# EDGAR Filing Document

**Accession Number:** 0000764116
**File Stem:** 0000764116-23-000001
**Filing Date:** 2023-1
**Character Count:** 90622
**Document Hash:** 79d1337e8ef4fff5c1840fd14d494025
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000764116-23-000001.hdr.sgml**: 20230210

**ACCESSION NUMBER**: 0000764116-23-000001

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

**PUBLIC DOCUMENT COUNT**: 4

**FILED AS OF DATE**: 20230124

**DATE AS OF CHANGE**: 20230210

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** TRUIST BANK /NC/
- **CENTRAL INDEX KEY:** 0000764116
- **IRS NUMBER:** 561074313
- **STATE OF INCORPORATION:** NC
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SBSE-A/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 026-00155
- **FILM NUMBER:** 23608633

**BUSINESS ADDRESS:**
- **STREET 1:** 214 NORTH TRYON STREET
- **CITY:** CHARLOTTE
- **STATE:** NC
- **ZIP:** 28202
- **BUSINESS PHONE:** 3367332000

**MAIL ADDRESS:**
- **STREET 1:** 214 NORTH TRYON STREET
- **CITY:** CHARLOTTE
- **STATE:** NC
- **ZIP:** 28202

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** BRANCH BANKING & TRUST CO /NC/
- **DATE OF NAME CHANGE:** 19990325

### Attached PDF Documents

**Attachment 1:** `truistbankform7r.pdf`

# National Futures Association

Firm Application (7R) Filed August 16, 2019

Page 1

**OMB Numbers** 3038-0023 and 3038-0072

**NFA ID** 0480723 BRANCH BANKING AND TRUST COMPANY

**Submitted By** BLAIRJ1 JEANNA BLAIR

## 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.**

**THE FAILURE TO DISCLOSE A DISCIPLINARY MATTER EITHER IN AN APPLICATION OR AN UPDATE WILL RESULT IN THE IMPOSITION OF A LATE DISCLOSURE FEE IN ACCORDANCE WITH NFA REGISTRATION RULE 210(c).**

### 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 Investigations or Legal ('RIL') staff) 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 RIL 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,

# National Futures Association

Firm Application (7R) Filed August 16, 2019

Page 2

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0480723 BRANCH BANKING AND TRUST COMPANY

Submitted By BLAIRJ1 JEANNA BLAIR

including denial or revocation of registration.

Compliance with Disclosure Requirements of Another Regulatory Body is not Sufficient

With some exceptions, which are described below in the Regulatory and Financial Disclosures 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 (800) 621-3570 or (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

# National Futures Association

Firm Application (7R) Filed August 16, 2019

Page 3

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0480723 BRANCH BANKING AND TRUST COMPANY

Submitted By BLAIRJ1 JEANNA BLAIR

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 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 August 16, 2019

Page 4

**OMB Numbers** 3038-0023 and 3038-0072

**NFA ID** 0480723 BRANCH BANKING AND TRUST COMPANY

**Submitted By** BLAIRJ1 JEANNA BLAIR

## 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 entity's stock; entitlement to vote or empowered to sell 10% or more of an entity's voting securities; contribution of 10% or more of an entity's capital; or entitlement to 10% or more of an entity'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.

**ENTITY:** any person other than an individual.

**ENTITY FLOOR TRADER:** an applicant that files or registrant that filed a Form 7-R to apply for

# National Futures Association

Firm Application (7R) Filed August 16, 2019

Page 5

**OMB Numbers** 3038-0023 and 3038-0072

**NFA ID** 0480723 BRANCH BANKING AND TRUST COMPANY

**Submitted By** BLAIRJ1 JEANNA BLAIR

registration as a floor trader.

**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.

**FLOOR TRADER ORDER ENTERER:** an individual responsible for entry of orders from an Entity Floor Trader's own account.

**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.

**INDIRECT OWNER:** an individual who through agreement, holding companies, nominees, trusts or otherwise:

- is the owner of 10% or more of the outstanding shares of any class of an entity's equity securities, other than non-voting securities;
- is entitled to vote 10% or more of the outstanding shares of any class of an entity's equity securities, other than non-voting securities;
- has the power to sell or direct the sale of 10% or more of the outstanding shares of any class of an entity's equity securities, other than non-voting securities;
- is entitled to receive 10% or more of an entity's net profits; or
- has the power to exercise a controlling influence over an entity's activities that are subject to regulation by the Commission.

**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

# National Futures Association

Firm Application (7R) Filed August 16, 2019

Page 6

**OMB Numbers** 3038-0023 and 3038-0072

**NFA ID** 0480723 BRANCH BANKING AND TRUST COMPANY

**Submitted By** BLAIRJ1 JEANNA BLAIR

- 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.

**NON-U.S. NATURAL PERSON:** an individual who has not resided in the U.S. since reaching the age of 18 years.

**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.

**OUTSIDE DIRECTOR:** an individual who is director of an applicant or registrant and who:

- is not an officer or employee of the applicant or registrant;
- is not engaged in or have direct supervisory responsibility over persons engaged in the solicitation of
  - or acceptance of customers' orders or retail forex customers' orders;
  - funds, securities or property for participation in a commodity pool;
  - a client's or prospective client's discretionary account;
  - leverage customers' orders for leverage transactions;
  - or acceptance of a swap agreement; or
- does not regularly have access to the keeping, handling or processing of:
  - transactions involving "commodity interests", as that term is defined in CFTC Regulation

# National Futures Association

Firm Application (7R) Filed August 16, 2019

Page 7

**OMB Numbers** 3038-0023 and 3038-0072

**NFA ID** 0480723 BRANCH BANKING AND TRUST COMPANY

**Submitted By** BLAIRJ1 JEANNA BLAIR

1.3(yy);

- customer funds, retail forex customer funds, leverage customer funds, foreign futures or foreign options secured amount, or adjusted net capital.

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

**PRINCIPAL** - means, with respect to an applicant, a registrant, or a person required to be registered under the Act:

(1) an individual who is:

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

(2) 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 an applicant or registrant's equity securities, other than non-voting securities;
- is entitled to vote 10% or more of the outstanding shares of any class of an applicant or registrant's equity securities, other than non-voting securities;
- has the power to sell or direct the sale of 10% or more of the outstanding shares of any class of an applicant or registrant's equity securities, other than non-voting securities;
- is entitled to receive 10% or more of an applicant or registrant's net profits; or
- has the power to exercise a controlling influence over an applicant or registrant's activities that are subject to regulation by the Commission; or

(3) an entity that:

- is a general partner of a partnership; or
- is the direct owner of 10% or more of the outstanding shares of any class of an applicant or registrant's equity securities, other than non-voting securities; or

(4) an individual who or an entity that:

# National Futures Association

Firm Application (7R) Filed August 16, 2019

Page 8

**OMB Numbers** 3038-0023 and 3038-0072

**NFA ID** 0480723 BRANCH BANKING AND TRUST COMPANY

**Submitted By** BLAIRJ1 JEANNA BLAIR

- has contributed 10% or more of an applicant or registrant's capital unless such capital contribution consists of subordinated debt contributed by:
  - an unaffiliated bank insured by the Federal Deposit Insurance Corporation;
  - an unaffiliated "foreign bank," as defined in 12 CFR 211.21(n) that currently operates an "office of a foreign bank," as defined in 12 CFR 211.21(t), which is licensed under 12 CFR 211.24(a);
  - such office of an unaffiliated, licensed foreign bank; or
  - an insurance company subject to regulation by any State,
provided such debt is not guaranteed by an individual who or entity that is not a principal of the applicant or registrant.

