISION OF THE U.S. SECURITIES LAWS. BANK OF AMERICA, N.A. (F/K/A BANK OF AMERICA NT&SA) WAS SANCTIONED BY THE

https://www.nfa.futures.org/ORS/DMP/Firm/Regulatory.aspx?NFAID=0282338&dmpN... 10/21/2021

Page 2 of 2

OFFICE OF THE COMPTROLLER OF THE CURRENCY (THE "OCC") DUE TO PROBLEMS ASSOCIATED WITH AN ATTEMPTED CONVERSION TO A NEW SECURITIES TRADE PROCESSING AND RECORDKEEPING SYSTEM. THE OCC FOUND THAT DUE TO SYSTEMS PROBLEMS, BANK OF AMERICA, N.A. VIOLATED BOOKS AND RECORD-KEEPING PROVISIONS AS WELL AS OTHER PROVISIONS OF THE U.S. SECURITIES LAWS. PURSUANT TO THE ORDER ISSUED BY THE OCC, BANK OF AMERICA, N.A. WAS CENSURED, TWO OF BANK OF AMERICA, N.A.'S OFFICERS WERE SUSPENDED FOR SEVERAL DAYS AND BANK OF AMERICA, N.A. WAS DIRECTED TO ADOPT CERTAIN POLICIES AND PROCEDURES AND TO CREATE A COMPLIANCE REVIEW COMMITTEE. THE ORDER WAS LIFTED IN 1991.

# Supporting Documentation

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the complaint, settlement offer and final order/judgment.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

◀ Back to Summary

https://www.nfa.futures.org/ORS/DMP/Firm/Regulatory.aspx?NFAID=0282338&dmpN... 10/21/2021

Page 1 of 2

Online Registration System

# Disciplinary Information - Firm Regulatory Disclosure Matter Page

NFA ID 0282338 - BANK OF AMERICA NA

Please file a separate Disclosure Matter Page (DMP) for each regulatory action. A regulatory action may be reportable under more than one regulatory disclosure question. If the same conduct/event resulted in more than one regulatory action, provide details for each action on a separate DMP.

◀ Back to Summary

✏️ Amend

Disclosure Questions

Completing this section does not update answer(s) to the Regulatory Disclosure question(s). To update the Regulatory Disclosure questions, click the appropriate link on the Update/Withdraw Registration Information Menu.

Check the question(s) you are disclosing the regulatory action under: 🗑️ Show Questions

☐ D ☐ E ☐ F ☐ G ☐ H ☐ I

Regulatory Case Information

REGULATORY INFORMATION

📌 Regulatory/Civil Action initiated by:
Name of Regulatory Body:

CASE INFORMATION

📌 Case Number:
📌 Case Status:
📌 Were any of the following sanctions imposed?:

Comments

Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

IN JANUARY 1992, AS PART OF AN INDUSTRY-WIDE RESOLUTION OF AN INVESTIGATION OF CERTAIN MARKET PRACTICES FOR U.S. GOVERNMENT SPONSORED ENTERPRISE SECURITIES, THE COMPTROLLER ISSUED A CEASE

https://www.nfa.futures.org/ORS/DMP/Firm/Regulatory.aspx?NFAID=0282338&dmpN... 10/21/2021

Page 2 of 2

AND DESIST ORDER TO BANK OF AMERICA, N.A. (F/K/A BANK OF AMERICA NT&SA) AND APPROXIMATELY 100 OTHER SECURITIES DEALERS (INCLUDING OTHER BANKS) REQUIRING THESE ENTITIES TO CEASE AND DESIST FROM FURTHER VIOLATIONS OF CERTAIN RECORDKEEPING REQUIREMENTS UNDER THE U.S. GOVERNMENT SECURITIES ACT AND THE COMPTROLLER'S RULES AND TO PAY CIVIL MONEY PENALTIES. WITHOUT ADMITTING OR DENYING THE COMPTROLLER'S FINDINGS, BANK OF AMERICA, N.A. AGREED TO PAY A FINE IN THE AMOUNT OF $100,000.

#### Supporting Documentation

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the complaint, settlement offer and final order/judgment.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

◀ Back to Summary

https://www.nfa.futures.org/ORS/DMP/Firm/Regulatory.aspx?NFAID=0282338&dmpN... 10/21/2021

Page 1 of 2

Online Registration System

# Disciplinary Information - Firm Financial Disclosure Matter Page

NFA ID 0282338 - BANK OF AMERICA NA

Please file a separate Disclosure Matter Page (DMP) for each action.

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Disclosure Question

Completing this section does not update the answer to the Financial Disclosure question. To update the Financial Disclosure question, click the appropriate link on the Update/Withdraw Registration Information Menu.

Check the question you are disclosing the financial matter under: 🗒 Show Question

☐ ↓

Case Information

BANKRUPTCY CASE INFORMATION

- ➔ United States Bankruptcy Court (USBC) location where the related bankruptcy case was filed:
- ➔ Case Number:

ADVERSARY CASE INFORMATION

- ➔ Court where the adversary action was filed:
- ➔ Court Location:
- ➔ Case Number of Adversary Action:
- ➔ Adversary Action Status:

Comments

Use this field to provide a summary of the circumstances leading to the adversary action as well as status/disposition details.

DUE TO THE INHERENT NATURE OF ITS BUSINESS, BANK OF AMERICA, N.A. ("BANA") IS INVOLVED IN HUNDREDS OF ADVERSARY ACTIONS BROUGHT BY A BANKRUPTCY TRUSTEE EACH YEAR. THE VAST

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MAJORITY OF THESE ACTIONS ARE HANDLED IN THE NORMAL COURSE OF BUSINESS BY BANA'S SPECIAL ASSET GROUPS IN ITS CONSUMER AND COMMERCIAL BANKING BUSINESSES. DUE TO THE VOLUME OF BANKRUPTCY MATTERS BANA IS INVOLVED IN AT ANY ONE TIME, BANA SOUGHT ADVICE FROM THE NFA ON WHAT WOULD BE REPORTABLE FOR PURPOSES OF THIS 7-R FILING. THE NFA ADVISED THAT SWAP DEALERS ARE ONLY REQUIRED TO DISCLOSE UNDER FORM 7-R FINANCIAL DISCLOSURE QUESTION J "MATERIAL" ADVERSARY ACTIONS BROUGHT BY A BANKRUPTCY TRUSTEE, MEANING THOSE THAT ARE REPORTABLE ON A SECURITIES FILING SUCH AS THE FORM 10-K. AFTER A REVIEW OF THE RELEVANT 10-K FILINGS, BANA HAS NO "MATERIAL" ADVERSARY ACTIONS BROUGHT BY A BANKRUPTCY TRUSTEE TO REPORT ON THIS FILING.

# Supporting Documentation

You must provide NFA with supporting documentation if not previously submitted. This includes the complaint and the final disposition for each adversary action.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

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Online Registration System

# Disciplinary Information - Firm Regulatory Disclosure Matter Page

NFA ID 0282338 - BANK OF AMERICA NA

All the DMP section data has been loaded.

Please file a separate Disclosure Matter Page (DMP) for each regulatory action. A regulatory action may be reportable under more than one regulatory disclosure question. If the same conduct/event resulted in more than one regulatory action, provide details for each action on a separate DMP.

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Disclosure Questions

Completing this section does not update answer(s) to the Regulatory Disclosure question(s). To update the Regulatory Disclosure questions, click the appropriate link on the Update/Withdraw Registration Information Menu.

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☐ D ☐ E ☐ F ☐ G ☐ H ☐ I

Regulatory Case Information

REGULATORY INFORMATION

❶ Regulatory/Civil Action initiated by:
Name of Regulatory Body:

CASE INFORMATION

❷ Case Number:
❸ Case Status:
❹ Were any of the following sanctions imposed?:

Comments

https://www.nfa.futures.org/ORS/DMP/Firm/Regulatory.aspx?NFAID=0282338&dmpN... 10/21/2021

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Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

THE SECURITIES AND EXCHANGE COMMISSION ALLEGED THAT NATIONSBANK, N.A. (WHICH MERGED WITH AND INTO BANK OF AMERICA, N.A. ON JULY 23, 1999) WAS A CAUSE OF NATIONSSECURITIES', A FORMER AFFILIATE BROKER/DEALER, VIOLATION OF SECTION 17(A)(2) & (3) OF THE SECURITIES ACT IN REGARDS TO SUPERVISING REGISTERED REPRESENTATIVES IN ASSOCIATION WITH THE INITIAL PUBLIC OFFERING OF SHARES OF THE NATIONS GOVERNMENT INCOME TERM TRUST 2003, INC. AND NATIONS GOVERNMENT INCOME TERM TRUST 2004, INC. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, NATIONSBANK, N.A. CONSENTED TO AN ORDER TO CEASE AND DESIST FROM COMMITTING OR CAUSING VIOLATIONS OF SECTION 17 (A)(2) AND (3) OF THE SECURITIES ACT.

#### Supporting Documentation

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the complaint, settlement offer and final order/judgment.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

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Online Registration System

# Disciplinary Information - Firm Regulatory Disclosure Matter Page

NFA ID 0282338 - BANK OF AMERICA NA

Please file a separate Disclosure Matter Page (DMP) for each regulatory action. A regulatory action may be reportable under more than one regulatory disclosure question. If the same conduct/event resulted in more than one regulatory action, provide details for each action on a separate DMP.

◀ Back to Summary

✏️ Amend

Disclosure Questions

Completing this section does not update answer(s) to the Regulatory Disclosure question(s). To update the Regulatory Disclosure questions, click the appropriate link on the Update/Withdraw Registration Information Menu.

Check the question(s) you are disclosing the regulatory action under: 🗑️ Show Questions

☐ D ☐ E ☐ F ☐ G ☐ H ☐ I

Regulatory Case Information

REGULATORY INFORMATION

📌 Regulatory/Civil Action initiated by:
Name of Regulatory Body:

CASE INFORMATION

📌 Case Number:
📌 Case Status:
📌 Were any of the following sanctions imposed?:

Comments

Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

THE SECURITIES AND FUTURES COMMISSION OF HONG KONG ("SFC") ALLEGED THAT BANK OF AMERICA, NATIONAL ASSOCIATION AND MERRILL LYNCH INTERNATIONAL (COLLECTIVELY, THE "RESPONDENTS")

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FAILED TO DISCLOSE DEALINGS IN RELEVANT SECURITIES IN TWO TRANSACTIONS IN 2015 AS REQUIRED BY THE HONG KONG CODE ON TAKEOVERS AND MERGERS. THE SFC PUBLICLY CENSURED THE RESPONDENTS.

#### Supporting Documentation

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the complaint, settlement offer and final order/judgment.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

◀ Back to Summary

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Online Registration System

# Disciplinary Information - Firm Regulatory Disclosure Matter Page

NFA ID 0282338 - BANK OF AMERICA NA

Please file a separate Disclosure Matter Page (DMP) for each regulatory action. A regulatory action may be reportable under more than one regulatory disclosure question. If the same conduct/event resulted in more than one regulatory action, provide details for each action on a separate DMP.

◀ Back to Summary

✏️ Amend

Disclosure Questions

Completing this section does not update answer(s) to the Regulatory Disclosure question(s). To update the Regulatory Disclosure questions, click the appropriate link on the Update/Withdraw Registration Information Menu.

Check the question(s) you are disclosing the regulatory action under: 🗑️ Show Questions

☐ D ☐ E ☐ F ☐ G ☐ H ☐ I

Regulatory Case Information

REGULATORY INFORMATION

📌 Regulatory/Civil Action initiated by:
Name of Regulatory Body:

CASE INFORMATION

📌 Case Number:
📌 Case Status:
📌 Were any of the following sanctions imposed?:

Comments

Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

ON FEBRUARY 15, 2016, BANK OF AMERICA, N.A./SINGAPORE BRANCH EXCEEDED THE PRESCRIBED NON-RESIDENT BAHT ACCOUNT (NRBAS) BALANCE LIMIT AS PRESCRIBED IN BANK OF THAILAND ("BOT") CIRCULAR

https://www.nfa.futures.org/ORS/DMP/Firm/Regulatory.aspx?NFAID=0282338&dmpN... 10/21/2021

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NO. BOT.ECD.(02) C. 371/2551 RE: SEEING COOPERATION FOR COMPLIANCE WITH MEASURES TO PREVENT THAI BAHT SPECULATION. BANK OF AMERICA, N.A./SINGAPORE BRANCH WAS ASSESSED A PRESCRIBED PENALTY OF APPROXIMATELY US$8,918.58. IN ADDITION, BOT REITERATED TO THE LOCAL BANK OF AMERICA BRANCH IN THAILAND (BANK OF AMERICA, N.A./BANGKOK BRANCH) ITS NEED TO HAVE STRICT MONITORING OF THAI BAHT LIMITS AND INFORM CLIENTS OF THIS REGULATION.

#### Supporting Documentation

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the complaint, settlement offer and final order/judgment.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

◀ Back to Summary

https://www.nfa.futures.org/ORS/DMP/Firm/Regulatory.aspx?NFAID=0282338&dmpN... 10/21/2021

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Online Registration System

# Disciplinary Information - Firm Regulatory Disclosure Matter Page

NFA ID 0282338 - BANK OF AMERICA NA

All the DMP section data has been loaded.

Please file a separate Disclosure Matter Page (DMP) for each regulatory action. A regulatory action may be reportable under more than one regulatory disclosure question. If the same conduct/event resulted in more than one regulatory action, provide details for each action on a separate DMP.

