# EDGAR Filing Document

**Accession Number:** 0001610028
**File Stem:** 0001878049-23-000001
**Filing Date:** 2023-3
**Character Count:** 32503
**Document Hash:** c3bd899cc86b5da4dd4b4eb93eff12c7
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001878049-23-000001.hdr.sgml**: 20230403

**ACCESSION NUMBER**: 0001878049-23-000001

**CONFORMED SUBMISSION TYPE**: MA-A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230328

**DATE AS OF CHANGE**: 20230403

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** BNY Mellon Capital Markets, LLC
- **CENTRAL INDEX KEY:** 0001610028
- **IRS NUMBER:** 232384977
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA-A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-01292
- **FILM NUMBER:** 23792950

**BUSINESS ADDRESS:**
- **STREET 1:** 240 GREENWICH STREET
- **STREET 2:** 3RD FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10286
- **BUSINESS PHONE:** 212-815-3427

**MAIL ADDRESS:**
- **STREET 1:** 240 GREENWICH STREET
- **STREET 2:** 3RD FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10286

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0001610028

**Filer CCC:** XXXXXXXX

**Contact Name:** Richard Izzo

**Contact Phone:** 212-815-3427

**Contact Email:** richard.izzo@bnymellon.com

**Notification Emails:** anthony.valente@bnymellon.com, Richard.Izzo@bnymellon.com, Rosemary.Francavilla@bnymellon.com

### Type of Filing

**Selected Filing Type:** Annual Update

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** BNY Mellon Capital Markets, LLC

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 17454

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 23-2384977

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-00538-00

- **Municipal Advisor:** SEC File No: 867-01292

- **Broker-Dealer:** SEC File No: 008-35255, CRD No: 17454

**E. Principal Office and Place of Business:** 240 Greenwich Street, NEW YORK, NY, 10286

**Telephone Number:** 212-815-3427

**Additional Offices of Employment:**

- **Office #1 (Add):** BNY Mellon Center, 500 Grant Street, 151-0410, Pittsburgh, PA, 15258 | Phone: 412-234-4033

- **Office #2 (Add):** 50 Fremont Street, 18th floor, San Francisco, CA, 94105 | Phone: 212-815-7014

**Mailing Address is Different from Principal Office:** No

**F. Website:** www.BNYMellon.com

**G. Chief Compliance Officer (CCO):**

**Name:** Carlesimo Alicia Sara

**Titles:** Chief Compliance Officer

**Address:** 240 Greenwich Street, 3rd Floor, New York, NY, 10286

**Phone Number:** 212-815-2959

**Email:** sara.carlesimo@bnymellon.com

**H. Business Affiliates:**

- **Name:** THE DREYFUS CORPORATION

  - **Issuing Agency:** FINRA

  - **Jurisdiction:** 

- **Name:** NEWTON INVESTMENT MANAGEMENT (North America) LTD

  - **Issuing Agency:** SEC

  - **Jurisdiction:** X0

- **Name:** LOCKWOOD ADVISORS INC

  - **Issuing Agency:** FINRA

  - **Jurisdiction:** 

- **Name:** PERSHING LLC

  - **Issuing Agency:** FINRA

  - **Jurisdiction:** 

- **Name:** ALCENTRA NY, LLC

  - **Issuing Agency:** FINRA

  - **Jurisdiction:** 

- **Name:** PERSHING ADVISOR SOLUTIONS LLC

  - **Issuing Agency:** FINRA

  - **Jurisdiction:** 

- **Name:** MELLON INVESTMENTS CORPORATION

  - **Issuing Agency:** FINRA

  - **Jurisdiction:** 

- **Name:** MELLON HEDGE ADVISORS

  - **Issuing Agency:** FINRA

  - **Jurisdiction:** 

- **Name:** INSIGHT INVESTMENT INTERNATIONAL LIMITED (#107095)

  - **Issuing Agency:** SEC

  - **Jurisdiction:** X0

- **Name:** WALTER SCOTT & PARTNERS LIMITED

  - **Issuing Agency:** SEC

  - **Jurisdiction:** X0

- **Name:** BNY MELLON INVESTMENT MANAGEMENT AUSTRALIA LTD.