For the purpose of answering Questions A, B, C, D, E, F, G, I and K of the Disciplinary Information sections, PRINCIPAL also means an individual described in (1), (2) or (4) above with respect to any entity whether or not the entity is an applicant, registrant, or a person required to be registered under the Act.

**SELF-REGULATORY ORGANIZATION (SRO):** a private, non-governmental organization authorized to set and enforce standards of 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 August 16, 2019

Page 9

**OMB Numbers** 3038-0023 and 3038-0072

**NFA ID** 0480723 BRANCH BANKING AND TRUST COMPANY

**Submitted By** BLAIRJ1 JEANNA BLAIR

## Privacy Act and Paperwork Reduction Act Notice

### Privacy 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 2(c), 4f, 4k, 4n, 4s, 8a and 19 of the Commodity Exchange Act, 7 U.S.C. §§ 2(c), 6f, 6k, 6n, 6s, 12a and 23. Under Section 2(c), 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 conducting 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

# National Futures Association

Firm Application (7R) Filed August 16, 2019

Page 10

**OMB Numbers** 3038-0023 and 3038-0072

**NFA ID** 0480723 BRANCH BANKING AND TRUST COMPANY

**Submitted By** BLAIRJ1 JEANNA BLAIR

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.

With the exception of the social security number and Federal employer identification number, all information in Forms 8-R and 8-T must be furnished. Disclosure of the social security number and 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, which allows the CFTC to use the social security number or taxpayer identifying number furnished to the CFTC as part of the registration process for purposes of collecting and reporting on any debt owed to the U.S. Government, including civil monetary penalties. Although voluntary, the furnishing of a social security number or Federal employer identification number 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.

NFA makes available to the public on NFA website(s), including the Background Affiliation Status Information Center (BASIC), firm directories, business addresses, telephone numbers, registration categories, effective dates of registration, registration status, and disciplinary action taken concerning futures commission merchants, introducing brokers, commodity pool operators, commodity trading advisors, swap dealers, major swap participants and retail foreign exchange dealers and their associated persons and principals; non-natural person floor traders and their principals; and floor trader order enterers.

Additional information on Forms 7-R, 7-W, 8-R and 8-T is publicly available, and may be accessed by contacting the National Futures Association, Registration Department, Suite 1800, 300 S. Riverside Plaza, Chicago, IL 60606-6615, except for the following information, which is generally not available for public release unless required under the Freedom of Information Act (FOIA):

- The fingerprint card, including its demographic information;
- social security number;
- date of birth;
- location of birth;
- current residential address; and
- any supplementary information filed in response to the Form 8-R "Personal Information,"

# National Futures Association

Firm Application (7R) Filed August 16, 2019

Page 11

**OMB Numbers** 3038-0023 and 3038-0072

**NFA ID** 0480723 BRANCH BANKING AND TRUST COMPANY

**Submitted By** BLAIRJ1 JEANNA BLAIR

'Disciplinary Information,' 'Matter Information,' or 'Disclosure Matter' sections, Form 8-T 'Withdrawal Reasons,' 'Disciplinary Information,' or 'Matter Information' sections, and Form 7-W, 'Additional Customer Information' sections.

The CFTC, or NFA acting in accordance with rules approved by the CFTC, may disclose to third parties any information provided on Forms 7-R, 7-W, 8-R and 8-T pursuant to the Commodity Exchange Act, 7 U.S.C. §1 et. seq., Privacy Act of 1974, 5 U.S.C. §552a (Privacy Act), and the Commission's Privacy Act routine uses published in the Federal Register, which may include, but is not limited to, disclosure to Federal, state, local, or foreign law enforcement or regulatory authorities acting within the scope of their jurisdiction or for their use in meeting responsibilities assigned to them by law. The information will be maintained and disclosures will be made in accordance with CFTC Privacy Act System of Records Notice CFTC-12, National Futures Association (NFA) Applications Suite System (Exempted), CFTC-10, Investigatory Records (Exempted), or another relevant System of Records Notice, available from the CFTC 'Privacy Program' page, http://www.cftc.gov/Transparency/PrivacyOffice.

If an individual believes that information on the forms is confidential, the individual may petition the CFTC, pursuant to 17 CFR 145.9, to treat such information as confidential in response to requests under FOIA. 5 U.S.C. §552. The filing of a petition for confidential treatment, however, does not guarantee that the information will be treated confidentially in response to a FOIA request. 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.

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. 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 published System of Records Notices, which describe the existence and character of each system of records maintained by the CFTC, available at the CFTC 'Privacy Program' page.

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.

Paperwork Reduction Act Notice

OMB Numbers 3038-0023 and 3038-0072

You are not required to provide the information requested on a form subject to the Paperwork

# National Futures Association

Firm Application (7R) Filed August 16, 2019

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OMB Numbers 3038-0023 and 3038-0072

NFA ID 0480723 BRANCH BANKING AND TRUST COMPANY

Submitted By BLAIRJ1 JEANNA BLAIR

Reduction Act unless the form displays a valid OMB Control Number.

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

Form 7-R

| FCM | 0.6 hours |
| --- | --- |
| SD | 1.1 hours |
| MSP | 1.1 hours |
| RFED | 0.6 hours |
| IB | 0.5 hours |
| CPO | 0.5 hours |
| CTA | 0.5 hours |
| FT | 0.6 hours |

Form 7-W 0.1 hours

Form 8-R 1.0 hours

Form 8-T 0.2 hours.

# National Futures Association

Firm Application (7R) Filed August 16, 2019

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OMB Numbers 3038-0023 and 3038-0072

NFA ID 0480723 BRANCH BANKING AND TRUST COMPANY

Submitted By BLAIRJ1 JEANNA BLAIR

## Registration Categories

NFA MEMBER

SWAP DEALER

## Membership Information

Not applicable.

# National Futures Association

Firm Application (7R) Filed August 16, 2019

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OMB Numbers 3038-0023 and 3038-0072

NFA ID 0480723 BRANCH BANKING AND TRUST COMPANY

Submitted By BLAIRJ1 JEANNA BLAIR

## Business Information

Business Address 200 WEST SECOND STREET
WINSTON SALEM, NORTH CAROLINA 27101
UNITED STATES

Phone Number 804-787-8247

Fax Number Not provided.

E-mail Address CCORDLE@BBTSECURITIES.COM

Website / URL WWW.BBT.COM

Federal EIN 56-0939887

CRD ID Not provided.