◀ Back to Summary

✏️ Amend

Disclosure Questions

Completing this section does not update answer(s) to the Regulatory Disclosure question(s). To update the Regulatory Disclosure questions, click the appropriate link on the Update/Withdraw Registration Information Menu.

Check the question(s) you are disclosing the regulatory action under: 🗑️ Show Questions

☐ D ☐ E ☐ F ☐ G ☐ H ☐ I

Regulatory Case Information

REGULATORY INFORMATION

❶ Regulatory/Civil Action initiated by:
Name of Regulatory Body:

CASE INFORMATION

❷ Case Number:
❸ Case Status:
❹ Were any of the following sanctions imposed?:

Comments

https://www.nfa.futures.org/ORS/DMP/Firm/Regulatory.aspx?NFAID=0282338&dmpN... 10/21/2021

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Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

ON NOVEMBER 11, 2014, THE OFFICE OF THE COMPTROLLER OF THE CURRENCY OF THE UNITED STATES OF AMERICA ("OCC") ISSUED A CONSENT ORDER AND A CONSENT ORDER FOR THE ASSESSMENT OF A CIVIL MONEY PENALTY AGAINST BANK OF AMERICA, N.A. ("BANK OF AMERICA") RELATED TO ITS FOREIGN EXCHANGE (FX) BUSINESS ("ORDERS") FROM 2008 THROUGH 2013. THE OCC FOUND, AND BANK OF AMERICA NEITHER ADMITTED NOR DENIED, THAT BANK OF AMERICA HAD DEFICIENCIES IN ITS INTERNAL CONTROLS AND HAD ENGAGED IN UNSAFE OR UNSOUND BANKING PRACTICES WITH RESPECT TO THE OVERSIGHT AND GOVERNANCE OF BANK OF AMERICA'S FX TRADING BUSINESS SUCH THAT THE BANK FAILED TO DETECT AND PREVENT CERTAIN CONDUCT. SPECIFICALLY, THE OCC FOUND THAT: A) BANK OF AMERICA'S COMPLIANCE RISK ASSESSMENT LACKED SUFFICIENT GRANULARITY AND FAILED TO IDENTIFY THE RISKS RELATED TO SALES, TRADING AND SUPERVISORY EMPLOYEES IN THAT BUSINESS ("EMPLOYEE"); B) BANK OF AMERICA'S TRANSACTION MONITORING AND COMMUNICATIONS SURVEILLANCE LACKED AN ADEQUATE ANALYSIS OF RISK-BEHAVIOR RELATED TO EMPLOYEE MARKET CONDUCT IN ITS WHOLESALE FOREIGN EXCHANGE BUSINESS WHERE IT IS ACTING AS PRINCIPAL ("FX TRADING"); C) BANK OF AMERICA'S

#### Supporting Documentation

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the complaint, settlement offer and final order/judgment.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

◀ Back to Summary

https://www.nfa.futures.org/ORS/DMP/Firm/Regulatory.aspx?NFAID=0282338&dmpN... 10/21/2021

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Online Registration System

# Disciplinary Information - Firm Regulatory Disclosure Matter Page

NFA ID 0282338 - BANK OF AMERICA NA

Please file a separate Disclosure Matter Page (DMP) for each regulatory action. A regulatory action may be reportable under more than one regulatory disclosure question. If the same conduct/event resulted in more than one regulatory action, provide details for each action on a separate DMP.

◀ Back to Summary

✏️ Amend

Disclosure Questions

Completing this section does not update answer(s) to the Regulatory Disclosure question(s). To update the Regulatory Disclosure questions, click the appropriate link on the Update/Withdraw Registration Information Menu.

Check the question(s) you are disclosing the regulatory action under: 🗑️ Show Questions

☐ D ☐ E ☐ F ☐ G ☐ H ☐ I

Regulatory Case Information

REGULATORY INFORMATION

📌 Regulatory/Civil Action initiated by:

Name of Regulatory Body:

CASE INFORMATION

📌 Case Number:

📌 Case Status:

📌 Were any of the following sanctions imposed?:

Comments

Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

THE SECURITIES AND EXCHANGE COMMISSION OF THE PHILIPPINES ("PHILIPPINES SEC") ALLEGED THAT THE FIRM DID NOT MEET CERTAIN REPORTING REQUIREMENTS IN THE PHILIPPINES REGARDING ITS REGIONAL

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AREA HEADQUARTERS ("RHQ"), WHICH HAD NOT ENGAGED IN ANY OPERATIONS IN THE PHILIPPINES FOR DECADES AND DID NOT PLAN TO ENGAGE IN ANY OPERATIONS IN THE PHILIPPINES IN THE FUTURE. THE PHILIPPINES SEC SUSPENDED THE FIRM'S RHQ LICENSE TO TRANSACT BUSINESS IN THE PHILIPPINES. AN RHQ IS A SPECIAL TYPE OF "BRANCH" WHOSE AUTHORIZED ACTIVITIES ARE LIMITED TO ACTING AS AN ADMINISTRATIVE BRANCH OF A MULTINATIONAL COMPANY ENGAGED IN INTERNATIONAL TRADE AND PRINCIPALLY SERVES AS A SUPERVISION, COMMUNICATIONS AND COORDINATION CENTER FOR ITS SUBSIDIARIES, BRANCHES OR AFFILIATES IN THE ASIA-PACIFIC REGION AND OTHER FOREIGN MARKETS.

# Supporting Documentation

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the complaint, settlement offer and final order/judgment.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

◀ Back to Summary

https://www.nfa.futures.org/ORS/DMP/Firm/Regulatory.aspx?NFAID=0282338&dmpN... 10/21/2021

Page 1 of 2

Online Registration System

# Disciplinary Information - Firm Regulatory Disclosure Matter Page

NFA ID 0282338 - BANK OF AMERICA NA

Please file a separate Disclosure Matter Page (DMP) for each regulatory action. A regulatory action may be reportable under more than one regulatory disclosure question. If the same conduct/event resulted in more than one regulatory action, provide details for each action on a separate DMP.

◀ Back to Summary

✏️ Amend

Disclosure Questions

Completing this section does not update answer(s) to the Regulatory Disclosure question(s). To update the Regulatory Disclosure questions, click the appropriate link on the Update/Withdraw Registration Information Menu.

Check the question(s) you are disclosing the regulatory action under: 🗑️ Show Questions

☐ D ☐ E ☐ F ☐ G ☐ H ☐ I

Regulatory Case Information

REGULATORY INFORMATION

📌 Regulatory/Civil Action initiated by:
Name of Regulatory Body:

CASE INFORMATION

📌 Case Number:
📌 Case Status:
📌 Were any of the following sanctions imposed?:

Comments

Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

ON NOVEMBER 25, 2014, THE U.S. DISTRICT COURT FOR THE WESTERN DISTRICT OF NORTH CAROLINA ISSUED A FINAL JUDGMENT AS TO BANK OF AMERICA, N.A. ("BANA") (THE "SEC FINAL JUDGMENT") IN THE CIVIL

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INJUNCTIVE ACTION FOR WHICH A COMPLAINT WAS FILED BY THE SECURITIES AND EXCHANGE COMMISSION ON AUGUST 6, 2013 AGAINST THE FIRM, AND OTHER ENTITIES, INCLUDING BANA (COLLECTIVELY THE "ENTITIES") (THE "SEC COMPLAINT"). THE SEC COMPLAINT ALLEGED THAT THE ENTITIES MADE MATERIAL MISREPRESENTATIONS AND OMISSIONS IN CONNECTION WITH THE SALE OF RESIDENTIAL MORTGAGE-BACKED SECURITIES ("RMBS"). SPECIFICALLY, THE SEC COMPLAINT ALLEGED THAT THE ENTITIES FAILED TO DISCLOSE THE DISPROPORTIONATE CONCENTRATION OF WHOLESALE LOANS UNDERLYING THE RMBS AS COMPARED TO PRIOR RMBS OFFERINGS. THE SEC COMPLAINT ALSO

#### Supporting Documentation

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the complaint, settlement offer and final order/judgment.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

◀ Back to Summary

https://www.nfa.futures.org/ORS/DMP/Firm/Regulatory.aspx?NFAID=0282338&dmpN... 10/21/2021

# Firm Regulatory Disclosure Matter Page

NATIONAL FUTURES ASSOCIATION

Filed on July 25, 2022

NFA ID 0282338 BANK OF AMERICA NA

Submitted by CHERI DELAPP (DELAPPC6)

The question(s) you are disclosing the regulatory action under:

☑ E.

In any case brought by a U.S. or non-U.S. governmental body (other than the CFTC), has the firm ever been found, after a hearing or default or as the result of a settlement, consent decree or other agreement, to:

- have violated any provision of any investment-related statute or regulation thereunder; or
- have violated any statute, rule, regulation or order which involves embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property; or
- have willfully aided, abetted, counseled, commanded, induced or procured such violation by any other person; or
- have failed to supervise another person's activities under any investment-related statute or regulation thereunder?

# Regulatory Case Information

# Regulatory Information

Regulatory/Civil Action initiated by OTHER FEDERAL AGENCY: OCC

# Case Information

Case Number 2022-CFPB-0004

Case Status FINAL

Date Resolved July 2022

Sanctions imposed

OTHER: CEASE AND DESIST ORDER, UNDERTAKINGS, REDRESS TO CUSTOMERS, CIVIL MONETARY PENALTY

# Comments

Page 1 of 2

On July 14, 2022, the Consumer Financial Protection Bureau ("CFPB") announced that Bank of America, N.A. ("BANA") agreed to a settlement of allegations (the "Order") that, in connection with BANA's administration of prepaid cards for unemployment benefits, it (1) engaged in unfair acts or practices by determining no error had occurred and freezing cardholder accounts based solely on the results of its automated Fraud Filter, in violation of Sections 1031 and 1036 of the Consumer Financial Protection Act of 2010 (CFPA), 12 U.S.C. §§ 5531(a) and (c), 5536(a)(1)(B); (2) failed to conduct reasonable investigations of unemployment insurance benefit prepaid debit cardholders' notices of error, in violation of Sections 908 and 909 of the Electronic Fund Transfer Act (EFTA), 15 U.S.C. §§ 1693f and 1693g, and Section 1005.11 of Regulation E; (3) engaged in abusive acts or practices by retroactively applying its automated Fraud Filter to reverse permanent credits for unemployment insurance benefit prepaid debit cardholders whose notices of error it had previously investigated and paid, in violation of Sections 1031 and 1036 of the CFPA, 12 U.S.C. §§ 5531(a) and (d)(2)(B), 5536(a)(1)(B); (4) engaged in unfair acts or practices by impeding unemployment insurance benefit prepaid debit cardholders' efforts to file notices of error and seek liability protection from unauthorized EFTs, in violation of Sections 1031 and 1036 of the CFPA, 12 U.S.C. §§ 5531(a) and (c), 5536(a)(1)(B); and (5) failed to timely investigate and resolve unemployment insurance benefit prepaid debit cardholders' notices of error concerning alleged unauthorized EFTs, in violation of EFTA, 15 U.S.C. § 1693f(a), (c), and Section 1005.11(c)(2)-(3) of Regulation E. Without admitting or denying any of the findings of fact or conclusions of law contained in the Order, BANA consented to: (a) cease and desist from committing or causing any violations and any future violations of the provisions detailed above, (b) certain undertakings, (c) payment of redress to affected customers, and (d) payment of a civil monetary penalty in the amount of $100 million.

# Supporting Documentation

Description

CFPB CONSENT ORDER

File Name

cfpbbankofamericaconsentorder202207.pdf

Page 2 of 2

# Firm Regulatory Disclosure Matter Page

NATIONAL FUTURES ASSOCIATION

Filed on July 25, 2022

NFA ID 0282338 BANK OF AMERICA NA

Submitted by CHERI DELAPP (DELAPPC6)

The question(s) you are disclosing the regulatory action under:

☑ E.

In any case brought by a U.S. or non-U.S. governmental body (other than the CFTC), has the firm ever been found, after a hearing or default or as the result of a settlement, consent decree or other agreement, to:

- have violated any provision of any investment-related statute or regulation thereunder; or
- have violated any statute, rule, regulation or order which involves embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property; or
- have willfully aided, abetted, counseled, commanded, induced or procured such violation by any other person; or
- have failed to supervise another person's activities under any investment-related statute or regulation thereunder?

# Regulatory Case Information

# Regulatory Information

Regulatory/Civil Action initiated by OTHER FEDERAL AGENCY: OFFICE OF COMPTROLLER OF THE CURRENCY

# Case Information

Case Number AA_ENF-2022-21

Case Status FINAL

Date Resolved July 2022

Sanctions imposed

OTHER: CEASE AND DESIST, REMEDIATION TO CUSTOMERS, UNDERTAKINGS

# Comments

Page 1 of 2

On July 14, 2022, the Office of the Comptroller of the Currency ('OCC') announced that Bank of America, N.A. ('BANA') agreed to a settlement of allegations (the 'Order') that (1) in connection with BANA's administration of prepaid cards for unemployment benefits, it engaged in (i) unsafe or unsound practice(s), including deficiencies in its risk management, operational processes and controls, internal audit, and investigation and resolution of consumer claims of unauthorized transactions; and (ii) unfair and deceptive practices in violation(s) of Section 5 of the Federal Trade Commission Act ('FTC Act'), 15 U.S.C. § 45(a)(1); and (2) engaged in unsafe or unsound practices related to deficiencies in its enterprise-wide complaints risk management framework. Without admitting or denying the findings contained in the Order, BANA consented to: (a) cease and desist from committing or causing any violations and any future violations of Section 5 of the Federal Trade Commission Act ('FTC Act'), 15 U.S.C. § 45(a)(1), (b) a remediation plan for customers, and (c) certain undertakings.

