File No.33-08214
811-04813
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-1A
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [X]
Pre-Effective Amendment No. [__]
Post-Effective Amendment No. 166 [X]
and/or
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 [X]
Amendment No. 166 [X]
(Check appropriate box or boxes.)
Dreyfus Investment Funds
(Exact Name of Registrant as Specified in Charter)
c/o The Dreyfus Corporation
200 Park Avenue, New York, New York 10166
(Address of Principal Executive Offices) (Zip Code)
Registrant's Telephone Number, including Area Code: (212) 922-6000
John Pak, Esq.
200 Park Avenue
New York, New York 10166
(Name and Address of Agent for Service)
It is proposed that this filing will become effective immediately upon filing pursuant to Rule 462(d).
Explanatory Note
This Post-Effective Amendment consists of the following:
1. Facing Sheet of the Registration Statement.
2. Part C to the Registration Statement (including signature page).
3. Exhibit (a)(3) to Item 28 to the Registration Statement.
4. Exhibit (n) to Item 28 to the Registration Statement.
This Post-Effective Amendment is being filed solely to file a Certificate of Designation as Exhibit (a)(3) and a revised Rule 18f-3 Plan as Exhibit (n) to Item 28 to this Registration Statement on Form N-1A.
With respect to Dreyfus/The Boston Company Emerging Markets Core Equity Fund and Dreyfus/The Boston Company Small Cap Value Fund, Part A of Post-Effective Amendment No. 158 to the
Registration Statement on Form N-1A was filed on January 28, 2013 pursuant to Rule 485(b) under the Securities Act of 1933, as amended, and is incorporated by reference herein;
With respect to Dreyfus/Newton International Equity Fund, Dreyfus/The Boston Company Small Cap Growth Fund, Dreyfus/The Boston Company Small/Mid Cap Growth Fund, Dreyfus/Standish Global Fixed Income Fund and Dreyfus/Standish Intermediate Tax Exempt Bond Fund, Part A of Post-Effective Amendment No. 162 to the Registration Statement on Form N-1A was filed on June 26, 2013 pursuant to Rule 485(b) under the Securities Act of 1933, as amended, and is incorporated by reference herein; and
The Statement of Additional Information for the Registrant was filed on November 5, 2013 pursuant to Rule 497(e) under the Securities Act of 1933, as amended, and is incorporated by reference herein.
PART C
OTHER INFORMATION
Item 28. Exhibits.
(a)(1) Amended and Restated Agreement and Declaration of Trust dated October 27, 2011 is incorporated by reference to Exhibit (i)(4) of Post-Effective Amendment No. 153 to the Registration Statement on Form N-1A, filed on January 27, 2012.
(a)(2) Certificate of Designation is incorporated by reference to Exhibit (a)(2) of Post-Effective Amendment No. 158 to the Registration Statement on Form N-1A, filed on January 28, 2013.
(a)(3) Certificate of Designation for Class Y Shares of Dreyfus/Newton International Equity Fund, Dreyfus/Standish Global Fixed Income Fund, Dreyfus/Standish Intermediate Tax-Exempt Bond Fund, Dreyfus/The Boston Company Small/Mid Cap Growth Fund and Dreyfus/The Boston Company Small Cap Growth Fund is filed herewith.
(b)(1) Amended and Restated By-Laws dated July 1, 2011 is incorporated by reference to Exhibit b(1) of Post-Effective Amendment No. 152 to the Registration Statement on Form N-1A, filed on August 15, 2011.
(c) Not applicable.
(d)(1) Investment Advisory Agreement between the Registrant, on behalf of Dreyfus/Standish Intermediate Tax Exempt Bond Fund, and The Dreyfus Corporation is incorporated by reference to Exhibit D (7) of Post-Effective Amendment No. 135 to the Registration Statement on Form N-1A, filed on February 24, 2009.
(d)(2) Investment Advisory Agreement between the Registrant, on behalf of Dreyfus/Standish International Fixed Income Fund, and The Dreyfus Corporation is incorporated by reference to Exhibit D (9) of Post-Effective Amendment No. 135 to the Registration Statement on Form N-1A, filed on February 24, 2009.
(d)(3) Investment Advisory Agreement between the Registrant, on behalf of Dreyfus/The Boston Company Small/Mid Cap Growth Fund, and The Dreyfus Corporation is incorporated by reference to Exhibit D (19) of Post-Effective Amendment No. 135 to the Registration Statement on Form N-1A, filed on February 24, 2009.
(d)(4) Investment Advisory Agreement between the Registrant, on behalf of Dreyfus/The Boston Company Small Cap Tax-Sensitive Equity Fund, and The Dreyfus Corporation is incorporated by reference to Exhibit D (21) of Post-Effective Amendment No. 135 to the Registration Statement on Form N-1A, filed on February 24, 2009.