Form of Organization CORPORATION

Location NORTH CAROLINA, UNITED STATES

Other Names BB&T
DBA IN USE

# National Futures Association

Firm Application (7R) Filed August 16, 2019

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OMB Numbers 3038-0023 and 3038-0072

NFA ID 0480723 BRANCH BANKING AND TRUST COMPANY

Submitted By BLAIRJ1 JEANNA BLAIR

## Location of Business Records

Business Records Address

200 WEST SECOND STREET
WINSTON-SALEM, NC 27101
UNITED STATES

# National Futures Association

Firm Application (7R) Filed August 16, 2019

Page 16

**OMB Numbers** 3038-0023 and 3038-0072

**NFA ID** 0480723 BRANCH BANKING AND TRUST COMPANY

**Submitted By** BLAIRJ1 JEANNA BLAIR

## Holding Company Information

Name: BB&T CORPORATION
10% or more interest? YES

# National Futures Association

Firm Application (7R) Filed August 16, 2019

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OMB Numbers 3038-0023 and 3038-0072

NFA ID 0480723 BRANCH BANKING AND TRUST COMPANY

Submitted By BLAIRJ1 JEANNA BLAIR

## Regulator Information

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

None.

### U.S. Regulator(s)

THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM
THE FEDERAL DEPOSIT INSURANCE CORPORATION

# National Futures Association

Firm Application (7R) Filed August 16, 2019

Page 18

**OMB Numbers** 3038-0023 and 3038-0072

**NFA ID** 0480723 BRANCH BANKING AND TRUST COMPANY

**Submitted By** BLAIRJ1 JEANNA BLAIR

## 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 August 16, 2019

Page 19

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0480723 BRANCH BANKING AND TRUST COMPANY

Submitted By BLAIRJ1 JEANNA BLAIR

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 August 16, 2019

Page 20

**OMB Numbers** 3038-0023 and 3038-0072

**NFA ID** 0480723 BRANCH BANKING AND TRUST COMPANY

**Submitted By** BLAIRJ1 JEANNA BLAIR

## 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:

NO

- 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?

YES

# National Futures Association

Firm Application (7R) Filed August 16, 2019

Page 21

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0480723 BRANCH BANKING AND TRUST COMPANY

Submitted By BLAIRJ1 JEANNA BLAIR

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 August 16, 2019

Page 22

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0480723 BRANCH BANKING AND TRUST COMPANY

Submitted By BLAIRJ1 JEANNA BLAIR

## 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? NO

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? N/A

# National Futures Association

Firm Application (7R) Filed August 16, 2019

Page 23

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0480723 BRANCH BANKING AND TRUST COMPANY

Submitted By BLAIRJ1 JEANNA BLAIR

## Contact Information

Registration Contact

JEANNA BLAIR

COMPLIANCE MANAGER

200 S COLLEGE STREET

11TH FLOOR

CHARLOTTE, NC 28202

UNITED STATES

Phone: 704-954-1388

Fax: 704-954-1339

E-mail: JBLAIR@BBANDT.COM

Membership Contact

TREY CORDLE

SR. COMPLIANCE MANAGER

901 EAST BYRD STREET

STE 200

RICHMOND, VA 23219

UNITED STATES

Phone: 804-787-8247

E-mail: CCORDLE@BBTSECURITIES.COM

Accounting Contact

CINDY POWELL

CORPORATE CONTROLLER

101 N CHERRY STREET

STE 3

WINSTON-SALEM, NC 27101

UNITED STATES

Phone: 336-733-3913

Fax: 336-733-0118

E-mail: CBPOWELL@BBANDT.COM

# National Futures Association

Firm Application (7R) Filed August 16, 2019

Page 24

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0480723 BRANCH BANKING AND TRUST COMPANY

Submitted By BLAIRJ1 JEANNA BLAIR

### Arbitration Contact

TREY CORDLE

SR. COMPLIANCE MANAGER

901 EAST BYRD STREET

STE. 200

RICHMOND, VA 23219

UNITED STATES

Phone: 804-787-8247

E-mail: CCORDLE@BBTSECURITIES.COM

### Compliance Contact

TREY CORDLE

SR. COMPLIANCE MANAGER

901 EAST BYRD STREET

STE. 200

RICHMOND, VA 23219

UNITED STATES

Phone: 804-787-8247

E-mail: CCORDLE@BBTSECURITIES.COM

### Chief Compliance Officer

ALEX CECIL

CHIEF COMPLIANCE OFFICER

901 EAST BYRD STREET

STE 200

RICHMOND, VA 23219

UNITED STATES

Phone: 804-787-8242

E-mail: ACECIL@BBTSECURITIES.COM

# National Futures Association

Firm Application (7R) Filed August 16, 2019

Page 25

**OMB Numbers** 3038-0023 and 3038-0072

**NFA ID** 0480723 BRANCH BANKING AND TRUST COMPANY

**Submitted By** BLAIRJ1 JEANNA BLAIR

## Enforcement/Compliance Communication Contact

TREY CORDLE  
SR. COMPLIANCE MANAGER  
901 EAST BYRD STREET  
STE 200  
RICHMOND, VA 23219  
UNITED STATES  
Phone: 804-787-8247  
E-mail: CCORDLE@BBTSECURITIES.COM

# National Futures Association

Firm Application (7R) Filed August 16, 2019

Page 26

**OMB Numbers** 3038-0023 and 3038-0072

**NFA ID** 0480723 BRANCH BANKING AND TRUST COMPANY

**Submitted By** BLAIRJ1 JEANNA BLAIR

## 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 August 16, 2019

Page 27

**OMB Numbers** 3038-0023 and 3038-0072

**NFA ID** 0480723 BRANCH BANKING AND TRUST COMPANY

**Submitted By** BLAIRJ1 JEANNA BLAIR

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 August 16, 2019

Page 28

**OMB Numbers** 3038-0023 and 3038-0072

**NFA ID** 0480723 BRANCH BANKING AND TRUST COMPANY

**Submitted By** BLAIRJ1 JEANNA BLAIR

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 August 16, 2019

Page 29

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0480723 BRANCH BANKING AND TRUST COMPANY

Submitted By BLAIRJ1 JEANNA BLAIR

## Confidential Matter Information

### Regulatory Disclosures

Matter Name JANUARY 2017

Matter Details ON JANUARY 27, 2017, BB&T'S HOLDING COMPANY, BB&T CORPORATION, ENTERED INTO A CEASE AND DESIST ORDER WITH THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM ("FEDERAL RESERVE BOARD") AND THE NORTH CAROLINA COMMISSIONER OF BANKS ("NCCOB"). THE JANUARY 27, 2017 ORDER WAS ENTERED IN COORDINATION WITH A DECEMBER 20, 2016 CONSENT ORDER ENTERED INTO BY BB&T WITH THE FEDERAL DEPOSIT INSURANCE CORPORATION AND THE NCCOB. BOTH ORDERS CALLED FOR CORRECTIVE ACTIONS AND ENHANCEMENTS TO ADDRESS CERTAIN INTERNAL CONTROL DEFICIENCIES WITHIN THE BANK SECRECY ACT/ANTI-MONEY LAUNDERING ("BSA/AML") COMPLIANCE PROGRAM. NO CRIMINAL ACTIVITY WAS IDENTIFIED AS A RESULT OF THE DEFICIENCIES, AND NO FINANCIAL PENALTY WAS LEVIED. BB&T HAS CONTINUED TO TAKE SIGNIFICANT STEPS TOWARDS THE IMPROVEMENT OF ITS BSA/AML PROGRAM, INCLUDING; (I) ADDITIONAL INVESTMENT INTO PROCESSES AND SYSTEM UPGRADES TO STRENGTHEN ANTI-MONEY LAUNDERING CONTROLS; (II) CONTINUED EMPHASIS ON EDUCATION, TRAINING, AND THE IMPORTANCE OF COMPLIANCE FOR ALL ASSOCIATES; AND (III) THE HIRING AND PLACEMENT OF A HIGHLY EXPERIENCED BSA/AML PROFESSIONAL TO OVERSEE THESE EFFORTS. ON JUNE 28, 2018, THE JOINT FDIC/NCCOB CONSENT ORDER WAS TERMINATED. ALSO ON THAT DATE, THE NCCOB TERMINATED ITS PARTICIPATION IN THE JANUARY 27, 2017 NCCOB/FEDERAL RESERVE ORDER. ON APRIL 17, 2019, THE FEDERAL RESERVE BOARD TERMINATED THE FEDERAL RESERVE ORDER.