  - **Issuing Agency:** Austrailian Securities and Investments Commission (ASIC)

  - **Jurisdiction:** C3

- **Name:** BNY MARKETS LIMITED

  - **Issuing Agency:** Financial Conduct Authority (FCA)

  - **Jurisdiction:** X0

- **Name:** PERSHING SECURITIES LIMITED

  - **Issuing Agency:** Financial Services Authority (FSA)

  - **Jurisdiction:** X0

- **Name:** PERSHING SECURITIES INTERNATIONAL LIMITED

  - **Issuing Agency:** Financial Services Authority (FSA)

  - **Jurisdiction:** X0

- **Name:** PERSHING LIMITED

  - **Issuing Agency:** Financial Services Authority (FSA)

  - **Jurisdiction:** X0

- **Name:** BNY MELLON ASSET MANAGEMENT CANADA LIMITED

- **Name:** BNY MELLON INVESTMENT MANAGEMENT EMEA LIMITED

- **Name:** BNY MELLON SECURITIES CORPORATION

  - **Issuing Agency:** FINRA

  - **Jurisdiction:** 

- **Name:** BNY MELLON INVESTMENT MANAGEMENT HONG KONG LIMITED

- **Name:** BNY MELLON SERVICOS FINANCEIROS DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS (DTVM) S.A.

- **Name:** INSIGHT NORTH AMERICA LLC (#145995)

  - **Issuing Agency:** FINRA

  - **Jurisdiction:** 

- **Name:** PERSHING SECURITIES CANADA LIMITED

- **Name:** PERSHING SECURITIES AUSTRALIA PTY LTD

- **Name:** PERSHING (CHANNEL ISLANDS) LIMITED

- **Name:** PERSHING SECURITIES SINGAPORE PRIVATE LIMITED

- **Name:** ALCENTRA LIMITED

  - **Issuing Agency:** SEC

  - **Jurisdiction:** X0

- **Name:** BNY MELLON ASSET MANAGEMENT JAPAN LIMITED

  - **Issuing Agency:** SEC

  - **Jurisdiction:** M0

- **Name:** BNY INVESTMENT STRATEGY AND SOLUTIONS GROUP, LLC

  - **Issuing Agency:** SEC

  - **Jurisdiction:** 

- **Name:** BNY MELLON WEALTH MANAGEMENT, ADVISORY SERVICES, INC.

  - **Issuing Agency:** CANADA

  - **Jurisdiction:** Z4

- **Name:** BNY MELLON INVESTMENTS SWITZERLAND GMBH

- **Name:** BNY MELLON INVESTMENT MANAGEMENT (SHANGHAI) LIMITED

  - **Issuing Agency:** The China Securities Regulatory Commission

  - **Jurisdiction:** F4

- **Name:** BNY MELLON ETF INVESTMENT ADVISER, LLC

  - **Issuing Agency:** SEC

  - **Jurisdiction:** 

- **Name:** BNY MELLON INVESTMENT MANAGEMENT CAYMAN LTD

  - **Issuing Agency:** CAYMAN ISLANDS MONETARY AUTHORITY

  - **Jurisdiction:** E9

- **Name:** BNY MELLON INVESTMENT MANAGEMENT JAPAN LIMITED

  - **Issuing Agency:** THE FINANCIAL SERVICES AGENCY

  - **Jurisdiction:** M0

- **Name:** BNY MELLON INVESTMENT ADVISER INC.

  - **Issuing Agency:** SEC

  - **Jurisdiction:** 

**I. Location of Books and Records:** Yes

### Item 2: Form of Organization

**A. Applicant's form of organization:** Limited Liability Company (LLC)

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** DE

**D. Date of Organization:** 12-29-1999

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 67

**B. Municipal Advisory Activities - Employees:** 14

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 14

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 0

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 4

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities, Non-profit organizations, Corporations or other businesses

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Hourly Charges
Fixed Fees
Contingent Fees
Other
, Hourly Charges, Fixed Fees, Contingent Fees, Other

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** Yes

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice Investment Of Proceeds MS, Advice ME Investments, Advice ME Other Investments, Advice Guaranteed IC, Advice Use Of MD, Advice On Selection, Brokerage Of MEI, Other

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

**Is applicant engaged in any other non-municipal advisor business?** Yes

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Swap Dealer, Banking/Thrift institution, Trust Company, Broker-dealer municipal securities dealer or government securities broker or dealer, Swap Dealer, Banking/Thrift institution, Trust Company, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Investment Adviser, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Investment Adviser, Investment Adviser, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer

**Total Associated Persons:** 41

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** Yes

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** Yes

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** Yes

- **Recommend to clients products/services of an affiliated person?:** Yes

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** Yes

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** Yes

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** Yes

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** Yes

- **Applicant/Advisory Affiliate Charged with Felony?:** Yes

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** Yes

- **SEC/CFTC Found Violation?:** Yes

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** Yes

- **SEC/CFTC Imposed Civil Penalty?:** Yes

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** Yes

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** Yes

- **SRO Denied/Suspended/Revoked Registration?:** Yes

- **Foreign Authority Found False Statement?:** Yes

- **Foreign Authority Found Violation?:** Yes

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** Yes

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** Yes

- **Found to Have Violated Regulations?:** Yes

- **Civil Proceeding Dismissed Pursuant to Settlement?:** Yes

- **Named in Civil Proceeding Alleging Violation?:** Yes

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** Yes

### Schedule A: Direct Owners and Executive Officers

| Name                               | Title/Status                                      | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| BNY CAPITAL MARKETS HOLDINGS, INC. | SOLE SHAREHOLDER                                  | 04-01-2008      | E - 75% or more   | Yes               | 13-3878172   |  |
| DANIEL ADAM KLINGER                | BOARD OF MANAGERS                                 | 03-01-2008      | NA - less than 5% | Yes               |  | 2983871      |
| JOHN J CONWAY                      | BOARD OF MANAGERS, CHIEF FINANCIAL OFFICER (CFO)  | 07-03-2017      | NA - less than 5% | Yes               |  | 1584619      |
| ROBERT E LYNCH                     | BOARD OF MANAGERS / CO-CEO                        | 06-22-2018      | NA - less than 5% | Yes               |  | 2981333      |
| TANYA NAVAR STERN                  | BOARD OF MANAGERS, CHIEF COMPLIANCE OFFICER (CCO) | 05-01-2020      | NA - less than 5% | No                |  | 6110022      |
| FREDERIC CHARLES GOODWIN IV        | BOARD OF MANAGERS                                 | 08-01-2021      | NA - less than 5% | Yes               |  | 2339823      |
| AMY ELIZABETH FLYNN                | BOARD OF MANAGERS / CO-CEO                        | 10-17-2022      | NA - less than 5% | Yes               |  | 3167010      |
| ROBERT PHILIP BARYSH               | COO                                               | 07-18-2022      | NA - less than 5% | Yes               |  | 2800329      |

### Schedule B: Indirect Owners

| Owning Entity                      | Name                                    | Title/Status                                                              | Date Acquired   | Ownership Code   | Control Person?   | IRS Number   |
|:---|:---|:---|:---|:---|:---|:---|
| BNY CAPITAL MARKETS HOLDINGS, INC. | THE BANK OF NEW YORK MELLON CORPORATION | SOLE SHAREHOLDER OF APPLICANTS PARENT, BNY CAPITAL MARKETS HOLDINGS, INC. | 09-01-1996      | E - 75% or more  | Yes               | 13-2614959   |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity                      | Name                                    | Title/Status                                                              | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | BNY CAPITAL MARKETS HOLDINGS, INC.      | SOLE SHAREHOLDER                                                          | 04-01-2008      | E - 75% or more   | Yes               | 13-3878172   |  |
|  | Indirect    | BNY CAPITAL MARKETS HOLDINGS, INC. | THE BANK OF NEW YORK MELLON CORPORATION | SOLE SHAREHOLDER OF APPLICANTS PARENT, BNY CAPITAL MARKETS HOLDINGS, INC. | 09-01-1996      | E - 75% or more   | Yes               | 13-2614959   |  |
|  | Direct      |  | DANIEL ADAM KLINGER                     | BOARD OF MANAGERS                                                         | 03-01-2008      | NA - less than 5% | Yes               |  | 2983871      |
|  | Direct      |  | JOHN J CONWAY                           | BOARD OF MANAGERS, CHIEF FINANCIAL OFFICER (CFO)                          | 07-03-2017      | NA - less than 5% | Yes               |  | 1584619      |
|  | Direct      |  | ROBERT E LYNCH                          | BOARD OF MANAGERS / CO-CEO                                                | 06-22-2018      | NA - less than 5% | Yes               |  | 2981333      |
| Delete | Direct      |  | TANYA NAVAR STERN                       | BOARD OF MANAGERS, CHIEF COMPLIANCE OFFICER (CCO)                         | 05-01-2020      | NA - less than 5% | No                |  | 6110022      |
|  | Direct      |  | FREDERIC CHARLES GOODWIN IV             | BOARD OF MANAGERS                                                         | 08-01-2021      | NA - less than 5% | Yes               |  | 2339823      |
| Delete | Direct      |  | AMY ELIZABETH FLYNN                     | BOARD OF MANAGERS / CO-CEO                                                | 10-17-2022      | NA - less than 5% | Yes               |  | 3167010      |
|  | Direct      |  | ROBERT PHILIP BARYSH                    | COO                                                                       | 07-18-2022      | NA - less than 5% | Yes               |  | 2800329      |
| NewAdd | Direct      |  | DRAGAN NMI SKOKO                        | BOARD OF MANAGERS, CO-CEO                                                 | 03-01-2023      | NA - less than 5% | Yes               |  | 4394961      |
| NewAdd | Direct      |  | SARA ALICIA CARLESIMO                   | BOARD OF MANAGERS, CCO                                                    | 01-01-2023      | NA - less than 5% | Yes               |  | 5847486      |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