## Supporting Documentation---

| Description | OCC CONSENT ORDER |
| --- | --- |
| File Name | ea2022023.pdf |

---

Page 2 of 2

# Firm Regulatory Disclosure Matter Page

NATIONAL FUTURES ASSOCIATION

Filed on July 25, 2022

NFA ID 0282338 BANK OF AMERICA NA

Submitted by CHERI DELAPP (DELAPPC6)

The question(s) you are disclosing the regulatory action under:

In any case brought by a U.S. or non-U.S. governmental body (other than the CFTC), has the firm ever been found, after a hearing or default or as the result of a settlement, consent decree or other agreement, to:

- have violated any provision of any investment-related statute or regulation thereunder; or
- have violated any statute, rule, regulation or order which involves embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property; or
- have willfully aided, abetted, counseled, commanded, induced or procured such violation by any other person; or
- have failed to supervise another person's activities under any investment-related statute or regulation thereunder?

# Regulatory Case Information

# Regulatory Information

Regulatory/Civil Action initiated by OTHER FEDERAL AGENCY: OFFICE OF COMPTROLLER OF THE CURRENCY

# Case Information

Case Number AA_ENF-2022-22

Case Status FINAL

Date Resolved July 2022

Sanctions imposed

OTHER: CIVIL MONETARY PENALTY

# Comments

Page 1 of 2

On July 14, 2022, the Office of the Comptroller of the Currency ("OCC") announced that Bank of America, N.A. ("BANA") agreed to a settlement of allegations (the "Order") that (1) in connection with BANA's administration of prepaid cards for unemployment benefits, it engaged in (i) unsafe or unsound practice(s), including deficiencies in its risk management, operational processes and controls, internal audit, and investigation and resolution of consumer claims of unauthorized transactions; and (ii) unfair and deceptive practices in violation(s) of Section 5 of the Federal Trade Commission Act ("FTC Act"), 15 U.S.C. § 45(a)(1); and (2) engaged in unsafe or unsound practices related to deficiencies in its enterprise-wide complaints risk management framework. Without admitting or denying the findings contained in the Order, BANA consented to a civil monetary penalty of $125,000,000.

Supporting Documentation

Description

OCC CONSENT ORDER

File Name

ea2022024.pdf

Page 2 of 2

# Bank of America, N.A.

7R updated Principals as of December 27, 2021

# Principal Information

Viewed on December 23, 2021

NFA ID 0282338 BANK OF AMERICA NA

# Individual Information

NFA ID 0449746
Name ALLEN, SHARON LEE
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 02-28-2013

NFA ID 0449747
Name BIES, SUSAN SCHMIDT
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 12-31-2012

NFA ID 0544946
Name BORTHWICK, ALASTAIR
Title(s) CHIEF FINANCIAL OFFICER
10% or More Interest No
Status PENDING
Effective Date 12-14-2021

NFA ID 0449750
Name BRAMBLE SR, FRANK PAUL
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 12-31-2012

NFA ID 0403734
Name CHAN, LAURIE
Title(s) HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest No
Status APPROVED
Effective Date 11-09-2020

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 6

Viewed on December 23, 2021

NFA ID 0282338 BANK OF AMERICA NA---

| NFA ID | 0470677 |
| --- | --- |
| Name | DE WECK, PIERRE JACQUES PHILIPPE |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-03-2013 |
| NFA ID | 0494981 |
| Name | DEMARE, JAMES PAUL |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 04-04-2016 |
| NFA ID | 0517391 |
| Name | DIAZ, PATRICIO JOSE |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 01-15-2019 |
| NFA ID | 0457531 |
| Name | DONALD, ARNOLD WAYNE |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 01-30-2013 |
| NFA ID | 0489040 |
| Name | DONOFRIO, PAUL MICHAEL |
| Title(s) | CHIEF FINANCIAL OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 09-01-2015 |
| NFA ID | 0449755 |
| Name | HUDSON, LINDA PARKER |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |

---

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 2 of 6

Viewed on December 23, 2021

NFA ID 0282338 BANK OF AMERICA NA---

| Effective Date | 12-31-2012 |
| --- | --- |
| NFA ID | 0519761 |
| Name | LILLY, SHANNON LEON |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-07-2021 |
| NFA ID | 0543612 |
| Name | LITTMAN, AMY |
| Title(s) | CHIEF COMPLIANCE OFFICER |
| 10% or More Interest | No |
| Status | PENDING |
| Effective Date | 11-22-2021 |
| NFA ID | 0449756 |
| Name | LOZANO, MONICA CECILIA |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-31-2012 |
| NFA ID | 0449757 |
| Name | MAY, THOMAS JOHN |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-31-2012 |
| NFA ID | 0477206 |
| Name | MOGENSEN, LAUREN ANNE |
| Title(s) | CHIEF COMPLIANCE OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 05-28-2014 |
| NFA ID | 0261748 |
| Name | MONTAG, THOMAS KELL |
| Title(s) | CHIEF OPERATING OFFICER |
| 10% or More Interest | No |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Page 3 of 6

Viewed on December 23, 2021

NFA ID 0282338 BANK OF AMERICA NA---

| Status | APPROVED |
| --- | --- |
| Effective Date | 12-21-2012 |
| NFA ID | 0401299 |
| Name | MOYNIHAN, BRIAN THOMAS |
| Title(s) | DIRECTOR CHIEF EXECUTIVE OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-31-2012 |
| NFA ID | 0457530 |
| Name | NOWELL III, LIONEL LEWIS |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 01-30-2013 |
| NFA ID | 0524095 |
| Name | RAMOS, DENISE LAURA |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-15-2019 |
| NFA ID | 0466397 |
| Name | ROSE, CLAYTON STUART |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-03-2018 |
| NFA ID | 0497808 |
| Name | WHITE, MICHAEL DENNIS |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-03-2016 |
| NFA ID | 0496348 |
| Name | WOODS, THOMAS DUNNE |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Page 4 of 6

Viewed on December 23, 2021

NFA ID 0282338 BANK OF AMERICA NA---

| Title(s) | DIRECTOR |
| --- | --- |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 05-10-2016 |
| NFA ID | 0521112 |
| Name | YANKAUER, STEPHEN |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 04-11-2019 |
| NFA ID | 0449761 |
| Name | YOST, ROBERT DAVID |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-31-2012 |
| NFA ID | 0544284 |
| Name | YUNG, SUSAN |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-22-2021 |
| NFA ID | 0510243 |
| Name | ZUBER, MARIA THERESA |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-27-2017 |
| NFA ID | 0533174 |
| Name | ZUBERI, SOOFIAN J |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 11-20-2020 |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 5 of 6

Viewed on December 23, 2021

NFA ID 0282338 BANK OF AMERICA NA

# **Holding Company Information**

| NFA ID | 0483691 |
| --- | --- |
| Full Name | BAC NORTH AMERICA HOLDING COMPANY |
| 10% or More Interest | Yes |
| Status | APPROVED |
| Effective Date | 11-05-2019 |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 6 of 6

Bank of America, N.A.

7R updated Principals as of February 1, 2022

# Principal Information

Viewed on February 01, 2022

NFA ID 0282338 BANK OF AMERICA NA

# Individual Information

NFA ID 0449746
Name ALLEN, SHARON LEE
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 02-28-2013

NFA ID 0449747
Name BIES, SUSAN SCHMIDT
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 12-31-2012

NFA ID 0544946
Name BORTHWICK, ALASTAIR
Title(s) CHIEF FINANCIAL OFFICER
10% or More Interest No
Status APPROVED
Effective Date 01-12-2022

NFA ID 0449750
Name BRAMBLE SR, FRANK PAUL
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 12-31-2012

NFA ID 0403734
Name CHAN, LAURIE
Title(s) HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest No
Status APPROVED
Effective Date 11-09-2020

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 5

Viewed on February 01, 2022

NFA ID 0282338 BANK OF AMERICA NA---

| NFA ID | 0470677 |
| --- | --- |
| Name | DE WECK, PIERRE JACQUES PHILIPPE |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-03-2013 |
| NFA ID | 0494981 |
| Name | DEMARE, JAMES PAUL |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 04-04-2016 |
| NFA ID | 0517391 |
| Name | DIAZ, PATRICIO JOSE |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 01-15-2019 |
| NFA ID | 0457531 |
| Name | DONALD, ARNOLD WAYNE |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 01-30-2013 |
| NFA ID | 0449755 |
| Name | HUDSON, LINDA PARKER |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-31-2012 |
| NFA ID | 0519761 |
| Name | LILLY, SHANNON LEON |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |

---

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 2 of 5

Viewed on February 01, 2022

NFA ID 0282338 BANK OF AMERICA NA---

| Effective Date | 12-07-2021 |
| --- | --- |
| NFA ID | 0543612 |
| Name | LITTMAN, AMY |
| Title(s) | CHIEF COMPLIANCE OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-28-2021 |
| NFA ID | 0449756 |
| Name | LOZANO, MONICA CECILIA |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-31-2012 |
| NFA ID | 0449757 |
| Name | MAY, THOMAS JOHN |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-31-2012 |
| NFA ID | 0401299 |
| Name | MOYNIHAN, BRIAN THOMAS |
| Title(s) | DIRECTOR |
|  | CHIEF EXECUTIVE OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-31-2012 |
| NFA ID | 0457530 |
| Name | NOWELL III, LIONEL LEWIS |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 01-30-2013 |
| NFA ID | 0524095 |
| Name | RAMOS, DENISE LAURA |
| Title(s) | DIRECTOR |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Page 3 of 5

Viewed on February 01, 2022

NFA ID 0282338 BANK OF AMERICA NA---

| 10% or More Interest | No |
| --- | --- |
| Status | APPROVED |
| Effective Date | 08-15-2019 |

| NFA ID | 0466397 |
| --- | --- |
| Name | ROSE, CLAYTON STUART |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-03-2018 |

| NFA ID | 0497808 |
| --- | --- |
| Name | WHITE, MICHAEL DENNIS |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-03-2016 |

| NFA ID | 0496348 |
| --- | --- |
| Name | WOODS, THOMAS DUNNE |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 05-10-2016 |

| NFA ID | 0521112 |
| --- | --- |
| Name | YANKAUER, STEPHEN |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 04-11-2019 |

| NFA ID | 0449761 |
| --- | --- |
| Name | YOST, ROBERT DAVID |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-31-2012 |

| NFA ID | 0544284 |
| --- | --- |
| Name | YUNG, SUSAN |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 4 of 5

Viewed on February 01, 2022

NFA ID 0282338 BANK OF AMERICA NA---

| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| --- | --- |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-22-2021 |

| NFA ID | 0510243 |
| --- | --- |
| Name | ZUBER, MARIA THERESA |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-27-2017 |

| NFA ID | 0533174 |
| --- | --- |
| Name | ZUBERI, SOOFIAN J |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 11-20-2020 |

#### **Holding Company Information**

| NFA ID | 0483691 |
| --- | --- |
| Full Name | BAC NORTH AMERICA HOLDING COMPANY |
| 10% or More Interest | Yes |
| Status | APPROVED |
| Effective Date | 11-05-2019 |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 5 of 5

Bank of America, N.A.

7R updated Principals as of May 31, 2022

![img-0.jpeg](img-0.jpeg)

## Principal Information

Viewed on May 31, 2022

NFA ID 0282338 BANK OF AMERICA NA

### Individual Information

| NFA ID | 0449746 |
| --- | --- |
| Name | ALLEN, SHARON LEE |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 02-28-2013 |

| NFA ID | 0544946 |
| --- | --- |
| Name | BORTHWICK, ALASTAIR |
| Title(s) | CHIEF FINANCIAL OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 01-12-2022 |

| NFA ID | 0449750 |
| --- | --- |
| Name | BRAMBLE SR, FRANK PAUL |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-31-2012 |

| NFA ID | 0403734 |
| --- | --- |
| Name | CHAN, LAURIE |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 11-09-2020 |

| NFA ID | 0470677 |
| --- | --- |
| Name | DE WECK, PIERRE JACQUES PHILIPPE |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-03-2013 |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 5

Viewed on May 31, 2022

NFA ID 0282338 BANK OF AMERICA NA---

| NFA ID | 0494981 |
| --- | --- |
| Name | DEMARE, JAMES PAUL |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 04-04-2016 |

| NFA ID | 0517391 |
| --- | --- |
| Name | DIAZ, PATRICIO JOSE |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 01-15-2019 |

| NFA ID | 0457531 |
| --- | --- |
| Name | DONALD, ARNOLD WAYNE |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 01-30-2013 |

| NFA ID | 0449755 |
| --- | --- |
| Name | HUDSON, LINDA PARKER |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-31-2012 |

| NFA ID | 0547563 |
| --- | --- |
| Name | KODER, MATTHEW |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 04-14-2022 |

| NFA ID | 0519761 |
| --- | --- |
| Name | LILLY, SHANNON LEON |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |

---

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 2 of 5

Viewed on May 31, 2022

NFA ID 0282338 BANK OF AMERICA NA---

| Effective Date | 12-07-2021 |
| --- | --- |
| NFA ID | 0543612 |
| Name | LITTMAN, AMY |
| Title(s) | CHIEF COMPLIANCE OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-28-2021 |
| NFA ID | 0449756 |
| Name | LOZANO, MONICA CECILIA |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-31-2012 |
| NFA ID | 0401299 |
| Name | MOYNIHAN, BRIAN THOMAS |
| Title(s) | DIRECTOR CHIEF EXECUTIVE OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-31-2012 |
| NFA ID | 0457530 |
| Name | NOWELL III, LIONEL LEWIS |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 01-30-2013 |
| NFA ID | 0524095 |
| Name | RAMOS, DENISE LAURA |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-15-2019 |
| NFA ID | 0466397 |
| Name | ROSE, CLAYTON STUART |
| Title(s) | DIRECTOR |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Page 3 of 5