# National Futures Association

Business Locations

Page 1

Filed September 24, 2019

Registrant BRANCH BANKING AND TRUST COMPANY

Submitted By SHERI LEWIS

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0480723

User ID LEWISS1

## Business Information

Business Address 200 WEST SECOND STREET
WINSTON SALEM, NORTH CAROLINA 27101
UNITED STATES

Phone Number 804-787-8247

Fax Number Not provided.

E-mail Address CCORDLE@BBTSECURITIES.COM

# National Futures Association

Business Locations

Page 2

Filed September 24, 2019

Registrant BRANCH BANKING AND TRUST COMPANY

Submitted By SHERI LEWIS

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0480723

User ID LEWISS1

## Location of Business Records

Business Records Address

200 WEST SECOND STREET
WINSTON-SALEM, NC 27101
UNITED STATES

# National Futures Association

Business Locations

Page 3

Filed September 24, 2019

OMB Numbers 3038-0023 and 3038-0072

Registrant BRANCH BANKING AND TRUST COMPANY

NFA ID 0480723

Submitted By SHERI LEWIS

User ID LEWISS1

## Contact Information

Registration Contact

JEANNA BLAIR

COMPLIANCE MANAGER

200 S COLLEGE STREET

11TH FLOOR

CHARLOTTE, NC 28202

UNITED STATES

Phone: 704-954-1388

Fax: 704-954-1339

E-mail: JBLAIR@BBANDT.COM

Membership Contact

TREY CORDLE

SR. COMPLIANCE MANAGER

901 EAST BYRD STREET

SUITE 200

RICHMOND, VA 23219

UNITED STATES

Phone: 804-787-8247

E-mail: CCORDLE@BBTSECURITIES.COM

Accounting Contact

TREY CORDLE

SR COMPLIANCE MANAGER

901 EAST BYRD STREET

SUITE 200

RICHMOND, VA 23219

UNITED STATES

Phone: 804-787-8247

E-mail: CCORDLE@BBTSECURITIES.COM

# National Futures Association

Business Locations

Page 4

**Filed** September 24, 2019

**OMB Numbers** 3038-0023 and 3038-0072

**Registrant** BRANCH BANKING AND TRUST COMPANY

**NFA ID** 0480723

**Submitted By** SHERI LEWIS

**User ID** LEWISS1

## Arbitration Contact

TREY CORDLE  
SR. COMPLIANCE MANAGER  
901 EAST BYRD STREET  
SUITE 200  
RICHMOND, VA 23219  
UNITED STATES  
Phone: 804-787-8247  
E-mail: CCORDLE@BBTSECURITIES.COM

## Compliance Contact

TREY CORDLE  
SR. COMPLIANCE MANAGER  
901 EAST BYRD STREET  
SUITE 200  
RICHMOND, VA 23219  
UNITED STATES  
Phone: 804-787-8247  
E-mail: CCORDLE@BBTSECURITIES.COM

## Chief Compliance Officer

ALEX CECIL  
CHIEF COMPLIANCE OFFICER  
901 EAST BYRD STREET  
SUITE 200  
RICHMOND, VA 23219  
UNITED STATES  
Phone: 804-787-8242  
E-mail: ACECIL@BBTSECURITIES.COM

# National Futures Association

Business Locations

Page 5

**Filed** September 24, 2019

**OMB Numbers** 3038-0023 and 3038-0072

**Registrant** BRANCH BANKING AND TRUST COMPANY

**NFA ID** 0480723

**Submitted By** SHERI LEWIS

**User ID** LEWISS1

## Enforcement/Compliance Communication Contact

TREY CORDLE  
SR. COMPLIANCE MANAGER  
901 EAST BYRD STREET  
STE 200  
RICHMOND, VA 23219  
UNITED STATES  
Phone: 804-787-8247  
E-mail: CCORDLE@BBTSECURITIES.COM

# National Futures Association

Business Locations

Page 6

**Filed** September 24, 2019

**OMB Numbers** 3038-0023 and 3038-0072

**Registrant** BRANCH BANKING AND TRUST COMPANY

**NFA ID** 0480723

**Submitted By** SHERI LEWIS

**User ID** LEWISS1

## Registrant Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor 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 update.

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0480723 TRUST BANK

FORM REGULATORY BIDDLEDGING QUESTION IS CHANGED

QUESTION: 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 presented or restricted the firm or sole proprietor's ability to engage in any business in the financial services industry?

ANSWER: NO

FILED BY: WPROGOR

FILED ON: 9/27/2019 10:20:33 AM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided to the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading or any material request; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements, and acknowledgement that the applicant, registrant or sponsor is subject to the inspection of criminal penalties under Section 9.21 of the act and of U.S.C. §1001 for any false statements or omissions made in the update.

# Firm Business Locations

COMMODITY FUTURES TRADING COMMISSION
NATIONAL FUTURES ASSOCIATION

Filed on December 06, 2019

NFA ID 0480723 BRANCH BANKING AND TRUST COMPANY
Submitted by WOODRUFF POLK (POLKW2)

# Business Information

| Street Address 1 | 200 WEST SECOND STREET |
| --- | --- |
| City | WINSTON SALEM |
| State (United States only) | NORTH CAROLINA |
| Zip/Postal Code | 27101 |
| Country | UNITED STATES |
| Phone Number | 804-787-8247 |
| Fax Number | Not provided |
| Email | WOODRUFF.POLK@SUNTRUST.COM |
| Website/URL | WWW.BBT.COM |
| CRD/IARD ID | Not provided |

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 1 of 8

Business Locations Filed on December 06, 2019
NFA ID 0480723 BRANCH BANKING AND TRUST COMPANY

# Location of Business Records

| Street Address 1 | 3333 PEACHTREE RD, NE |
| --- | --- |
| City | ATLANTA |
| State | GEORGIA |
| Zip/Postal Code | 30326 |
| Country | UNITED STATES |

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 2 of 8

Business Locations Filed on December 06, 2019  
NFA ID 0480723 BRANCH BANKING AND TRUST COMPANY---