- **CRD Number:** 17454

- **Disclosure Number:** 1685894

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

- **CRD Number:** 17454

- **Disclosure Number:** 1599423

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

- **CRD Number:** 17454

- **Disclosure Number:** 1568194

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

- **CRD Number:** 17454

- **Disclosure Number:** 1529873

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

- **CRD Number:** 17454

- **Disclosure Number:** 1529872

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

- **CRD Number:** 17454

- **Disclosure Number:** 1529871

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

- **CRD Number:** 17454

- **Disclosure Number:** 1529870

**Regulatory DRP for: Applicant (Responding to Questions: 9-E1, 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

- **CRD Number:** 17454

- **Disclosure Number:** 1452371

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

- **CRD Number:** 17454

- **Disclosure Number:** 1437671

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

- **CRD Number:** 17454

- **Disclosure Number:** 706234

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

- **CRD Number:** 17454

- **Disclosure Number:** 120985

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 17454

  - **Filed On (AP):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

  - **Disclosure Number:** 1617604

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 17454

  - **Filed On (AP):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

  - **Disclosure Number:** 1566528

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

- **CRD Number:** 17454

- **Disclosure Number:** 1542813

  - **Associated Person:** —

  - **CRD Number:** 17454

  - **Filed On (AP):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

  - **Disclosure Number:** 1542813

  - **Associated Person:** —

  - **CRD Number:** 17454

  - **Filed On (AP):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

  - **Disclosure Number:** 1542813

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 17454

  - **Filed On (AP):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

  - **Disclosure Number:** 1445307

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 17454

  - **Filed On (AP):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

  - **Disclosure Number:** 1363772

**Regulatory DRP for: Applicant (Responding to Questions: 9-C1, 9-C2, 9-C4, 9-C5, 9-D2, 9-D4, 9-D5, 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 17454

  - **Filed On (AP):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

  - **Disclosure Number:** 1363770

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 17454

  - **Filed On (AP):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

  - **Disclosure Number:** 001363768

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 17454

  - **Filed On (AP):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

  - **Disclosure Number:** 1363767

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 17454

  - **Filed On (AP):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

  - **Disclosure Number:** 1363766

**Regulatory DRP for: Applicant (Responding to Questions: 9-C1, 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 17454