Viewed on May 31, 2022

NFA ID 0282338 BANK OF AMERICA NA---

| 10% or More Interest | No |
| --- | --- |
| Status | APPROVED |
| Effective Date | 12-03-2018 |

| NFA ID | 0497808 |
| --- | --- |
| Name | WHITE, MICHAEL DENNIS |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-03-2016 |

| NFA ID | 0496348 |
| --- | --- |
| Name | WOODS, THOMAS DUNNE |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 05-10-2016 |

| NFA ID | 0521112 |
| --- | --- |
| Name | YANKAUER, STEPHEN |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 04-11-2019 |

| NFA ID | 0449761 |
| --- | --- |
| Name | YOST, ROBERT DAVID |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-31-2012 |

| NFA ID | 0544284 |
| --- | --- |
| Name | YUNG, SUSAN |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-22-2021 |

| NFA ID | 0510243 |
| --- | --- |
| Name | ZUBER, MARIA THERESA |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 4 of 5

Viewed on May 31, 2022

NFA ID 0282338 BANK OF AMERICA NA---

| Title(s) | DIRECTOR |
| --- | --- |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-27-2017 |
| NFA ID | 0533174 |
| Name | ZUBERI, SOOFIAN J |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 11-20-2020 |

# Holding Company Information

| NFA ID | 0483691 |
| --- | --- |
| Full Name | BAC NORTH AMERICA HOLDING COMPANY |
| 10% or More Interest | Yes |
| Status | APPROVED |
| Effective Date | 11-05-2019 |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 5 of 5

# **Bank of America, N.A.**

7R updated Principals as of December 20, 2022

# Principal Information

Viewed on December 13, 2022

NFA ID 0282338 BANK OF AMERICA NA

# Individual Information

NFA ID 0449746
Name ALLEN, SHARON LEE
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 02-28-2013

NFA ID 0470432
Name ALMEIDA, JOSE EDUARDO
Title(s) DIRECTOR
10% or More Interest No
Status PENDING
Effective Date 12-13-2022

NFA ID 0544946
Name BORTHWICK, ALASTAIR
Title(s) CHIEF FINANCIAL OFFICER
10% or More Interest No
Status APPROVED
Effective Date 01-12-2022

NFA ID 0449750
Name BRAMBLE SR, FRANK PAUL
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 12-31-2012

NFA ID 0470677
Name DE WECK, PIERRE JACQUES PHILIPPE
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 12-03-2013

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 5

Viewed on December 13, 2022

NFA ID 0282338 BANK OF AMERICA NA---

| NFA ID | 0494981 |
| --- | --- |
| Name | DEMARE, JAMES PAUL |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 04-04-2016 |

| NFA ID | 0517391 |
| --- | --- |
| Name | DIAZ, PATRICIO JOSE |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 01-15-2019 |

| NFA ID | 0457531 |
| --- | --- |
| Name | DONALD, ARNOLD WAYNE |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 01-30-2013 |

| NFA ID | 0449755 |
| --- | --- |
| Name | HUDSON, LINDA PARKER |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-31-2012 |

| NFA ID | 0547563 |
| --- | --- |
| Name | KODER, MATTHEW |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 04-14-2022 |

| NFA ID | 0519761 |
| --- | --- |
| Name | LILLY, SHANNON LEON |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |

---

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 2 of 5

Viewed on December 13, 2022

NFA ID 0282338 BANK OF AMERICA NA---

| Effective Date | 12-07-2021 |
| --- | --- |
| NFA ID | 0543612 |
| Name | LITTMAN, AMY |
| Title(s) | CHIEF COMPLIANCE OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-28-2021 |
| NFA ID | 0449756 |
| Name | LOZANO, MONICA CECILIA |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-31-2012 |
| NFA ID | 0401299 |
| Name | MOYNIHAN, BRIAN THOMAS |
| Title(s) | DIRECTOR CHIEF EXECUTIVE OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-31-2012 |
| NFA ID | 0457530 |
| Name | NOWELL III, LIONEL LEWIS |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 01-30-2013 |
| NFA ID | 0549875 |
| Name | PELLEGRINI, JOHN |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 09-28-2022 |
| NFA ID | 0524095 |
| Name | RAMOS, DENISE LAURA |
| Title(s) | DIRECTOR |

---

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 3 of 5

Viewed on December 13, 2022

NFA ID 0282338 BANK OF AMERICA NA---

| 10% or More Interest | No |
| --- | --- |
| Status | APPROVED |
| Effective Date | 08-15-2019 |

| NFA ID | 0466397 |
| --- | --- |
| Name | ROSE, CLAYTON STUART |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-03-2018 |

| NFA ID | 0497808 |
| --- | --- |
| Name | WHITE, MICHAEL DENNIS |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-03-2016 |

| NFA ID | 0496348 |
| --- | --- |
| Name | WOODS, THOMAS DUNNE |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 05-10-2016 |

| NFA ID | 0521112 |
| --- | --- |
| Name | YANKAUER, STEPHEN |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 04-11-2019 |

| NFA ID | 0449761 |
| --- | --- |
| Name | YOST, ROBERT DAVID |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-31-2012 |

| NFA ID | 0544284 |
| --- | --- |
| Name | YUNG, SUSAN |

---

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 4 of 5

Viewed on December 13, 2022

NFA ID 0282338 BANK OF AMERICA NA---

| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| --- | --- |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-22-2021 |

| NFA ID | 0510243 |
| --- | --- |
| Name | ZUBER, MARIA THERESA |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-27-2017 |

| NFA ID | 0533174 |
| --- | --- |
| Name | ZUBERI, SOOFIAN J |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 11-20-2020 |

#### Holding Company Information

| NFA ID | 0483691 |
| --- | --- |
| Full Name | BAC NORTH AMERICA HOLDING COMPANY |
| 10% or More Interest | Yes |
| Status | APPROVED |
| Effective Date | 11-05-2019 |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 5 of 5

**Attachment 2:** `BANASBSDAAmd6SmryOfChanges.pdf`

# Bank of America, N.A.

Form SBSE-A

**Amendment - SBSE-A/A**

**December 20, 2022**

The following changes were made in this Amendment:

## Changes to Principals

Jose Almeida - Added as Director

## Changes to Question 13B

BGC DERIVATIVE MARKETS, L.P. - Added to Execute or Trade section

EURONEXT FX INC. - Added to Execute or Trade section

OCTAURA LL TRADINGCO LLC - Added to Execute or Trade section

OTCX TRADING LIMITED - Added to Execute or Trade section

RTX Financial, LLC - Added to Execute or Trade section

CAPITALAB, BGC BROKERS LP - Removed from Execute or Trade section

CAPITOLIS INC - Removed from Execute or Trade section

COBALT DL - Removed from Execute or Trade section

EQUILEND HOLDINGS LLC - Removed from Execute or Trade section

PARFX (UK) LIMITED - Removed from Execute or Trade section

QUANTILE TECHNOLOGIES LIMITED - Removed from Execute or Trade section

TMC BONDS L.L.C. - Removed from Execute or Trade section

TRIOPTIMA AB - Removed from Execute or Trade section

BNP Paribas S.A. Niederlassung Deutschland - Added to Custody, Clear, or Settle section

BNP PARIBAS SA - Added to Custody, Clear, or Settle section

BNP Paribas S.A., Succursale Italia - Added to Custody, Clear, or Settle section

BNP PARIBAS Australia Branch - Added to Custody, Clear, or Settle section

BNP PARIBAS SA SUCURSAL EN ESPANA - Added to Custody, Clear, or Settle section

BNP PARIBAS, Paris, Zurich Branch - Added to Custody, Clear, or Settle section

KBC Bank Bulgaria EAD - Added to Custody, Clear, or Settle section

Nordea Danmark, Filial af Nordea Bank Abp, Finland - Removed from Custody, Clear, or Settle section

Nordea Bank Abp - Removed from Custody, Clear, or Settle section

Nordea Bank Abp, filial I Norge - Removed from Custody, Clear, or Settle section

Nordea Bank Abp, filial I Sverige - Removed from Custody, Clear, or Settle section

**Attachment 3:** `BANASBSDACombined13BAmd6.pdf`

# Bank of America, N.A.

Form SBSE-A

Supplemental Filing Attachment:

Amendment to Schedule B, Section II

Question 13B

December 20, 2022

# **Bank of America, N.A. - Response to Question 13B of Form SBSE-A with respect to arrangements with others who Execute or Trade**

| Venue Legal Entity Name | Business Address | LEI |
| --- | --- | --- |
| 24 EXCHANGE BERMUDA LIMITED | C/O BM CORPORATE SERVICES LTD, 3RD FLOOR, SOFIA HOUSE, 48 CHURCH STREET, HM 12, HAMILTON, BM \| Bermuda | 213800YXBUZH7G3NDC51 |
| 360 TREASURY SYSTEMS AG | Grüneburgweg 16-18, Frankfurt am Main, GERMANY, 60322 | 529900P0204W9HABJP36 |
| BGC DERIVATIVE MARKETS, L.P. | C/O THE CORPORATION TRUST COMPANY, CORPORATION TRUST CENTER 1209 ORANGE ST, 19801, WILMINGTON, US \| United States of America | 549300RKB6B4M8CD2W04 |
| BGC TECHNOLOGY MARKETS, L.P. | 499 PARK AVE, New York, UNITED STATES, 100221240 | 549300HEOMIQJNTK7P92 |
| BLOOMBERG SEF LLC | 731 LEXINGTON AVENUE, NEW YORK, UNITED STATES, 10022 | 5493003IUYOH354SNS58 |
| BLOOMBERG TRADEBOOK CANADA COMPANY | BROOKFIELD PLACE, TD CANADA TRUST TOWER 1, TORONTO, CANADA, M5J 2S1 | 254900N3K8DHWXXMF546 |
| BLOOMBERG TRADEBOOK LLC | 731 LEXINGTON AVE, New York, UNITED STATES, 100221331 | 549300P0PVQNO43T7K36 |
| BLOOMBERG TRADEBOOK SINGAPORE PTE LTD | 23 Church Street, SINGAPORE, SINGAPORE, 49481 | 254900HSS82AHMTPAD95 |
| BLOOMBERG TRADING FACILITY B.V. | Stadhouderskade 14, Amsterdam, NETHERLANDS, 1054 ES | 254900QBKK4WBS03GE51 |
| BLOOMBERG TRADING FACILITY LIMITED | 3 Queen Victoria Street, LONDON, UNITED KINGDOM, EC4N 4TQ | 549300ROEJDDAXM6LU05 |
| BROKERTEC USA, L.L.C. | 300 Vesey Street, 10282, New York, USA | 213800U91OWU6L9YIT33 |
| CBOE FX Markets, LLC | 8050 MARSHALL DR, Lenexa, Kansas, UNITED STATES, 662141524 | 549300NW303IYRUREL46 |
| CBOE SEF, LLC | C/O THE CORPORATION TRUST COMPANY, CORPORATION TRUST CENTER 1209 ORANGE ST, 19801, WILMINGTON, US \| United States of America | 549300D840Q6DBDBB03S |
| CHICAGO MERCANTILE EXCHANGE INC. | 20 S WACKER DR, Chicago, UNITED STATES, 606067431 | SNZ2OILFK8MNNCLQOF39 |
| CUREX GROUP | 120 W 45TH ST FL 22, New York, UNITED STATES, 100364041 | 254900XVN4LQPXMJGD91 |
| DEALERWEB INC. | 2200 PLAZA FIVE, Jersey City, UNITED STATES, 73114006 | G5M52KXHI10IUWXWHQ71 |
| EBS SERVICE COMPANY LIMITED | Lavaterstrasse 40, ZÜRICH, SWITZERLAND, 8002 | 213800Y1KZLBMHGMTJ05 |
| EURONEXT FX INC. | 180 Maiden Ln FL 7, New York, UNITED STATES, 100385170 | 549300EXXMRP3JPN4C59 |
| FLEXTRADE SYSTEMS INC. | 111 GREAT NECK RD STE 314, Great Neck, UNITED STATES, 110215403 | 549300FQIJOSVOCB4V70 |
| FX HEDGEPOOL, INC. | 1 World Trade Centre, Floor 85, New York, 10007-0103, United States |  |
| FXSPOTSTREAM LLC | 100 Town Square PI STE 201, Jersey City, UNITED STATES, 73102778 | 5493001N6DM40ZPSHW89 |
| GFI SECURITIES LTD | 1 Snowden Street, LONDON, UNITED KINGDOM, EC2A 2DQ | GUNTJCA81C7IHNBGI392 |
| ICE BONDS SECURITIES CORPORATION | 55 E 52ND ST FL 40, New York, UNITED STATES, 10055 | 549300OUQA5TQ2JW3I71 |
| ICE U.S. OTC COMMODITY MARKETS, LLC | 2100 Riveredge Pkwy STE 500, Atlanta, UNITED STATES, 303284693 | (blank) |
| INTEGRAL DEVELOPMENT CORP. | 3000 El Cmino Real Ste 2, Palo Alto, UNITED STATES, 94306 | Y28912MCQRZU5ST13393 |
| INTERCONTINENTAL EXCHANGE, INC. | 5660 New Northside Dr 3, Atlanta, UNITED STATES, 303285800 | 5493000F4ZO33MV32P92 |
| MOSCOW EXCHANGE MICEX-RTS OAO | 13 per. Kislovski B., MOSCOW, RUSSIAN FEDERATION, 125009 | 253400M5M1222KPNWE87 |
| OCTAURA LL TRADINGCO LLC | 250 West 34th Street, 3rd floor, 10119, New York | 2549000CXBIHL4NNMT81 |
| OTCX TRADING LIMITED | 49 QUEEN VICTORIA STREET, EC4N 4SA, LONDON, GB \| United Kingdom | 21380098D55AZZWDP527 |
| PRIMEXM PRIME EXCHANGE MARKETS AG | Samstagernstrasse 55, WOLLERAU, SWITZERLAND, 8832 | (blank) |
| REFINITIV TRANSACTION SERVICES LIMITED | FIVE CANADA SQUARE CANARY WHARF, E14 5AQ, LONDON, GB-LND, GB \| United Kingdom | 549300SDDE84DDJNB30 |
| REFINITIV US LLC (FKA FX ALLIANCE) | 3 TIMES SQ, New York, UNITED STATES, 100366564 | 213800HQORQAP68CJ04 |
| RTX Financial, LLC | 128 E31st St, 2nd Fl, 10016, New York | 5493007QGZA74K5XCO50 |
| SIEGE FX LIMITED | 2nd Floor, Room 230, 63 St.Mary Axe, London, EC3A 8AA, London, United Kingdom | 254900BS9K61FESAAY23 |
| SINGAPORE EXCHANGE LIMITED | 2 SHENTON WAY #02-02 SGX CENTRE 1, Singapore, SINGAPORE, 68804 | 5493001Q650PPXM76X03 |
| TRADERTOOLS INC. | 250W 57th Street STE 2507, New York, 101072502, United States |  |
| TRADEWEB EUROPE LTD | 1 Fore Street Avenue, LONDON, UNITED KINGDOM, EC2Y 9DT | 2138001WXZQOPMPA3D50 |
| TRADEWEB GLOBAL LLC | 1177 Ave of The Americas, New York, UNITED STATES, 100362714 | 5493009DYKOCXWBRC524 |