(d)(5) Investment Advisory Agreement between the Registrant, on behalf of Dreyfus/Newton International Equity Fund, and The Dreyfus Corporation is incorporated by reference to Exhibit D (27) of Post-Effective Amendment No. 133 to the Registration Statement on Form N-1A, filed on January 30, 2009.
(d)(6) Investment Advisory Agreement between the Registrant, on behalf of Dreyfus/The Boston Company Emerging Markets Core Equity Fund, and The Dreyfus Corporation is incorporated by reference to Exhibit D (29) of Post-Effective Amendment No. 135 to the Registration Statement on Form N-1A, filed on February 24, 2009.
(d)(7) Investment Advisory Agreement between the Registrant, on behalf of Dreyfus/The Boston Company International Core Equity Fund, and The Dreyfus Corporation is incorporated by
reference to Exhibit D (32) of Post-Effective Amendment No. 135 to the Registration Statement on Form N-1A, filed on February 24, 2009.
(d)(8) Investment Advisory Agreement between the Registrant, on behalf of Dreyfus/The Boston Company Large Cap Core Fund, and The Dreyfus Corporation is incorporated by reference to Exhibit D (34) of Post-Effective Amendment No. 135 to the Registration Statement on Form N-1A, filed on February 24, 2009.
(d)(9) Investment Advisory Agreement between the Registrant, on behalf of Dreyfus/The Boston Company Small Cap Growth Fund, and The Dreyfus Corporation is incorporated by reference to Exhibit D (35) of Post-Effective Amendment No. 135 to the Registration Statement on Form N-1A, filed on February 24, 2009.
(d)(10) Investment Advisory Agreement between the Registrant, on behalf of Dreyfus/The Boston Company Small Cap Value Fund, and The Dreyfus Corporation is incorporated by reference to Exhibit D (36) of Post- Effective Amendment No. 135 to the Registration Statement on Form N-1A, filed on February 24, 2009.
(d)(11) Investment Advisory Agreement between the Registrant, on behalf of Dreyfus/Standish Fixed Income Fund, and The Dreyfus Corporation is incorporated by reference to Exhibit D (37) of Post-Effective Amendment No. 135 to the Registration Statement on Form N-1A, filed on February 24, 2009.
(d)(12) Investment Advisory Agreement between the Registrant, on behalf of Dreyfus/Standish Global Fixed Income Fund, and The Dreyfus Corporation is incorporated by reference to Exhibit (d) of Post-Effective Amendment No. 140 to the Registration Statement on Form N-1A, filed on September 30, 2009.
(d)(13) Sub-Investment Advisory Agreement between The Dreyfus Corporation and Newton Capital Management Limited relating to Dreyfus/Newton International Equity Fund is incorporated by reference to Exhibit (d)(39) of Post-Effective Amendment No. 133 to the Registration Statement on Form N-1A, filed on January 30, 2009.
(e)(1) Amended and Restated Distribution Agreement dated October 1, 2010 is incorporated by reference to Exhibit (e) of Post-Effective Amendment No. 147 to the Registration Statement on Form N-1A, filed on January 28, 2011.
(e)(2) Amended Exhibit A (revised as of June 18, 2013) to Amended and Restated Distribution Agreement dated October 1, 2010 (relating to Dreyfus/Newton International Equity Fund, Dreyfus/Standish Global Fixed Income Fund, Dreyfus/Standish Intermediate Tax Exempt Bond Fund, Dreyfus/The Boston Company Emerging Markets Core Equity Fund, Dreyfus/The Boston Company Small/Mid Cap Growth Fund, Dreyfus/The Boston Company Small Cap Growth Fund and Dreyfus/The Boston Company Small Cap Value Fund is incorporated by reference to exhibit (e) of Post-Effective Amendment No. 162 to the Registration Statement on Form N1-A, filed on June 26, 2013.
(f) Not applicable.
(g) Custody Agreement between the Registrant and The Bank of New York Mellon, dated January 1, 2011 (effective as of May 1, 2011)is incorporated by reference to Exhibit (g) of Post-Effective Amendment No. 149 to the Registration Statement on Form N-1A, filed on April 28, 2011.
(h)(1) Transfer Agency Agreement between the Registrant and Dreyfus Transfer, Inc., dated May 29, 2012isincorporated by reference to Exhibit (h)(1) of Post-Effective Amendment No. 158 to the Registration Statement on Form N-1A, filed on January 28, 2013.
(h)(2) Fund Accounting and Administrative Services Agreement between the Registrant and The Dreyfus Corporation, dated May 1,2011 is incorporated by reference to Exhibit (h)(2)of Post-Effective Amendment No. 149 to the Registration Statement on Form N-1A, filed on April 28, 2011.