  - **Filed On (AP):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

  - **Disclosure Number:** 1362031

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 17454

  - **Filed On (AP):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

  - **Disclosure Number:** 1242977

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

- **CRD Number:** 17454

- **Disclosure Number:** 1723099

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

- **CRD Number:** 17454

- **Disclosure Number:** 1734296

**Regulatory DRP for: Applicant (Responding to Questions: 9-D5, 9-E4)**

  - **Associated Person:** —

  - **CRD Number:** 37214

  - **Filed On (AP):** Form ADV/BD/U4 for CUTWATER ASSET MANAGEMENT

  - **Disclosure Number:** 1752156

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

- **CRD Number:** 17454

- **Disclosure Number:** 1784098

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

- **CRD Number:** 17454

- **Disclosure Number:** 1786684

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 17454

  - **Filed On (AP):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

  - **Disclosure Number:** 1774422

  - **Associated Person:** —

  - **CRD Number:** 17454

  - **Filed On (AP):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

  - **Disclosure Number:** 1774422

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

- **CRD Number:** 17454

- **Disclosure Number:** 1823344

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 17454

  - **Filed On (AP):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

  - **Disclosure Number:** 1829913

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

- **CRD Number:** 17454

- **Disclosure Number:** 1852926

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

- **CRD Number:** 17454

- **Disclosure Number:** 1869103

**Regulatory DRP for: Applicant (Responding to Questions: 9-C1, 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 17454

  - **Filed On (AP):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

  - **Disclosure Number:** 1888808

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BNY Mellon Capital Markets LLC

- **CRD Number:** 17454

- **Disclosure Number:** 1903376

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BNY Mellon Capital Markets, LLC

- **CRD Number:** 17454

- **Disclosure Number:** 1903280

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BNY MELLON CAPITAL MARKETS, LLC

- **CRD Number:** 17454

- **Disclosure Number:** 1941309

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 17454

  - **Filed On (AP):** Form ADV/BD/U4 for BNY Mellon Capital Markets, LLC

  - **Disclosure Number:** 1940417

**Regulatory DRP for: Applicant (Responding to Questions: 9-C3, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 17454

  - **Filed On (AP):** Form ADV/BD/U4 for BNY Mellon Capital Markets, LLC

  - **Disclosure Number:** 1920796

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 17454

  - **Filed On (AP):** Form ADV/BD/U4 for BNY Mellon Capital Markets, LLC

  - **Disclosure Number:** 1942783

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 17454

  - **Filed On (AP):** Form ADV/BD/U4 for BNY Mellon Capital Markets, LLC

  - **Disclosure Number:** 1962569

  - **Associated Person:** —

  - **CRD Number:** 17454

  - **Filed On (AP):** Form ADV/BD/U4 for BNY Mellon Capital Markets, LLC

  - **Disclosure Number:** 1962569

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 17454

  - **Filed On (AP):** Form ADV/BD/U4 for BNY Mellon Capital Markets, LLC

  - **Disclosure Number:** 1996622

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 17454

  - **Filed On (AP):** Form ADV/BD/U4 for BNY Mellon Capital Markets, LLC

  - **Disclosure Number:** 2011581

**Regulatory DRP for: Applicant (Responding to Questions: 9-C1, 9-C2, 9-C4)**

  - **Associated Person:** —

  - **CRD Number:** 17454

  - **Filed On (AP):** Form ADV/BD/U4 for BNY Mellon Capital Markets, LLC

  - **Disclosure Number:** 2023608

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 17454

  - **Filed On (AP):** Form ADV/BD/U4 for BNY Mellon Capital Markets, LLC

  - **Disclosure Number:** 2049996

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2, 9-E4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BNY Mellon Capital Markets, LLC

- **CRD Number:** 17454

- **Disclosure Number:** 2078625

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 17454

  - **Filed On (AP):** Form ADV/BD/U4 for BNY Mellon Capital Markets, LLC

  - **Disclosure Number:** 2079557

**Regulatory DRP for: Applicant (Responding to Questions: 9-G)**

  - **Associated Person:** —

  - **CRD Number:** 17454

  - **Filed On (AP):** Form ADV/BD/U4 for BNY Mellon Capital Markets, LLC

  - **Disclosure Number:** 1586705

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 283267

  - **Filed On (AP):** Form ADV/BD/U4 for BNY MELLON FUND MANAGEMENT (LUXEMBOURG) S.A

  - **Disclosure Number:** 2124686

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BNY Mellon Capital Markets, LLC

- **CRD Number:** 17454

- **Disclosure Number:** 2228618

**Regulatory DRP for: Applicant (Responding to Questions: 9-C1, 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 105642

  - **Filed On (AP):** Form ADV/BD/U4 for BNY MELLON INVESTMENT ADVISER INC.

  - **Disclosure Number:** 59113748

### Execution Page

**Signature:** RICHARD IZZO

**Signer Name:** RICHARD IZZO

**Title:** DIRECTOR, BNY MELLON

**Date:** 03-28-2023

**CRD Number:** 17454