## Registration Contact Information

| First Name | WOODRUFF |
| --- | --- |
| Last Name | POLK |
| Title | CHIEF COMPLIANCE OFFICER |
| Street Address 1 | 3333 PEACHTREE RD, NE |
| Street Address 2 | 9TH FLOOR |
| City | ATLANTA |
| State (United States only) | GEORGIA |
| Zip/Postal Code | 30326 |
| Country | UNITED STATES |
| Phone | 404-926-5969 |
| Email | WOODRUFF.POLK@SUNTRUST.COM |

---

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 3 of 8

Business Locations Filed on December 06, 2019

NFA ID 0480723 BRANCH BANKING AND TRUST COMPANY---

## Enforcement/Compliance Communication Contact Information

| First Name | WOODRUFF |
| --- | --- |
| Last Name | POLK |
| Title | CHIEF COMPLIANCE OFFICER |
| Street Address 1 | 3333 PEACHTREE RD, NE |
| Street Address 2 | 9TH FLOOR |
| City | ATLANTA |
| State (United States only) | GEORGIA |
| Zip/Postal Code | 30326 |
| Country | UNITED STATES |
| Phone | 404-926-5969 |
| Email | WOODRUFF.POLK@SUNTRUST.COM |

---

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 4 of 8

Business Locations Filed on December 06, 2019  
NFA ID 0480723 BRANCH BANKING AND TRUST COMPANY---

## Membership Contact Information

### Membership Contact

| First Name | WOODRUFF |
| --- | --- |
| Last Name | POLK |
| Title | CHIEF COMPLIANCE OFFICER |
| Street Address 1 | 3333 PEACHTREE RD, NE |
| Street Address 2 | 9TH FLOOR |
| City | ATLANTA |
| State (United States only) | GEORGIA |
| Zip/Postal Code | 30326 |
| Country | UNITED STATES |
| Phone | 404-926-5969 |
| Email | WOODRUFF.POLK@SUNTRUST.COM |

### Accounting Contact

| First Name | WOODRUFF |
| --- | --- |
| Last Name | POLK |
| Title | CHIEF COMPLIANCE OFFICER |
| Street Address 1 | 3333 PEACHTREE RD, NE |
| Street Address 2 | 9TH FLOOR |
| City | ATLANTA |
| State (United States only) | GEORGIA |
| Zip/Postal Code | 30326 |
| Country | UNITED STATES |
| Phone | 404-926-5969 |
| Email | WOODRUFF.POLK@SUNTRUST.COM |

---

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 5 of 8

Business Locations Filed on December 06, 2019

NFA ID 0480723 BRANCH BANKING AND TRUST COMPANY---

# Arbitration Contact

| First Name | WOODRUFF |
| --- | --- |
| Last Name | POLK |
| Title | CHIEF COMPLIANCE OFFICER |
| Street Address 1 | 3333 PEACHTREE RD, NE |
| Street Address 2 | 9TH FLOOR |
| City | ATLANTA |
| State (United States only) | GEORGIA |
| Zip/Postal Code | 30326 |
| Country | UNITED STATES |
| Phone | 404-926-5969 |
| Email | WOODRUFF.POLK@SUNTRUST.COM |

# Compliance Contact

| First Name | WOODRUFF |
| --- | --- |
| Last Name | POLK |
| Title | CHIEF COMPLIANCE OFFICER |
| Street Address 1 | 3333 PEACHTREE RD, NE |
| Street Address 2 | 9TH FLOOR |
| City | ATLANTA |
| State (United States only) | GEORGIA |
| Zip/Postal Code | 30326 |
| Country | UNITED STATES |
| Phone | 404-926-5969 |
| Email | WOODRUFF.POLK@SUNTRUST.COM |

---

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 6 of 8

Business Locations Filed on December 06, 2019

NFA ID 0480723 BRANCH BANKING AND TRUST COMPANY---

# Chief Compliance Officer Contact

| First Name | WOODRUFF |
| --- | --- |
| Last Name | POLK |
| Title | CHIEF COMPLIANCE OFFICER |
| Street Address 1 | 3333 PEACHTREE RD, NE |
| Street Address 2 | 9TH FLOOR |
| City | ATLANTA |
| State (United States only) | GEORGIA |
| Zip/Postal Code | 30326 |
| Country | UNITED STATES |
| Phone | 404-926-5969 |
| Email | WOODRUFF.POLK@SUNTRUST.COM |

---

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 7 of 8

Business Locations Filed on December 06, 2019  
NFA ID 0480723 BRANCH BANKING AND TRUST COMPANY---

## Registration Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor 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 update.

---

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 8 of 8

DPR Numbers 3038-0023 and 3038-0072

# **Registration Information Change**

NFA ID: 0480723 TRUST BANK

FROM NAME CHANGED

NAME: TRUST BANK

FILED BY: WOODRUFF FILK - POLAND

FILED ON: 12/7/2018 6:31:18 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electrocovers files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is not sent to the inspection of criminal penalties under Section 8(2) of the Act and 18 U.S.C. §2001 for any false statements or omissions made in the update.

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0480723 TRUIST BANK

OTHER NAME FILED

NAME: SUNTRUIST

FILED BY: WOODRUFF POLK - polka2

FILED ON: 12/7/2018 6:47:18 AM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electromotely files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(c) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

# Firm Business Locations

COMMODITY FUTURES TRADING COMMISSION
NATIONAL FUTURES ASSOCIATION

Filed on December 20, 2019

NFA ID 0480723 TRUIST BANK

Submitted by WOODRUFF POLK (POLKW2)

# Business Information

| Street Address 1 | 214 N. TRYON STREET |
| --- | --- |
| City | CHARLOTTE |
| State (United States only) | NORTH CAROLINA |
| Zip/Postal Code | 28202 |
| Country | UNITED STATES |
| Phone Number | 404-926-5969 |
| Fax Number | Not provided |
| Email | WOODRUFF.POLK@SUNTRUST.COM |
| Website/URL | WWW.BBT.COM |
| CRD/IARD ID | Not provided |

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 1 of 8

Business Locations Filed on December 20, 2019

NFA ID 0480723 TRUIST BANK

# Location of Business Records

| Street Address 1 | 3333 PEACHTREE RD, NE |
| --- | --- |
| City | ATLANTA |
| State | GEORGIA |
| Zip/Postal Code | 30326 |
| Country | UNITED STATES |

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 2 of 8

Business Locations Filed on December 20, 2019

NFA ID 0480723 TRUIST BANK---

## Registration Contact Information

| First Name | WOODRUFF |
| --- | --- |
| Last Name | POLK |
| Title | CHIEF COMPLIANCE OFFICER |
| Street Address 1 | 3333 PEACHTREE RD, NE |
| Street Address 2 | 9TH FLOOR |
| City | ATLANTA |
| State (United States only) | GEORGIA |
| Zip/Postal Code | 30326 |
| Country | UNITED STATES |
| Phone | 404-926-5969 |
| Email | WOODRUFF.POLK@SUNTRUST.COM |