| TRADEWEB MARKETS LLC | 2200 PLAZA FIVE, Jersey City, UNITED STATES, 73114006 | 5493000GSQHJUY9ZWQ91 |
| --- | --- | --- |
| WEMATCH LIVE R&D LTD | 121 Begin Menachem Rd, TEL AVIV-JAFFA, ISRAEL, 6701203 | 894500EG497MGE7BSI77 |
| YIELDBROKER PTY LIMITED | L 6 14 MARTIN PLACE, SYDNEY, AUSTRALIA, 2000 | 549300QRJM24CLE17N18 |

# **Bank of America, N.A. - Response to Question 13B of Form SBSE-A with respect to arrangements with others who Custody, Clear, or Settle**

| Entity Name | External LEI | Full Address of Third Party | Location | Category | Sub category | Product |
| --- | --- | --- | --- | --- | --- | --- |
| THE BANK OF NEW YORK MELLON | HPFHU00Q28E4N0NFVK49 | 240 Green Street, New York, NY 10286 | UNITED STATES | Partner Bank | Securities Partner Bank | Sub Custodian |
| STATE STREET CORPORATION | 549300ZFEJ2IP5VME73 | State Street Financial Center 1 Lincoln Street Boston MA 02111 | UNITED STATES | Partner Bank | Securities Partner Bank | Sub Custodian |
| BNP Paribas S.A. Niederlassung Deutschland | ROMUWSFPU8MPRO8K5P83 | Senckenberganlage 19, 60325 Frankfurt am Main, Germany | AUSTRIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| BNP PARIBAS SA | ROMUWSFPU8MPRO8K5P83 | Les Grands Moulin de Pantin, 9 Rue du Debarcadere 93500 Pantin, France | FRANCE/Portugal | Partner Bank | Securities Partner Bank | Sub Custodian |
| BNP Paribas S.A. Niederlassung Deutschland | ROMUWSFPU8MPRO8K5P83 | Senckenberganlage 19, 60325 Frankfurt am Main, Germany | GERMANY | Partner Bank | Securities Partner Bank | Sub Custodian |
| BNP Paribas S.A., Succursale Italia | ROMUWSFPU8MPRO8K5P83 | Piazza Lina Bo Bardi 3, 20124 Milano, Italy 20124 Milano | ITALY | Partner Bank | Securities Partner Bank | Sub Custodian |
| BNP PARIBAS Australia Branch | ROMUWSFPU8MPRO8K5P83 | Level 4, 60 Castlereagh Street, Sydney, NSW, 2000, Australia | NEW ZEALAND | Partner Bank | Securities Partner Bank | Sub Custodian |
| BNP PARIBAS SA SUCURSAL EN ESPANA | ROMUWSFPU8MPRO8K5P83 | Calle de Emilio Vargas 4, 28043 Madrid, Spain | SPAIN | Partner Bank | Securities Partner Bank | Sub Custodian |
| BNP PARIBAS, Paris, Zurich Branch | ROMUWSFPU8MPRO8K5P83 | Selnaustrasse 16, PO Box, 8022 Zurich, Switzerland | SWITZERLAND | Partner Bank | Securities Partner Bank | Sub Custodian |
| BNP Paribas S.A. Niederlassung Deutschland | ROMUWSFPU8MPRO8K5P83 | Senckenberganlage 19, 60325 Frankfurt am Main, Germany | GERMANY | Partner Bank | Securities Partner Bank | Sub Custodian |
| BNP Paribas S.A., Succursale Italia | ROMUWSFPU8MPRO8K5P83 | Piazza Lina Bo Bardi 3, 20124 Milano, Italy 20124 Milano | ITALY | Partner Bank | Securities Partner Bank | Sub Custodian |
| BNP PARIBAS Australia Branch | ROMUWSFPU8MPRO8K5P83 | Level 4, 60 Castlereagh Street, Sydney, NSW, 2000, Australia | NEW ZEALAND | Partner Bank | Securities Partner Bank | Sub Custodian |
| BNP Paribas S.A. Niederlassung Deutschland | ROMUWSFPU8MPRO8K5P83 | Senckenberganlage 19, 60325 Frankfurt am Main, Germany | AUSTRIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| BNP PARIBAS SA | ROMUWSFPU8MPRO8K5P83 | Les Grands Moulin de Pantin, 9 Rue du Debarcadere 93500 Pantin, France | FRANCE/Portugal | Partner Bank | Securities Partner Bank | Sub Custodian |
| BNP PARIBAS SA SUCURSAL EN ESPANA | ROMUWSFPU8MPRO8K5P83 | Calle de Emilio Vargas 4, 28043 Madrid, Spain | SPAIN | Partner Bank | Securities Partner Bank | Sub Custodian |
| BNP PARIBAS, Paris, Zurich Branch | ROMUWSFPU8MPRO8K5P83 | Selnaustrasse 16, PO Box, 8022 Zurich, Switzerland | SWITZERLAND | Partner Bank | Securities Partner Bank | Sub Custodian |
| U.S. BANK NATIONAL ASSOCIATION | 6BYL5QZYBDK8S7L73M02 | 425 Walnut Street Cincinnati OH 45202 | UNITED STATES | Partner Bank | Securities Partner Bank | Sub Custodian |
| DEUTSCHE BANK AKTIENGESELLSCHAFT | 7LTWFZYCNSX8D621K86 | Winchester House, 1 Great Winchester St, London EC2N 2DB, United Kingdom | UNITED KINGDOM | Partner Bank | Securities Partner Bank | Sub Custodian |
| DEUTSCHE BANK AKTIENGESELLSCHAFT | 7LTWFZYCNSX8D621K86 | Winchester House, 1 Great Winchester St, London EC2N 2DB, United Kingdom | UNITED KINGDOM | Partner Bank | Securities Partner Bank | Sub Custodian |
| The Branch of CITIBANK, N.A. in the Republic of Argentina | 579100KKDGKCFFKKF005 | Bartolomé Mitre 530 -3rd floor, Buenos Aires, C1036AAJ, Argentina | ARGENTINA | Partner Bank | Securities Partner Bank | Sub Custodian |

| CITIGROUP PTY LIMITED | 0C45RG70GW42XSBLJ131 | Level 16, 120 Collins Street, Melbourne VIC 3000 | AUSTRALIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| --- | --- | --- | --- | --- | --- | --- |
| Citibank, N.A. Brazilian Branch | E57ODZWZ7FF32TWEFA76 | Av. Paulista 1.111, 12o andar, CEP: 01311-920 São Paulo SP | BRAZIL | Partner Bank | Securities Partner Bank | Sub Custodian |
| N A Citibank | 8B4EZFY8IHJC44TT2K84 | Estado 260, Level 2, Santiago, Chile 8320204 | CHILE | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK, N.A. (HONG KONG BRANCH) | E57ODZWZ7FF32TWEFA76 | Citi HK address: 50/F, Champion Tower, Three Garden Road, Central, Hong Kong Citi China address: 35/F, Citigroup Tower, No.33 Hua Yuan Shi Qiao Road, Lu Jia Zui Finance and Trade Zone, Shanghai, 200120, P.R. China | CHINA | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITITRUST COLOMBIA S A SOCIEDAD FIDUCIARIA | 549300242J3UCOSGI49 | Carrera 9A, No. 99-02, Bogota, Colombia | COLOMBIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK EUROPE PLC, GREECE BRANCH | N1FBEDJ5J41VKZLO2475 | 8 Othonos street, 10557 Athens, Greece | GREECE / CYPRUS | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK N.A. EGYPT | E57ODZWZ7FF32TWEFA76 | Level 3, 46, Al Salam Axis Street, First Sector at the Fifth Settlement, New Cairo - Cairo, Egypt | EGYPT | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK, N.A. (HONG KONG BRANCH) | E57ODZWZ7FF32TWEFA76 | 50/F Citibank Tower, Citibank Plaza, 3 Garden Road, Central, Hong Kong | HONG KONG | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK N.A. (MUMBAI BRANCH) | E57ODZWZ7FF32TWEFA76 | Citibank N.A. FIFC, C-54 & 55, G Block, Bandra Kura Complex, Bandra East, Mumbai - 400051 | INDIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK N.A. ISRAEL BRANCH | E57ODZWZ7FF32TWEFA76 | Ha'arba'a 21 Tel Aviv | ISRAEL | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK BERHAD | E57ODZWZ7FF32TWEFA76 | Level 43, Securities Services, Menara Citibank, 165 Jalan Ampang, 50450 Kuala Lumpur, Malaysia | MALAYSIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| BANCO NACIONAL DE MEXICO, S.A. | 2SFFM4FUIE05S37WFU55 | Actuario Roberto Medellín. 800 Colonia Santa Fe Mexico D.F 01219 | MEXICO | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK N.A., PAKISTAN | E57ODZWZ7FF32TWEFA76 | Army Welfare Trust (AWT) Plaza, I.I.Chundrigar Road, Karachi, Pakistan- 74200 | PAKISTAN | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK DEL PERU S.A. | MYTK5NHHP1G8TVFGT193 | Canaval y Moreyra 480, Piso 3, San Isidro, Lima 27, Peru | PERU | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK NA (PHILIPPINES BRANCH) | E57ODZWZ7FF32TWEFA76 | Citibank N.A. Philippine Branch 16th Floor, Citibank Plaza, 34th St., Bonifacio Global City, Taguig City, Metro Manila ,Philippines 1634 | PHILIPPINES | Partner Bank | Securities Partner Bank | Sub Custodian |
| AO Citibank | CHSQDSVI1UI96Y2SW097 | 8-10, bld.1, Gasheka street, Moscow, 125047, Russia | RUSSIAN FEDERATION | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK SINGAPORE LIMITED | 549300BSM2K5JOIUQ068 | 8 Marina View, #16-00 Asia Square Tower 1, Singapore 018960 | SINGAPORE | Partner Bank | Securities Partner Bank | Sub Custodian |