(h)(3) Shareholder Services Plan, dated December 20, 2007, amended October 29, 2009, and revised October 25, 2012 for Dreyfus/The Boston Company Emerging Markets Core Equity Fund, Dreyfus/The Boston Company Large Cap Core Fund, Dreyfus/The Boston Company Small Cap Value Fund, Dreyfus/The Boston Company Small/Mid Cap Growth Fund, Dreyfus/Newton International Equity Fund, Dreyfus/Standish Intermediate Tax Exempt Bond Fund and Dreyfus/Standish Global Fixed Income Fundisincorporated by reference to Exhibit (h)(3) of Post-Effective Amendment No. 158 to the Registration Statement on Form N-1A, filed on January 28, 2013.
(i)(1) Opinion and Consent of Counsel for the Registrant is incorporated by reference to Exhibit i of Post-Effective Amendment No. 88 to the Registration Statement on Form N-1A, filed on November 3, 1997.
(i)(2) Consent of Counsel for the Registrant is incorporated by reference to Exhibit (i)(2) of Post-Effective Amendment No. 137 to the Registration Statement on Form N-1A, filed on April 30, 2009.
(i)(3) Opinion and consent of Registrant's counsel (relating to Dreyfus/Standish Global Fixed Income Fund)isincorporated by reference to Exhibit (i)(3) of Post-Effective Amendment No. 160 to the Registration Statement on Form N-1A, filed on April 26, 2013.
(i)(4) Opinion and consent of Registrant's counsel (relating to Dreyfus/The Boston Company Emerging Markets Core Equity Fund, Dreyfus/The Boston Company Large Cap Core Fund, Dreyfus/The Boston Company Small Cap Growth Fund, Dreyfus/The Boston Company Small Tax-Sensitive Equity Fund, Dreyfus/The Boston Company Small Cap Value Fund, Dreyfus/The Boston Company Small/Mid Cap Growth Fund, Dreyfus/Newton International Equity Fund and Dreyfus/Standish Intermediate Tax Exempt Bond Fund) is incorporated by reference to Exhibit (i)(4) of Post-Effective Amendment No. 153 to the Registration Statement on Form N-1A, filed on January 27, 2012.
(i)(5) Opinion and consent of Registrant's counsel (relating to Dreyfus/The Boston Company Emerging Markets Core Equity Fund, Dreyfus/The Boston Company Small Cap Growth Fund, Dreyfus/The Boston Company Small Cap Value Fund, Dreyfus/The Boston Company Small/Mid Cap Growth Fund, Dreyfus/Newton International Equity Fund and Dreyfus/Standish Intermediate Tax Exempt Bond Fund) isincorporated by reference to Exhibit (i)(5) of Post-Effective Amendment No. 158 to the Registration Statement on FormN-1A, filed on January 28, 2013.
(i)(6) Opinion and consent of Registrant's counsel (relating to Dreyfus/The Boston Company Small Cap Growth Fund, Dreyfus/The Boston Company Small/Mid Cap Growth Fund, Dreyfus/Newton International Equity Fund, Dreyfus/Standish Global Fixed Income Fund and Dreyfus Tax Sensitive Total Return Bond Fund) isincorporated by reference to Exhibit (i)(6) of Post-Effective Amendment No. 162 to the Registration Statement on FormN-1A, filed on June 26, 2013.
(j) Consent of Independent Registered Public Accounting Firm isincorporated by reference to Exhibit (j) of Post-Effective Amendment No. 162 to the Registration Statement on FormN-1A, filed on June 26, 2013.
(k) None.
(l) Not applicable.
(m) Distribution Plan, dated December 20, 2007 and amended October 29, 2009, Dreyfus/The Boston Company Emerging Markets Core Equity Fund, Dreyfus/The Boston Company Large Cap Core Fund, Dreyfus/The Boston Company Small/Mid Growth Fund, Dreyfus/Newton International Equity Fund and Dreyfus/Standish Global Fixed Income Fund is incorporated by reference to Exhibit M(1) of Post-Effective Amendment No. 141 to the Registration Statement on Form N-1A, filed on November 23, 2009.
(n) Rule 18f-3 Plan,amended as of July 1, 2013, revised as of January 1, 2014for Dreyfus/Newton International Equity Fund, Dreyfus/The Boston Company Emerging Markets Core Equity Fund, Dreyfus/The Boston Company Small Cap Growth Fund, Dreyfus/The Boston Company Small/Mid Cap Growth Fund, Dreyfus/The Boston Company Small Cap Value Fund, Dreyfus/Standish Intermediate Tax Exempt Bond Fund and Dreyfus/Standish Global Fixed Income Fund is filed herewith.