---

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 3 of 8

Business Locations Filed on December 20, 2019

NFA ID 0480723 TRUIST BANK---

## Enforcement/Compliance Communication Contact Information

| First Name | WOODRUFF |
| --- | --- |
| Last Name | POLK |
| Title | CHIEF COMPLIANCE OFFICER |
| Street Address 1 | 3333 PEACHTREE RD, NE |
| Street Address 2 | 9TH FLOOR |
| City | ATLANTA |
| State (United States only) | GEORGIA |
| Zip/Postal Code | 30326 |
| Country | UNITED STATES |
| Phone | 404-926-5969 |
| Email | WOODRUFF.POLK@SUNTRUST.COM |

---

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 4 of 8

Business Locations Filed on December 20, 2019

NFA ID 0480723 TRUIST BANK---

## Membership Contact Information

### Membership Contact

| First Name | WOODRUFF |
| --- | --- |
| Last Name | POLK |
| Title | CHIEF COMPLIANCE OFFICER |
| Street Address 1 | 3333 PEACHTREE RD, NE |
| Street Address 2 | 9TH FLOOR |
| City | ATLANTA |
| State (United States only) | GEORGIA |
| Zip/Postal Code | 30326 |
| Country | UNITED STATES |
| Phone | 404-926-5969 |
| Email | WOODRUFF.POLK@SUNTRUST.COM |

### Accounting Contact

| First Name | WOODRUFF |
| --- | --- |
| Last Name | POLK |
| Title | CHIEF COMPLIANCE OFFICER |
| Street Address 1 | 3333 PEACHTREE RD, NE |
| Street Address 2 | 9TH FLOOR |
| City | ATLANTA |
| State (United States only) | GEORGIA |
| Zip/Postal Code | 30326 |
| Country | UNITED STATES |
| Phone | 404-926-5969 |
| Email | WOODRUFF.POLK@SUNTRUST.COM |

---

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 5 of 8

Business Locations Filed on December 20, 2019

NFA ID 0480723 TRUIST BANK---

# Arbitration Contact

| First Name | WOODRUFF |
| --- | --- |
| Last Name | POLK |
| Title | CHIEF COMPLIANCE OFFICER |
| Street Address 1 | 3333 PEACHTREE RD, NE |
| Street Address 2 | 9TH FLOOR |
| City | ATLANTA |
| State (United States only) | GEORGIA |
| Zip/Postal Code | 30326 |
| Country | UNITED STATES |
| Phone | 404-926-5969 |
| Email | WOODRUFF.POLK@SUNTRUST.COM |

# Compliance Contact

| First Name | WOODRUFF |
| --- | --- |
| Last Name | POLK |
| Title | CHIEF COMPLIANCE OFFICER |
| Street Address 1 | 3333 PEACHTREE RD, NE |
| Street Address 2 | 9TH FLOOR |
| City | ATLANTA |
| State (United States only) | GEORGIA |
| Zip/Postal Code | 30326 |
| Country | UNITED STATES |
| Phone | 404-926-5969 |
| Email | WOODRUFF.POLK@SUNTRUST.COM |

---

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 6 of 8

Business Locations Filed on December 20, 2019

NFA ID 0480723 TRUIST BANK---

# Chief Compliance Officer Contact

| First Name | WOODRUFF |
| --- | --- |
| Last Name | POLK |
| Title | CHIEF COMPLIANCE OFFICER |
| Street Address 1 | 3333 PEACHTREE RD, NE |
| Street Address 2 | 9TH FLOOR |
| City | ATLANTA |
| State (United States only) | GEORGIA |
| Zip/Postal Code | 30326 |
| Country | UNITED STATES |
| Phone | 404-926-5969 |
| Email | WOODRUFF.POLK@SUNTRUST.COM |

---

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 7 of 8

Business Locations Filed on December 20, 2019

NFA ID 0480723 TRUIST BANK---

## Registration Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor 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 update.

---

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 8 of 8

# Firm Business Locations

COMMODITY FUTURES TRADING COMMISSION
NATIONAL FUTURES ASSOCIATION

Filed on December 30, 2020

NFA ID 0480723 TRUIST BANK

Submitted by PETER LUCAS (LUCASP2)

# Business Information

| Street Address 1 | 214 N. TRYON STREET |
| --- | --- |
| City | CHARLOTTE |
| State (United States only) | NORTH CAROLINA |
| Zip/Postal Code | 28202 |
| Country | UNITED STATES |
| Phone Number | 404-926-5891 |
| Fax Number | Not provided |
| Email | PETER.LUCAS@TRUIST.COM |
| Website/URL | WWW.TRUIST.COM |
| CRD/IARD ID | Not provided |

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 1 of 8

Business Locations Filed on December 30, 2020

NFA ID 0480723 TRUIST BANK

# Location of Business Records

| Street Address 1 | 3333 PEACHTREE RD, NE |
| --- | --- |
| City | ATLANTA |
| State | GEORGIA |
| Zip/Postal Code | 30326 |
| Country | UNITED STATES |

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 2 of 8

Business Locations Filed on December 30, 2020

NFA ID 0480723 TRUIST BANK---

## Registration Contact Information

| First Name | PETER |
| --- | --- |
| Last Name | LUCAS |
| Title | CHIEF COMPLIANCE OFFICER |
| Street Address 1 | 3333 PEACHTREE RD, NE |
| Street Address 2 | 9TH FLOOR |
| City | ATLANTA |
| State (United States only) | GEORGIA |
| Zip/Postal Code | 30326 |
| Country | UNITED STATES |
| Phone | 404-926-5891 |
| Email | PETER.LUCAS@TRUIST.COM |

---

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 3 of 8

Business Locations Filed on December 30, 2020

NFA ID 0480723 TRUIST BANK---

## Enforcement/Compliance Communication Contact Information

| First Name | PETER |
| --- | --- |
| Last Name | LUCAS |
| Title | CHIEF COMPLIANCE OFFICER |
| Street Address 1 | 3333 PEACHTREE RD, NE |
| Street Address 2 | 9TH FLOOR |
| City | ATLANTA |
| State (United States only) | GEORGIA |
| Zip/Postal Code | 30326 |
| Country | UNITED STATES |
| Phone | 404-926-5891 |
| Email | PETER.LUCAS@TRUIST.COM |

---

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 4 of 8

Business Locations Filed on December 30, 2020

NFA ID 0480723 TRUIST BANK---

## Membership Contact Information

### Membership Contact

| First Name | PETER |
| --- | --- |
| Last Name | LUCAS |
| Title | CHIEF COMPLIANCE OFFICER |
| Street Address 1 | 3333 PEACHTREE RD, NE |
| Street Address 2 | 9TH FLOOR |
| City | ATLANTA |
| State (United States only) | GEORGIA |
| Zip/Postal Code | 30326 |
| Country | UNITED STATES |
| Phone | 404-926-5891 |
| Email | PETER.LUCAS@TRUIST.COM |

### Accounting Contact

| First Name | PETER |
| --- | --- |
| Last Name | LUCAS |
| Title | CHIEF COMPLIANCE OFFICER |
| Street Address 1 | 3333 PEACHTREE RD, NE |
| Street Address 2 | 9TH FLOOR |
| City | ATLANTA |
| State (United States only) | GEORGIA |
| Zip/Postal Code | 30326 |
| Country | UNITED STATES |
| Phone | 404-926-5891 |
| Email | PETER.LUCAS@TRUIST.COM |