| CITIBANK KOREA INC. | 745P3MMS7E8CUVXDRJ82 | 50, Saemunan-ro, Jongno-gu, Seoul, 03184, Korea | SOUTH KOREA | Partner Bank | Securities Partner Bank | Sub Custodian |
| --- | --- | --- | --- | --- | --- | --- |
| CITIBANK, N.A. (BANGKOK BRANCH) | E57ODZWZ7FF32TWEFA76 | 18th Floor, 399 Interchange 21 Building, Sukhumvit Road, Klongtoey Nua, Wattana District, Bangkok 10110, THAILAND | THAILAND | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK ANONIM SIRKETI | CWZ8NZDH5SKY12Q4US31 | Tekfen Tower, Eski Buyukdere Caddesi 209 Kat 2, Postal Code 34394 Levent, Istanbul - Turkey | TURKEY | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK N.A. LONDON BRANCH | G2M96IXONJEAOBNT6B40 | Citigroup Centre, Canary Wharf, London, E14 5LB | UNITED KINGDOM | Partner Bank | Securities Partner Bank | Sub Custodian |
| N A CITIBANK | E57ODZWZ7FF32TWEFA76 | 388 Greenwich Street New York NY 10013 | UNITED STATES | Partner Bank | Securities Partner Bank | Sub Custodian |
| The Branch of CITIBANK, N.A. in the Republic of Argentina | 579100KKDGKCFFKKF005 | Bartolomé Mitre 530 -3rd floor, Buenos Aires, C1036AAJ, Argentina | ARGENTINA | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIGROUP PTY LIMITED | 0C45RG70GW42XSBLJ131 | Level 16, 120 Collins Street, Melbourne VIC 3000 | AUSTRALIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK EUROPE PLC, GREECE BRANCH | N1FBEDJ5J41VKZLO2475 | 8 Othonos street, 10557 Athens, Greece | GREECE / CYPRUS | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK N.A. EGYPT | E57ODZWZ7FF32TWEFA76 | Level 3, 46, Al Salam Axis Street, First Sector at the Fifth Settlement, New Cairo - Cairo, Egypt | EGYPT | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK, N.A. (HONG KONG BRANCH) | E57ODZWZ7FF32TWEFA76 | 50/F Citibank Tower, Citibank Plaza, 3 Garden Road, Central, Hong Kong | HONG KONG | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK N.A. (MUMBAI BRANCH) | E57ODZWZ7FF32TWEFA76 | Citibank N.A. FIFC, C-54 & 55, G Block, Bandra Kura Complex, Bandra East, Mumbai - 400051 | INDIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK N.A. ISRAEL BRANCH | E57ODZWZ7FF32TWEFA76 | Ha'arba'a 21 Tel Aviv | ISRAEL | Partner Bank | Securities Partner Bank | Sub Custodian |
| BANCO NACIONAL DE MEXICO, S.A. | 2SFFM4FUIE05S37WFU55 | Actuario Roberto Medellin. 800 Colonia Santa Fe Mexico D.F 01219 | MEXICO | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK NA (PHILIPPINES BRANCH) | E57ODZWZ7FF32TWEFA76 | Citibank N.A. Philippine Branch 16th Floor, Citibank Plaza, 34th St., Bonifacio Global City, Taguig City, Metro Manila ,Philippines 1634 | PHILIPPINES | Partner Bank | Securities Partner Bank | Sub Custodian |
| AO Citibank | CHSQDSVI1UI96Y2SW097 | 8-10, bld.1, Gasheka street, Moscow, 125047, Russia | RUSSIAN FEDERATION | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK SINGAPORE LIMITED | 549300BSM2K5JOIUQ068 | 8 Marina View, #16-00 Asia Square Tower 1, Singapore 018960 | SINGAPORE | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK KOREA INC. | 745P3MMS7E8CUVXDRJ82 | 50, Saemunan-ro, Jongno-gu, Seoul, 03184, Korea | SOUTH KOREA | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK, N.A. (BANGKOK BRANCH) | E57ODZWZ7FF32TWEFA76 | 18th Floor, 399 Interchange 21 Building, Sukhumvit Road, Klongtoey Nua, Wattana District, Bangkok 10110, THAILAND | THAILAND | Partner Bank | Securities Partner Bank | Sub Custodian |

| CITIBANK ANONIM SIRKETI | CWZ8NZDH5SKY12Q4US31 | Tekfen Tower, Eski Buyukdere Caddesi 209 Kat 2, Postal Code 34394 Levent, Istanbul - Turkey | TURKEY | Partner Bank | Securities Partner Bank | Sub Custodian |
| --- | --- | --- | --- | --- | --- | --- |
| Citibank, N.A. Brazilian Branch | E57ODZWZ7FF32TWEFA76 | Av. Paulista 1.111, 12o andar, CEP: 01311-920 São Paulo SP | BRAZIL | Partner Bank | Securities Partner Bank | Sub Custodian |
| N A Citibank | 8B4EZFY8IHJC44TT2K84 | Estado 260, Level 2, Santiago, Chile 8320204 | CHILE | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITITRUST COLOMBIA S A SOCIEDAD FIDUCIARIA | 549300242J3JICOSGI49 | Carrera 9A, No. 99-02, Bogota, Colombia | COLOMBIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK BERHAD | E57ODZWZ7FF32TWEFA76 | Level 43, Securities Services, Menara Citibank, 165 Jalan Ampang, 50450 Kuala Lumpur, Malaysia | MALAYSIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK DEL PERU S.A. | MYTK5NHHP1G8TVFGT193 | Canaval y Moreyra 480, Piso 3, San Isidro, Lima 27, Peru | PERU | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK N.A. LONDON BRANCH | G2M96IXONJEAOBNT6B40 | Citigroup Centre, Canary Wharf, London, E14 5LB | UNITED KINGDOM | Partner Bank | Securities Partner Bank | Sub Custodian |
| N A CITIBANK | E57ODZWZ7FF32TWEFA76 | 388 Greenwich Street New York NY 10013 | UNITED STATES | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK BERHAD | E57ODZWZ7FF32TWEFA76 | Level 43, Securities Services, Menara Citibank, 165 Jalan Ampang, 50450 Kuala Lumpur, Malaysia | MALAYSIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK, N.A. (BANGKOK BRANCH) | E57ODZWZ7FF32TWEFA76 | 18th Floor, 399 Interchange 21 Building, Sukhumvit Road, Klongtoey Nua, Wattana District, Bangkok 10110, THAILAND | THAILAND | Partner Bank | Securities Partner Bank | Sub Custodian |
| HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED, TOKYO BRANCH | 2HI3YI5320L3RW6NJ957 | HSBC Building, 11-1, Nihonbashi 3-chome Chuo-ku, Tokyo 103-0027, Japan | JAPAN | Partner Bank | Securities Partner Bank | Sub Custodian |
| HSBC BANK MIDDLE EAST LIMITED, QATAR BRANCH | 549300F99IL9YJDWH369 | Securities Services Department (HSS Dept), 2nd Floor, Ali Bin Ali Tower Building no: 150, Al Matar Street (Airport Road), P.O.Box 57, Street no. 950, Ummghuwalina Area, Doha, Qatar | QATAR | Partner Bank | Securities Partner Bank | Sub Custodian |
| HSBC SAUDI ARABIA | 2138009S6SHV5GLS7987 | HSBC Head Office, 2nd Floor, 7267 Olaya, Al Murooj, Riyadh 12283-2255, Kingdom of Saudi Arabia | SAUDI ARABIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| HSBC BANK (TAIWAN) LIMITED | 549300SG184IVNYDMN03 | 13F, No. 333 Keelung Road, Sec. 1, Xinyi District, Taipei 110, Taiwan | TAIWAN | Partner Bank | Securities Partner Bank | Sub Custodian |
| HSBC BANK (VIETNAM) LIMITED | 213800H95OG9OHRT4Y78 | The Metropolitan, Floor 2, 235 Dong Khoi Street, District 1, Ho Chi Minh city, Vietnam | VIETNAM | Partner Bank | Securities Partner Bank | Sub Custodian |
| HSBC BANK MIDDLE EAST LIMITED, KUWAIT BRANCH | 549300F99IL9YJDWH369 | Qibla Area, Hamad Al-Saqr St., Kharafi Tower, G/1/2 Floors, P.O Box 1683, Safat 13017 Kuwait | KUWAIT | Partner Bank | Securities Partner Bank | Sub Custodian |
| HSBC BANK MIDDLE EAST LIMITED, QATAR BRANCH | 549300F99IL9YJDWH369 | Securities Services Department (HSS Dept), 2nd Floor, Ali Bin Ali Tower | QATAR | Partner Bank | Securities Partner Bank | Sub Custodian |

|  |  | Building no: 150, Al Matar Street (Airport Road), P.O.Box 57, Street no. 950, Ummghuwalina Area, Doha, Qatar |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- |
| HSBC BANK (TAIWAN) LIMITED | 549300SG184IVNYDMN03 | 13F, No. 333 Keelung Road, Sec. 1, Xinyi District, Taipei 110, Taiwan | TAIWAN | Partner Bank | Securities Partner Bank | Sub Custodian |
| HSBC BANK (CHINA) COMPANY LIMITED | 300300C1050131000118 | 33rd Floor, HSBC Building, Shanghai ifc, 8 Century Avenue, Pudong, Shanghai, China (200120) | CHINA | Partner Bank | Securities Partner Bank | Sub Custodian |
| CLEARSTREAM INTERNATIONAL SA | 549300OL514RA0SXJJ44 | 11 Westferry Circus, Canary Wharf, London, E14 4HE, United Kingdom | LUXEMBOURG | Partner Bank | Securities Partner Bank | International Central Securities Depository |
| CLEARSTREAM INTERNATIONAL SA | 549300OL514RA0SXJJ44 | 11 Westferry Circus, Canary Wharf, London, E14 4HE, United Kingdom | LUXEMBOURG | Partner Bank | Securities Partner Bank | International Central Securities Depository |
| MIZUHO BANK,LTD. | 353800C15L6DDAN5XZ33 | 5-5, Otemachi 1 Chome, Chiyoda-ku, Tokyo, 100- 8176, Japan | JAPAN | Partner Bank | Securities Partner Bank | Sub Custodian |
| SOCIETE GENERALE MAROCAINE DE BANQUES SA | 549300WHIMVBNIDQWK21 | 55, Boulevard Abdelmoumen, Casablanca, 20100, Morocco | MOROCCO | Partner Bank | Securities Partner Bank | Sub Custodian |
| SOCIETE GENERALE MAROCAINE DE BANQUES SA | 549300WHIMVBNIDQWK21 | 55, Boulevard Abdelmoumen, Casablanca, 20100, Morocco | MOROCCO | Partner Bank | Securities Partner Bank | Sub Custodian |
| ZAGREBACKA BANKA D.D. | PRNXTNXHBI0TSY1V8P17 | Savska 62, 10000 Zagreb | CROATIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| UNICREDIT BANK CZECH REPUBLIC AND SLOVAKIA, A.S. | KR6LSKV3BTSJRD41IF75 | Želetavská 1525/1, 140 92 Praha 4 - Michle, Czech Republic | CZECH REPUBLIC | Partner Bank | Securities Partner Bank | Sub Custodian |
| UNICREDIT BANK HUNGARY ZRT. | Y28RT6GGYJ696PMW8T44 | Szabadság tér 5-6. HU-1054 Budapest | HUNGARY | Partner Bank | Securities Partner Bank | Sub Custodian |
| UNICREDIT BANKA SLOVENIJA d.d. | 549300O2UN9JLME31F08 | Šmartinska 140 SI-1000 Ljubljana, Slovenija/Slovenia | SLOVENIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| UNICREDIT BANK CZECH REPUBLIC AND SLOVAKIA, A.S. | KR6LSKV3BTSJRD41IF75 | Želetavská 1525/1, 140 92 Praha 4 - Michle, Czech Republic | CZECH REPUBLIC | Partner Bank | Securities Partner Bank | Sub Custodian |
| ZAGREBACKA BANKA D.D. | PRNXTNXHBI0TSY1V8P17 | Savska 62, 10000 Zagreb | CROATIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| UNICREDIT BANK HUNGARY ZRT. | Y28RT6GGYJ696PMW8T44 | Szabadság tér 5-6. HU-1054 Budapest | HUNGARY | Partner Bank | Securities Partner Bank | Sub Custodian |
| HDFC BANK LIMITED | 335800ZQ6I4E2JXENC50 | HDFC Bank House, Senapati Bapat Marg, Lower Parel, Mumbai, Maharashtra India 400013 | INDIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| EUROCLEAR BANK SA | 549300OZ46BRLZ8Y6F65 | 1 Boulevard du Roi Albert II, B - 1210 Brussels, Belgium | BELGIUM | Partner Bank | Securities Partner Bank | International Central Securities Depository |
| EUROCLEAR BANK SA | 549300OZ46BRLZ8Y6F65 | 1 Boulevard du Roi Albert II, B - 1210 Brussels, Belgium | BELGIUM | Partner Bank | Securities Partner Bank | International Central |

|  |  |  |  |  |  | Securities Depository |
| --- | --- | --- | --- | --- | --- | --- |
| EUROCLEAR BANK SA | 549300OZ46BRLZ8Y6F65 | 1 Boulevard du Roi Albert II, B - 1210 Brussels, Belgium | BELGIUM | Partner Bank | Securities Partner Bank | International Central Securities Depository |
| EUROCLEAR BANK SA | 549300OZ46BRLZ8Y6F65 | 1 Boulevard du Roi Albert II, B - 1210 Brussels, Belgium | BELGIUM | Partner Bank | Securities Partner Bank | International Central Securities Depository |
| STANDARD CHARTERED BANK, BAHRAIN BRANCH | RILFO74KP1CM8P6PCT96 | Manama Main Branch, Building no.180, Government Avenue, Manama 315. Kingdon of Bahrain | BAHRAIN | Partner Bank | Securities Partner Bank | Sub Custodian |
| STANDARD CHARTERED BANK (INDONESIA BRANCH) | RILFO74KP1CM8P6PCT96 | World Trade Center II, 3rd Floor Jl.Jend. Sudirman Kav.29-31 Jakarta 12920 | INDONESIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| STANDARD CHARTERED BANK, JORDAN BRANCH | RILFO74KP1CM8P6PCT96 | Standard Chartered Bank, Shemissani Main Building, Al Thakafa Street, Amman - 111910, Jordan | JORDAN | Partner Bank | Securities Partner Bank | Sub Custodian |
| STANDARD CHARTERED BANK, OMAN BRANCH | RILFO74KP1CM8P6PCT96 | Standard Chartered Bank, Bait Al Falaj Street, Ruwi, Sultanate of Oman | OMAN | Partner Bank | Securities Partner Bank | Sub Custodian |
| STANDARD CHARTERED BANK, DIFC BRANCH | RILFO74KP1CM8P6PCT96 | Standard Chartered Bank, Building 1, DIFC, 4th Floor, PO Box 999, Dubari, UAE | UNITED ARAB EMIRATES | Partner Bank | Securities Partner Bank | Sub Custodian |
| STANDARD CHARTERED BANK, UAE BRANCH | RILFO74KP1CM8P6PCT96 | Standard Chartered Bank, Building 1, DIFC, 4th Floor, PO Box 999, Dubari, UAE | UNITED ARAB EMIRATES | Partner Bank | Securities Partner Bank | Sub Custodian |
| STANDARD CHARTERED BANK, OMAN BRANCH | RILFO74KP1CM8P6PCT96 | Standard Chartered Bank, Bait Al Falaj Street, Ruwi, Sultanate of Oman | OMAN | Partner Bank | Securities Partner Bank | Sub Custodian |
| STANDARD CHARTERED BANK, UAE BRANCH | RILFO74KP1CM8P6PCT96 | Standard Chartered Bank, Building 1, DIFC, 4th Floor, PO Box 999, Dubari, UAE | UNITED ARAB EMIRATES | Partner Bank | Securities Partner Bank | Sub Custodian |
| STANDARD CHARTERED BANK, DIFC BRANCH | RILFO74KP1CM8P6PCT96 | Standard Chartered Bank, Building 1, DIFC, 4th Floor, PO Box 999, Dubari, UAE | UNITED ARAB EMIRATES | Partner Bank | Securities Partner Bank | Sub Custodian |
| STANDARD CHARTERED BANK (INDONESIA BRANCH) | RILFO74KP1CM8P6PCT96 | World Trade Center II, 3rd Floor Jl.Jend. Sudirman Kav.29-31 Jakarta 12920 | INDONESIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| STANDARD CHARTERED BANK (INDONESIA BRANCH) | RILFO74KP1CM8P6PCT96 | World Trade Center II, 3rd Floor Jl.Jend. Sudirman Kav.29-31 Jakarta 12920 | INDONESIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| KBC Bank Bulgaria EAD | 5299009KAL4KO7584196 | 55 Nikola Vaptsarov Blvd., Expo 2000, Phase III, 4 floor, 1407 Sofia, Bulgaria | BULGARIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| STANBIC IBTC BANK PLC | 029200098C3K8BIZD551 | Stanbic I.B.T.C Bank PLC I.B.T.C Place Walter Carrington Crescent Victoria Island | NIGERIA | Partner Bank | Securities Partner Bank | Sub Custodian |