---

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 5 of 8

Business Locations Filed on December 30, 2020

NFA ID 0480723 TRUIST BANK---

# Arbitration Contact

| First Name | PETER |
| --- | --- |
| Last Name | LUCAS |
| Title | CHIEF COMPLIANCE OFFICER |
| Street Address 1 | 3333 PEACHTREE RD, NE |
| Street Address 2 | 9TH FLOOR |
| City | ATLANTA |
| State (United States only) | GEORGIA |
| Zip/Postal Code | 30326 |
| Country | UNITED STATES |
| Phone | 404-926-5891 |
| Email | PETER.LUCAS@TRUIST.COM |

# Compliance Contact

| First Name | PETER |
| --- | --- |
| Last Name | LUCAS |
| Title | CHIEF COMPLIANCE OFFICER |
| Street Address 1 | 3333 PEACHTREE RD, NE |
| Street Address 2 | 9TH FLOOR |
| City | ATLANTA |
| State (United States only) | GEORGIA |
| Zip/Postal Code | 30326 |
| Country | UNITED STATES |
| Phone | 404-926-5891 |
| Email | PETER.LUCAS@TRUIST.COM |

---

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 6 of 8

Business Locations Filed on December 30, 2020

NFA ID 0480723 TRUIST BANK---

# Chief Compliance Officer Contact

| First Name | PETER |
| --- | --- |
| Last Name | LUCAS |
| Title | CHIEF COMPLIANCE OFFICER |
| Street Address 1 | 3333 PEACHTREE RD, NE |
| Street Address 2 | 9TH FLOOR |
| City | ATLANTA |
| State (United States only) | GEORGIA |
| Zip/Postal Code | 30326 |
| Country | UNITED STATES |
| Phone | 404-926-5891 |
| Email | PETER.LUCAS@TRUIST.COM |

---

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 7 of 8

Business Locations Filed on December 30, 2020

NFA ID 0480723 TRUIST BANK---

## Registration Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor 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 update.

---

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 8 of 8

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0480723 TRUIST BANK

U.S. REGULATOR INFORMATION ADDED

U.S REGULATOR(S): THE SECURITIES AND EXCHANGE COMMISSION

FILED BY: PETER LUCAS - LUCASKE

FILED ON: 3/24/2022 8:39:04 AM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 6(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

**Attachment 2:** `schedulebsupp.pdf`

# **Schedule B**

| Section II: Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings |  |
| --- | --- |
| Complete for each affirmative response to Item 13A, 13B, 14, or 15 |  |
| A. Firm or organization name B. Business Address C. Individual Name & Business Address if different D. SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) E. Effective Date (MM/DD/YYYY) F. Termination Date (MM/DD/YYYY) G. Briefly describe the nature of the arrangement | Citigroup Global Markets Inc. 388 Greenwich St- Trading Floor 3 New York, NY 10013 NFA ID: 0002026 CIK: 315030 Effective Date: 12/6/2019 Termination Date: N/A Citigroup is an FCM that facilitates clearing and settling credit derivatives with ICE Clear Credit on behalf of Truist Bank. |
| A. Firm or organization name B. Business Address C. Individual Name & Business Address if different D. SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) E. Effective Date (MM/DD/YYYY) F. Termination Date (MM/DD/YYYY) G. Briefly describe the nature of the arrangement | ICE Clear Credit LLC 353 N Clark St. Chicago, IL 60654 CIK: 1559962 Effective Date: 12/6/2019 Termination Date: N/A Clearinghouse for credit derivatives via Citibank Global Markets. |
| A. Firm or organization name B. Business Address C. Individual Name & Business Address if different D. SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) E. Effective Date (MM/DD/YYYY) F. Termination Date (MM/DD/YYYY) | Bank of New York Mellon 240 Greenwich Street New York, NY 10286 LEI: HPFHU0OQ28E4N0NFVK49 CIK: 1390777 Effective Date: 12/6/2019 |

| G. Briefly describe the nature of the arrangement | Termination Date: N/A Clears bonds via its Nexen platform to DTCC and custodies collateral on behalf of Truist Bank. |
| --- | --- |
| Item 14 A. Firm or organization name B. Business Address C. Individual Name & Business Address if different D. SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) E. Effective Date (MM/DD/YYYY) F. Termination Date (MM/DD/YYYY) G. Briefly describe the nature of the arrangement H. For Item 14 only: if the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position, employer, job title, and dates of service). | Truist Financial Corporation 214 North Tryon Street Charlotte, NC 28202 CIK: 92230 LEI: 549300DRQQI75D2JP341 NFA: 309153 Effective date: 12/6/2019 Truist Bank is a subsidiary of Truist Financial Corporation. Item H: N/A |
| Item 15 A. Firm or organization name B. Business Address C. Individual Name & Business Address if different D. SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) E. Effective Date (MM/DD/YYYY) F. Termination Date (MM/DD/YYYY) G. Briefly describe the nature of the arrangement | Truist Financial Corporation 214 North Tryon Street Charlotte, NC 28202 CIK: 92230 LEI: 549300DRQQI75D2JP341 NFA: 309153 Effective date: 12/6/2019 Truist Bank is a wholly owned subsidiary of Truist Financial Corporation. |

**Attachment 3:** `sbsea.update0123.pdf`

TRUIST

January 13, 2022

U.S. Securities & Exchange Commission
100 F Street, NE
Washington DC 20549-3561

Re: Addition of Principal-Form SBSE-A

To whom it may concern:

The Truist Security-Based Swap Dealer has onboarded a new Principal:

Terence O'Malley

Mr. O'Malley will assume his role as Principal on December 15, 2022.

Additionally, one individual that served as Principal of the Truist Security-Based Swap Dealer has left Truist and is being removed as a Principal. The individual is:

Daryl Bible

The termination date of Mr. Bible as a Principal is September 15, 2022.

Thank you,
Stephen DeRubertis
Vice President, Senior Compliance Officer
227 W. Monroe Street, Chicago, IL 60606

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

### Applicant Information

**Full Applicant Name:** TRUIST BANK /NC/

**NFA Number:** 480723

**IRS Employer ID No.:** 56-1074313

**CIK:** 0000764116

**UIC:** JJKC32MCHWDI71265Z06

**Main Address:** 214 NORTH TRYON STREET, CHARLOTTE, NC, 28202

**Business Telephone:** 3367332000

**Contact Employee:**

- **Name:** Peter Lucas

- **Title:** Compliance Director

- **Phone:** 404-926-5891

- **Email:** peter.lucas@truist.com

**Chief Compliance Officer:**

- **Name:** Peter Lucas

- **Title:** Compliance Director

- **Phone:** 404-926-5891

- **Email:** peter.lucas@truist.com

### Business and Activities

**Registered as Swap Dealer?:** Yes

**Registered as Swap Participant?:** No

**Uses Mathematical Models?:** Yes

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

**Subject to Prudential Regulator?:** Yes

**Is an Investment Advisor?:** No

**Engaged in Other Business?:** Yes

**Holds Customer Funds?:** Yes

**Prudential Regulators:** The Federal Deposit Insurance Corporation

**Description of Business:**
Truist Bank is a North Carolina-chartered state bank and is a wholly owned subsidiary of Trust Financial Corporation. Truist Bank operates several business segments, including the Corporate and Institutional Group ("CIG") which focuses on helping businesses by delivering a comprehensive suite of financial services including lending, liquidity management, treasury and payment, M&A advisory and capital raising. The CIG business unit includes Corporate and Investment Banking ("CIB") which provides strategic advisory, capital raising, risk management, financing solutions, and sales, trading, and research services. The security-based swap dealing activities of Truist Bank encompasses Total Return Swaps ("TRS) conducted by the Credit Solutions division and risk participation agreements conducted by the Financial Risk Management ("FRM") division within CIB.

### Control and History

**Are records kept by another entity?:** No

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

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

**Is applicant financed by another entity?:** Yes

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

**Subject to foreign regulation?:** No

**Number of Principals:** 37

### Schedule A: Principals

| Name               | Title or Status                                           | Date Acquired   | Date Began Working   | Ownership         | NFA ID No.   |
|:---|:---|:---|:---|:---|:---|
| William Rogers     | President, Executive Chairman and Chief Executive Officer | 06/2011         | 07/1980              | NA - less than 5% | 493019       |
| John Gregg         | Managing Director, Head of CIB                            | 08/2013         | 02/2006              | NA - less than 5% | 466103       |
| Robert Popowski    | Managing Director, Head of CAPM Sales & Trading           | 02/2014         | 05/2010              | NA - less than 5% | 375298       |
| Edward Messner     | Managing Director, Head of FRM Marketing                  | 02/2014         | 05/2007              | NA - less than 5% | 499595       |
| Steve Gruenig      | Managing Director, Head of FRM Trading                    | 02/2014         | 12/2012              | NA - less than 5% | 283759       |
| Michael Connor     | Managing Director, Manager, FRM Marketing                 | 07/2014         | 07/2014              | NA - less than 5% | 292062       |
| Hugh Cummins       | Vice Chair                                                | 04/2017         | 05/2005              | NA - less than 5% | 460972       |
| Neil Davies        | Managing Director, Head of Equity Derivatives             | 10/2017         | 04/2005              | NA - less than 5% | 508525       |
| Randall Warren     | Director, Manager, FRM Marketing                          | 12/2019         | 11/2007              | NA - less than 5% | 527401       |
| Gregory Langhoff   | Director, Manager, FRM Marketing                          | 12/2019         | 06/2008              | NA - less than 5% | 527178       |
| Peter Lucas        | SVP, Compliance Director                                  | 10/2020         | 01/2017              | NA - less than 5% | 533468       |
| Thomas Hackett     | Managing Director, President and COO of Truist Securities | 10/2020         | 10/2008              | NA - less than 5% | 533113       |
| Kayvan Pirouz      | Managing Director, Head of Capital Markets                | 10/2020         | 03/2009              | NA - less than 5% | 533146       |
| James Moberg       | Managing Director, Manager, FRM Marketing                 | 08/2021         | 11/2015              | NA - less than 5% | 539801       |
| Kelly King         | Outside Director                                          | 09/2019         | 06/1972              | NA - less than 5% | 524850       |
| Bartton Scott      | Managing Director, Credit Solutions                       | 10/2021         | 08/2017              | NA - less than 5% |  |
| David Racliffe     | Outside Director                                          | 08/2011         | 12/2019              | NA - less than 5% | 494060       |
| Donna Morea        | Outside Director                                          | 04/2012         | 12/2019              | NA - less than 5% | 494053       |
| Frank Scruggs      | Outside Director                                          | 04/2013         | 12/2019              | NA - less than 5% | 494063       |
| Bruce Tanner       | Outside Director                                          | 12/2015         | 12/2019              | NA - less than 5% | 494066       |
| Dallas Clement     | Outside Director                                          | 12/2015         | 12/2019              | NA - less than 5% | 494005       |
| Agnes Scanlan      | Outside Director                                          | 04/2017         | 12/2019              | NA - less than 5% | 504452       |
| Steven Voorhees    | Outside Director                                          | 01/2018         | 12/2019              | NA - less than 5% | 509007       |
| Paul Donahue       | Outside Director                                          | 04/2019         | 12/2019              | NA - less than 5% | 521612       |
| Anna Cablik        | Outside Director                                          | 10/2019         | 01/2013              | NA - less than 5% | 524984       |
| Charles Patton     | Outside Director                                          | 10/2019         | 01/1998              | NA - less than 5% | 524989       |
| Christine Sears    | Outside Director                                          | 10/2019         | 08/2015              | NA - less than 5% | 524992       |
| Easter Maynard     | Outside Director                                          | 10/2019         | 10/2018              | NA - less than 5% | 524988       |
| Jennifer Banner    | Outside Director                                          | 10/2019         | 01/2013              | NA - less than 5% | 524981       |
| K. David Boyer     | Outside Director                                          | 10/2019         | 01/2013              | NA - less than 5% | 524983       |
| Nido Qubein        | Outside Director                                          | 10/2019         | 01/2013              | NA - less than 5% | 524990       |
| Patrick Graney     | Outside Director                                          | 10/2019         | 10/2018              | NA - less than 5% | 524986       |
| Thomas Skains      | Outside Director                                          | 10/2019         | 01/2013              | NA - less than 5% | 524993       |
| Thomas Thompson    | Outside Director                                          | 10/2019         | 01/2013              | NA - less than 5% | 524994       |
| Linnie Haynesworth | Outside Director                                          | 12/2019         | 12/2019              | NA - less than 5% | 525577       |
| Brandon Artigue    | Financial Risk Management Director                        | 06/2022         | 06/2011              |  | 550057       |
| Terence OMalley    | Equity Capital Markets Managing Director                  | 12/2022         | 01/2016              |  |  |

### Schedule B: Explanations

**Description:**
Truist Bank offers a full line of banking products and financial services for consumers and businesses, including loans, deposit accounts, mortgage products and services, investment management services, credit, banking, trust, capital markets, and asset management services. Truist Bank is a wholly owned subsidiary of Truist Financial Corporation.

**Onbehalf:**

- **Name:** Citigroup Global Markets Inc.

  - **Address:** 388 Greenwich St- Trading Floor 3, New York, NY, 10013

  - **Effective Date:** 12-06-2019

  - **Arrangement:** —

- **Name:** ICE Clear Credit LLC

  - **Address:** 353 N Clark St., Chicago, IL, 60654

  - **Effective Date:** 12-06-2019

  - **Arrangement:** —

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

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

  - **Effective Date:** 12-06-2019

  - **Arrangement:** —

**Controlling Entity:**

- **Name:** Truist Financial Corporation

  - **Address:** 214 North Tryon Street, Charlotte, NC, 28202

  - **Effective Date:** 12-06-2019

  - **Arrangement:** —

### Execution

**Date:** 01-24-2023

**Name of Applicant:** TRUIST BANK /NC/

**Signature:** /s/ Peter Lucas

**Printed Name:** Peter Lucas

**Title:** Compliance Director