|  |  | Lagos Nigeria |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- |
| THE STANDARD BANK OF SOUTH AFRICA LTD | QFC8ZCW3Q5PRXU1XTM60 | Investor Services, 3rd Floor, 25 Pixley Ka Isaka Seme Street, Johannesburg, 2001 | SOUTH AFRICA | Partner Bank | Securities Partner Bank | Sub Custodian |
| STANBIC IBTC BANK PLC | 029200098C3K8BIZD551 | Stanbic I.B.T.C Bank PLC I.B.T.C Place Walter Carrington Crescent Victoria Island Lagos Nigeria | NIGERIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| THE STANDARD BANK OF SOUTH AFRICA LTD | QFC8ZCW3Q5PRXU1XTM60 | Investor Services, 3rd Floor, 25 Pixley Ka Isaka Seme Street, Johannesburg, 2001 | SOUTH AFRICA | Partner Bank | Securities Partner Bank | Sub Custodian |
| CIBC MELLON TRUST COMPANY | 2IGI19DL77OX0HC3ZE78 | CIBC Mellon, 1 York Street, Suite 500, Toronto Ontario, Canada, M5J 0B6 | CANADA | Partner Bank | Securities Partner Bank | Sub Custodian |
| INDUSTRIAL AND COMMERCIAL BANK OF CHINA LIMITED | 5493002ERZU2K9PZDL40 | 55 Fuxingmennei Avenue, Xicheng District, Beijing 100140, China | CHINA | Partner Bank | Securities Partner Bank | Sub Custodian |
| BANK POLSKA KASA OPIEKI SA | 5493000LKS7B3UTF7H35 | Żwirki i Wigury 31, 02-091 Warsaw, Poland | POLAND | Partner Bank | Securities Partner Bank | Sub Custodian |
| BANK POLSKA KASA OPIEKI SA | 5493000LKS7B3UTF7H35 | Żwirki i Wigury 31, 02-091 Warsaw, Poland | POLAND | Partner Bank | Securities Partner Bank | Sub Custodian |
| Skandinaviska Enskilda Banken AB (publ) | F3JS33DEI6XQ4ZBPTN86 | Kungsträdgårdsgatan 8, SE-106 40 STOCKHOLM, SWEDEN | FINLAND | Partner Bank | Securities Partner Bank | Sub Custodian |
| Skandinaviska Enskilda Banken AB (publ) | F3JS33DEI6XQ4ZBPTN86 | Kungsträdgårdsgatan 8, SE-106 40 STOCKHOLM, SWEDEN | FINLAND | Partner Bank | Securities Partner Bank | Sub Custodian |
| Skandinaviska Enskilda Banken AB (publ) | F3JS33DEI6XQ4ZBPTN86 | Kungsträdgårdsgatan 8, SE-106 40 STOCKHOLM, SWEDEN | Denmark | Partner Bank | Securities Partner Bank | Sub Custodian |
| Skandinaviska Enskilda Banken AB (publ) | F3JS33DEI6XQ4ZBPTN86 | Kungsträdgårdsgatan 8, SE-106 40 STOCKHOLM, SWEDEN | Denmark | Partner Bank | Securities Partner Bank | Sub Custodian |
| Skandinaviska Enskilda Banken AB (publ) | F3JS33DEI6XQ4ZBPTN86 | Kungsträdgårdsgatan 8, SE-106 40 STOCKHOLM, SWEDEN | Norway | Partner Bank | Securities Partner Bank | Sub Custodian |
| SKANDINAVISKA ENSKILDA BANKEN AB | 549300ND1MQ8SNNYMJ22 | 2 Tornimäe Street, Tallinn 15010, Estonia; | Estonia | Partner Bank | Securities Partner Bank | Sub Custodian |
| SKANDINAVISKA ENSKILDA BANKEN AB | 549300ND1MQ8SNNYMJ22 | 2 Tornimäe Street, Tallinn 15010, Estonia; | Estonia | Partner Bank | Securities Partner Bank | Sub Custodian |
| SKANDINAVISKA ENSKILDA BANKEN AB | 549300YW95G1VBBGGV07 | Meistaru iela 1, Valdlauci, Kekavas pag., Rigas raj., LV-1076, Latvia; | Latvia | Partner Bank | Securities Partner Bank | Sub Custodian |
| SKANDINAVISKA ENSKILDA BANKEN AB | 549300YW95G1VBBGGV07 | Meistaru iela 1, Valdlauci, Kekavas pag., Rigas raj., LV-1076, Latvia; | Latvia | Partner Bank | Securities Partner Bank | Sub Custodian |
| SKANDINAVISKA ENSKILDA BANKEN AB | 549300SBPFE9JX7N8J82 | Gedimino ave.12, 01103, Vilnius, Lithuania; | Lithuania | Partner Bank | Securities Partner Bank | Sub Custodian |
| SKANDINAVISKA ENSKILDA BANKEN AB | 549300SBPFE9JX7N8J82 | Gedimino ave.12, 01103, Vilnius, Lithuania; | Lithuania | Partner Bank | Securities Partner Bank | Sub Custodian |

| ICE CLEAR CREDIT LLC | T33OE4AS4QXXS2TT7X50 | 353 North Clark Street, Chicago, 60654, US | UNITED STATES | Financial Market Utility | Central Counterparty (CCP) | CDS |
| --- | --- | --- | --- | --- | --- | --- |
| ICE CLEAR EUROPE LTD | 5R6J7JCQRIPQR1EEP713 | MILTON GATE, 60 CHISWELL STREET, London EC1Y 4SA, GB | UNITED KINGDOM | Financial Market Utility | Central Counterparty (CCP) | CDS |
| BANQUE CENTRALE DE COMPENSATION (LCH SA) | R1IO4YJ0079SMWVCHB58 | 18 RUE DU 4 SEPTEMBRE, 75002, Paris, FR-75, France | FRANCE | Financial Market Utility | Central Counterparty (CCP) | CDS Clear |
| LCH LIMITED | F226TOH6YD6XJB17KS62 | Aldgate House, 33 Aldgate High Street, EC3N 1EA London | UNITED KINGDOM | Financial Market Utility | Central Counterparty (CCP) | ForexClear (SCM) |
| LCH LIMITED | F226TOH6YD6XJB17KS62 | Aldgate House, 33 Aldgate High Street, EC3N 1EA London | UNITED KINGDOM | Financial Market Utility | Central Counterparty (CCP) | LCH SwapClear (SCM) |
| FIXED INCOME CLEARING CORPORATION | 549300H47WTHXPU08X20 | 55 Water St New York, NY 10041 | UNITED STATES | Financial Market Utility | Central Counterparty (CCP) | GSD |
| FIXED INCOME CLEARING CORPORATION | 549300H47WTHXPU08X20 | 55 Water St New York, NY 10041 | UNITED STATES | Financial Market Utility | Central Counterparty (CCP) | GSD GCF Repo |
| FIXED INCOME CLEARING CORPORATION | 549300H47WTHXPU08X20 | 55 Water St New York, NY 10041 | UNITED STATES | Financial Market Utility | Central Counterparty (CCP) | MBSD |
| NATIONAL SECURITIES CLEARING CORPORATION | 549300RYC9NELN2ICA34 | 55 Water St New York, NY 10041 | UNITED STATES | Financial Market Utility | Central Counterparty (CCP) | Securities |
| OTC CLEARING HONG KONG LIMITED | 213800CKBBZUAHHARH83 | 8/F, TWO EXCHANGE SQUARE 8 CONNAUGHT PLACE CENTRAL HONG KONG | HONG KONG | Financial Market Utility | Central Counterparty (CCP) | OTC Derivatives |
| KOREA EXCHANGE | 549300TJ3RRV6Q1UEW14 | 40, Munhyeongeumyung-ro, Nam-gu, Busan 50F, BIFC 48400 Busan Metropolitan City KR-26 | SOUTH KOREA | Financial Market Utility | Central Counterparty (CCP) | OTC |
| THE CLEARING CORPORATION OF INDIA LIMITED | 335800CNVQFGRCP1PR55 | CCIL BHAVAN S. K. BOLE ROAD DADAR (WEST) 400028 MUMBAI IN-MH | INDIA | Financial Market Utility | Central Counterparty (CCP) | FX Forwards |
| THE CLEARING CORPORATION OF INDIA LIMITED | 335800CNVQFGRCP1PR55 | CCIL BHAVAN S. K. BOLE ROAD DADAR (WEST) | INDIA | Financial Market Utility | Central Counterparty (CCP) | Securities |

|  |  | 400028 MUMBAI IN-MH |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- |
| THE CLEARING CORPORATION OF INDIA LIMITED | 335800CNVQFGRCP1PR55 | CCIL BHAVAN S. K. BOLE ROAD DADAR (WEST) 400028 MUMBAI IN-MH | INDIA | Financial Market Utility | Central Counterparty (CCP) | FX |
| CENTRAL COUNTERPARTY NATIONAL CLEARING CENTRE | 2534007UK6G30KDX1A47 | 13, Bol'shoy Kislovskiy Lane, 125009, Moscow, Russian Federation | RUSSIA | Financial Market Utility | Central Counterparty (CCP) | FX Cash Equity and Derivatives |
| SHANGHAI CLEARING HOUSE | 3003009OCN1WA6ED1054 | Floor 33-34, No. 318 South Zhongshan Road 200010 Huangpu Qu CN-SH | CHINA | Financial Market Utility | Central Counterparty (CCP) | IRS |
| THE DEPOSITORY TRUST COMPANY INC | MLDY5N6PZ58ZE60QU102 | 55 Water St New York, NY 10041 | UNITED STATES | Financial Market Utility | Central Securities Depository (CSD) | Securities |
| RESERVE BANK OF NEW ZEALAND | 54930066LV3G32L0HB48 | PO Box 2498 2 The Terrace 6140 Wellington NZ-WGN | NEW ZEALAND | Financial Market Utility | Central Securities Depository (CSD) | Securities |
| AUSTRACLEAR LTD | 549300SW1A0SWG24L005 | 20 Bridge Street 2000 Sydney AU-NSW | AUSTRALIA | Financial Market Utility | Central Securities Depository (CSD) | Securities |
| EUROCLEAR UK & IRELAND LTD | 549300M5MYAD51WHJD55 | Euroclear UK & International Ltd, 33 Cannon Street, London EC4M 5SB, United Kingdom | UNITED KINGDOM | Financial Market Utility | Central Securities Depository (CSD) | Securities - CREST |
| EUROCLEAR UK & IRELAND LTD | 549300M5MYAD51WHJD55 | Euroclear UK & International Ltd, 33 Cannon Street, London EC4M 5SB, United Kingdom | UNITED KINGDOM | Financial Market Utility | Central Securities Depository (CSD) | Securities - CREST |
| FEDERAL RESERVE BANK OF RICHMOND | 549300GF3UGINKR7U365 | Federal Reserve Board of Governors 20th & K Streets, NW Washington, DC 20551 | UNITED STATES | Financial Market Utility | Central Securities Depository (CSD) | Securities - Fedwire Securities Service |
| KOREA SECURITIES DEPOSITORY | 9884008RRMX1X5HV6625 | 40, Munhyeongeumyung-ro, Nam-gu, Busan 50F, BIFC 48400 Busan Metropolitan City KR-26 | SOUTH KOREA | Financial Market Utility | Central Securities Depository (CSD) | Securities |

| HONG KONG MONETARY AUTHORITY | Not available | 55th Floor Two International Finance Centre 8 Finance Street Central and Western District HK \| Hong Kong | HONG KONG | Financial Market Utility | Central Securities Depository (CSD) | Securities |
| --- | --- | --- | --- | --- | --- | --- |
| BANK OF JAPAN | 353800717BLAHZMEXR15 | Nihonbashi-Hongokucho 2-1-1, Chuo-ku, Tokyo, 103-8660 | JAPAN | Financial Market Utility | Central Securities Depository (CSD) | Securities |
| Skandinaviska Enskilda Banken AB (publ) | F3JS33DEI6XQ4ZBPTN86 | Kungsträdgårdsgatan 8, SE-106 40 STOCKHOLM, SWEDEN | Sweden | Partner Bank | Securities Partner Bank | Sub Custodian |
| Skandinaviska Enskilda Banken AB (publ) | F3JS33DEI6XQ4ZBPTN86 | Kungsträdgårdsgatan 8, SE-106 40 STOCKHOLM, SWEDEN | Sweden | Partner Bank | Securities Partner Bank | Sub Custodian |
| THAILAND SECURITIES DEPOSITORY COMPANY LIMITED | 254900UQ6ZM0PD20H32 | 14th Floor, 93 Ratchadaphisek Road, Dindaeng, 10400, Bangkok, Thailand | THAILAND | Financial Market Utility | Central Securities Depository (CSD) | Securities |
| BANK OF TAIWAN | 549300QBHSCPTZ7YV010 | 120 Section 1, Chongqing South Road, Jhongjheng District, 100, Taipei, Taiwan | TAIWAN | Partner Bank | Securities Partner Bank | Sub Custodian |

**Attachment 4:** `BANASBSDAQ7.pdf`

# Bank of America, N.A.

Form SBSE-A

Supplemental Filing Attachment:

Response to Question 7

November 1, 2021

# **Bank of America, N.A. - Response to Question 7 of Form SBSE-A Briefly describe the applicant's business:**

Bank of America, N.A. (“BANA”), a subsidiary of Bank of America Corporation, is a national bank organized under the National Bank Act (the “NBA”) and is primarily regulated by the Office of the Comptroller of the Currency (the “OCC”). Pursuant to the NBA and OCC regulations, BANA is authorized to engage in activities that constitute “the business of banking”. These activities include, among others, accepting deposits, making loans and extensions of credit, acting as a fiduciary and engaging in credit intermediation (which includes engaging in derivative transactions). BANA also may engage in certain limited types of activities relating to securities transactions, including but not limited to underwriting and dealing in U.S. government and agency securities and municipal securities; purchasing and owning certain types of debt securities for its own account otherwise than in a dealer capacity; engaging in derivative transactions based on any reference asset, including securities; holding securities as a hedge related to customer driven derivative transactions; purchasing and owning certain equity securities for its own account to the extent limited to entities engaged in activities that are solely in the business of banking (e.g., strategic financial technology investments) or its own subsidiaries; other transactions that are extensions of credit involving securities, including loans secured by collateral that may include securities; and the extension of credit in the form of repurchase transactions that can include repos on securities.

**Attachment 5:** `BANASBSDAQ13AScheduleBII.pdf`

# Bank of America, N.A.

Form SBSE-A

Supplemental Filing Attachment:

Response to Schedule B, Section II

November 1, 2021

# **Bank of America, N.A. - Response to Question 13A of Form SBSE-A with respect to the nature of the arrangement with the Firm with respect to books or records**

| Firm or Organization Name | Workday, Inc |
| --- | --- |
| Business Address |  |
| Effective Date | 11/1/2021 |
| Termination Date |  |
| Individual Name |  |
| CRD, NFA, and/or IARD Number (if any) |  |
| Business Address (if applicable) | 6110 STONERIDGE MALL RD, Pleasanton, CA 94588 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A). | Personnel Records, including but not limited to questionnaires or applications for employment and a listing of associated persons and their work location. |

| Firm or Organization Name | Markit North America, Inc |
| --- | --- |
| Business Address |  |
| Effective Date | 11/1/2021 |
| Termination Date |  |
| Individual Name |  |
| CRD, NFA, and/or IARD Number (if any) |  |
| Business Address (if applicable) | 450 West 33rd Street, 5th Floor, New York, NY 10001 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A). | Compliance Records, including but not limited to documentation of compliance with business conduct standards, disclosures, and notifications. |

| Firm or Organization Name | Micro Focus, LLC |
| --- | --- |
| Business Address |  |
| Effective Date | 11/1/2021 |
| Termination Date |  |
| Individual Name |  |
| CRD, NFA, and/or IARD Number (if any) |  |
| Business Address (if applicable) | 4555 Great America Pkwy Santa Clara , CA , 95054-1243 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A). | Communication Records, including but not limited to electronic communications. |

| Firm or Organization Name | Proofpoint, Inc. |
| --- | --- |
| Business Address |  |
| Effective Date | 11/1/2021 |
| Termination Date |  |
| Individual Name |  |
| CRD, NFA, and/or IARD Number (if any) |  |
| Business Address (if applicable) | 892 Ross Drive, Sunnyvale, CA 94089 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A). | Communication Records, including but not limited to electronic communications. |

| Firm or Organization Name | Bank of America, N.A. (including branches in London and Hong Kong) |
| --- | --- |
| Business Address |  |
| Effective Date | 11/1/2021 |
| Termination Date |  |
| Individual Name |  |
| CRD, NFA, and/or IARD Number (if any) |  |
| Business Address (if applicable) | 100 North Tryon Street, Charlotte, NC 28255 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A). | Financial Records, Personnel Records, Trading Records, Registration Documents, Compliance Records, Communications, and Account Records. |

| Firm or Organization Name | Merrill Lynch Global Services Pte. Ltd |
| --- | --- |
| Business Address |  |
| Effective Date | 11/1/2021 |
| Termination Date |  |
| Individual Name |  |
| CRD, NFA, and/or IARD Number (if any) |  |
| Business Address (if applicable) | 2 Harbourfront Place #02-01, Singapore, 098499 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A). | Financial Records, Personnel Records, Trading Records, Registration Documents, Compliance Records, Communications, and Account Records. |

| Firm or Organization Name | BofA Securities Japan Co., Ltd. |
| --- | --- |
| Business Address |  |
| Effective Date | 11/1/2021 |
| Termination Date |  |
| Individual Name |  |
| CRD, NFA, and/or IARD Number (if any) |  |
| Business Address (if applicable) | Nihonbashi 1-chome Building 1-4-1 Nihonboshi, Tokyo, Japan, 103-8230 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A). | Financial Records, Personnel Records, Trading Records, Registration Documents, Compliance Records, Communications, and Account Records. |

**Attachment 6:** `BANASBSDAQ17ScheduleFII.pdf`

# Bank of America, N.A.

Form SBSE-A

Supplemental Filing Attachment:

Response to Schedule F, Section II

November 1, 2021

# **Bank of America, N.A. - Response to Question 17 of Form SBSE-A with respect to registration with a foreign financial regulatory authority**

| BANA - Foreign Regulators (including any branches in other jurisdictions) for purposes of Q17 of Form SBSE-A |  |  |
| --- | --- | --- |
| English Name of Foreign Financial Regulatory Authority | Foreign Registration No. (if any) | English Name of Country |
| Ministry of Development | 6083/06/B/86/23 | Greece |
| Australian Prudential Regulation Authority Australian Securities & Investment Commission | ARBN: 064 874 531 | Australia |
| Bank of Thailand Securities and Exchange Commission |  | Thailand |
| China Banking Regulatory Commission People's Bank of China State Administration of Foreign Exchange |  | China |
| Office of the Superintendent of Financial Institutions | 861143212 (CAN Revenue Agency #) | Canada |
| Deutsche Bundesbank | HRB 10311 | Germany |
| Hong Kong Monetary Authority |  | Hong Kong |
| Bank Indonesia |  | Indonesia |
| Labuan Offshore Prudential Regulation Authority |  | Malaysia |
| Financial Conduct Authority Prudential Regulation Authority | FC002984 / BR001358 | United Kingdom |
| Central Bank of the Philippines |  | Philippines |
| Financial Supervisory Service |  | Republic of Korea |
| Monetary Authority of Singapore | S63FC1518C | Singapore |
| Financial Supervisory Commission |  | Taiwan |
| Financial Services Agency | 0100-03-010870 | Japan |
| Reserve Bank of India National Stock Exchange of India Securities and Exchange Board of India |  | India |
| Bank of Italy |  | Italy |

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

### Applicant Information

**Full Applicant Name:** BANK OF AMERICA NA

**NFA Number:** 282338

**IRS Employer ID No.:** 94-1687665

**CIK:** 0001102113

**UIC:** B4TYDEB6GKMZO031MB27

**Main Address:** 100 N. TRYON STREET, CHARLOTTE, NC, 28255

**Business Telephone:** (704) 386-5494

**Contact Employee:**

- **Name:** DAN DAN LIU

- **Title:** Managing Director, EAC Compliance and Operational Risk Exec

- **Phone:** 646-855-2264

- **Email:** dandan.liu2@bofa.com

**Chief Compliance Officer:**

- **Name:** AMY LITTMAN

- **Title:** Managing Director; Head of Global Compliance & Operational R

- **Phone:** 646-855-0841

- **Email:** amy.littman@bofa.com

### Business and Activities

**Registered as Swap Dealer?:** Yes

**Registered as Swap Participant?:** No

**Uses Mathematical Models?:** No

**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 Office of the Comptroller of the Currency, The Federal Deposit Insurance Corporation

**Description of Business:**
See Supplemental Attachment

### 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:** 23

### Schedule A: Principals

| Name                            | Title or Status                               | Date Acquired   | Date Began Working   | Ownership   |   NFA ID No. |
|:---|:---|:---|:---|:---|---:|
| Arnold Wayne Donald             | Director                                      | 01/2013         | 01/2013              |  |       457531 |
| Brian Thomas Moynihan           | Chief Executive Officer                       | 12/2012         | 12/2012              |  |       401299 |
| Clayton Stuart Rose             | Director                                      | 12/2018         | 10/2018              |  |       466397 |
| Denise Laura Ramos              | Director                                      | 08/2019         | 07/2019              |  |       524095 |
| Frank Paul Bramble              | Director                                      | 12/2012         | 06/2009              |  |       449750 |
| James Paul Demare               | Head of Business Unit, Division or Function   | 04/2016         | 04/2016              |  |       494981 |
| Linda Parker Hudson             | Director                                      | 12/2012         | 08/2012              |  |       449755 |
| Lionel Lewis Nowell             | Director                                      | 01/2013         | 01/2013              |  |       457530 |
| Maria Theresa Zuber             | Director                                      | 12/2017         | 12/2017              |  |       510243 |
| Michael Dennis White            | Director                                      | 08/2016         | 06/2016              |  |       497808 |
| Monica Cecilia Lozano           | Director                                      | 12/2012         | 06/2009              |  |       449756 |
| Pierre Jacques Philippe De Weck | Director                                      | 12/2013         | 11/2013              |  |       470677 |
| Robert David Yost               | Director                                      | 12/2012         | 08/2012              |  |       449761 |
| Sharon Lee Allen                | Director                                      | 02/2013         | 08/2012              |  |       449746 |
| Soofian J Zuberi                | Head of Business Unit, Division or Function   | 11/2020         | 11/2020              |  |       533174 |
| Stephen Yankauer                | Head of Business Unit, Division or Function   | 04/2019         | 04/2019              |  |       521112 |
| Thomas Dunne Woods              | Director                                      | 05/2016         | 04/2016              |  |       496348 |
| Shannon Leon Lilly              | Treasurer                                     | 10/2020         | 10/2020              |  |       519761 |
| Susan Yung                      | Head of a Business Unit, Division or Function | 11/2021         | 08/2021              |  |       544284 |
| Amy Littman                     | Chief Compliance Officer                      | 11/2021         | 05/2005              |  |       543612 |
| Alastair Borthwick              | Chief Financial Officer                       | 11/2021         | 09/2005              |  |       544946 |
| Matthew Michael Koder           | Head of a Business Unit, Division or Function | 10/2021         | 06/2011              |  |       547563 |
| Jose Eduardo Almeida            | Director                                      | 12/2022         | 09/2022              |  |       470432 |

### Schedule B: Explanations

**Description:**
BANA's non-securities activities include, among others, accepting deposits, making loans and extensions of credit, acting as a fiduciary and engaging in credit intermediation (which includes engaging in derivative transactions where the reference assets may include products other than securities.

**Records Keeper:**

- **Name:** See Supplemental Attachment

  - **Address:** NA, NA, NC, NA

  - **Effective Date:** 10-29-2021

  - **Arrangement:** —

**Onbehalf:**

- **Name:** See Supplemental Attachment

  - **Address:** NA, NA, NC, NA

  - **Effective Date:** 10-26-2021

  - **Arrangement:** —

**Controlling Entity:**

- **Name:** BAC North America Holding Company

  - **Address:** 100 North Tryon Street, Charlotte, NC, 28255

  - **Effective Date:** 10-29-2021

  - **Arrangement:** —

- **Name:** NB Holdings Corp

  - **Address:** 100 North Tryon Street, Charlotte, NC, 28255

  - **Effective Date:** 10-29-2021

  - **Arrangement:** —

- **Name:** Bank of America Corporation

  - **Address:** 100 North Tryon Street, Charlotte, NC, 28255

  - **Effective Date:** 10-29-2021

  - **Arrangement:** —

### Execution

**Date:** 01-05-2023

**Name of Applicant:** BANK OF AMERICA NA

**Signature:** /s/ James DeMare

**Printed Name:** James DeMare

**Title:** Managing Director, President, and Head of Global Markets