(p)(1) Revised Code of Ethics adopted by the Registrant, dated May 29, 2012 isincorporated by reference to Exhibit (p)(1) of Post-Effective Amendment No. 158 to the Registration Statement on Form N-1A, filed on January 28, 2013.
(p)(2) Code of Ethics adopted by the non-management Board members of the Dreyfus Family of Funds, which became effective March 31, 2010, is incorporated by reference to Exhibit (r) of Post-Effective Amendment No. 144 to the Registration Statement on Form N-1A, filed on February 26, 2010.
Other Exhibits
(1) Power of Attorney of Bradley J. Skapyak, James Windels and Trustees, dated October 25, 2012 isincorporated by reference to Exhibit (1) of Post-Effective Amendment No. 158 to the Registration Statement on Form N-1A, filed on January 28, 2013.
Item 29. Persons Controlled by or Under Common Control with Registrant
Not Applicable.
Item 30. Indemnification
Under the Registrant's Agreement and Declaration of Trust, as amended, any past or present Trustee or officer of the Registrant is indemnified to the fullest extent permitted by law against liability and all expenses reasonably incurred by him in connection with any action, suit or proceeding to which he may be a party or is otherwise involved by reason of his being or having been a Trustee or officer of the Registrant. The Agreement and Declaration of Trust of the Registrant does not authorize indemnification where it is determined, in the manner specified in the Declaration, that such Trustee or officer has not acted in good faith in the reasonable belief that his actions were in the best interest of the Registrant. Moreover, the Declaration does not authorize indemnification where such Trustee or officer is liable to the Registrant or its shareholders by reason of willful misfeasance, bad faith, gross negligence or reckless disregard of his or her duties.
Insofar as indemnification for liabilities arising under the Securities Act of 1933 may be permitted to Trustees, officers and controlling persons of the Registrant pursuant to the foregoing provisions, or otherwise, the Registrant has been advised that, in the opinion of the Securities and Exchange Commission, such indemnification is against public policy as expressed in the Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the Registrant of expenses incurred or paid by a Trustee, officer or controlling person of the Registrant in the successful defense of any action, suit or proceeding) is asserted by any such Trustee, officer
or controlling person against the Registrant in connection with the securities being registered, and the Commission is still of the same opinion, the Registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification is against public policy as expressed in the Act and will be governed by the final adjudication of such issue.
Item 31. (a) Business and Other Connections of Investment Adviser
The Dreyfus Corporation ("Dreyfus") and subsidiary companies comprise a financial service organization whose business consists primarily of providing investment management services as the investment adviser, manager and distributor for sponsored investment companies registered under the Investment Company Act of 1940 and as an investment adviser to institutional and individual accounts. Dreyfus also serves as sub-investment adviser to and/or administrator of other investment companies. MBSC Securities Corporation, a wholly-owned subsidiary of Dreyfus, serves primarily as a registered broker-dealer of shares of investment companies sponsored by Dreyfus and of other investment companies for which Dreyfus acts as an investment adviser, sub-investment adviser or administrator.
(b) Business and Other Connections of Sub-Investment Adviser
With respect to Dreyfus/The Boston Company Emerging Markets Core Equity Fund, Dreyfus/The Boston Company Small Cap Growth Fund, Dreyfus/The Boston Company Small Cap Value Fund and Dreyfus/The Boston Company Small/Mid Cap Growth Fund, Registrant is fulfilling the requirement of this Item 31 to provide a list of the officers and directors of The Boston Company Asset Management, LLC ("TBCAM"), together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by TBCAM or that firm's officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the Investment Advisers Act of 1940 by TBCAM (SEC File No. 801-6829)
With respect to Dreyfus/Newton International Equity Fund, Registrant is fulfilling the requirement of this Item 31 to provide a list of the officers and directors of Newton Capital Management Limited ("Newton"), together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Newton or that firm's officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the Investment Advisers Act of 1940 by Newton (SEC File No. 801-42114).
With respect to Dreyfus/Standish Global Fixed Income Fund and Dreyfus/Standish Intermediate Tax Exempt Bond Fund, Registrant is fulfilling the requirement of this Item 31 to provide a list of the officers and directors of Standish Mellon Asset Management Company LLC ("Standish"), together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Standish or that firm's officers and directors during the past two years, by incorporating by reference the information contained in the Form ADV filed with the SEC pursuant to the Investment Advisers Act of 1940 by Standish (SEC File No. 801-60527).
Item 31. Business and Other Connections of Investment Adviser (continued)
Officers and Directors of Investment Adviser
Name and Position | Other Businesses | Position Held | Dates |
J. Charles Cardona | MBSC Securities Corporation++ | Director | 6/07 – Present |
BNY Mellon Liquidity Funds plc+ | Director | 4/06 - Present | |
Diane P. Durnin | None | ||
Robert G. Capone | MBSC Securities Corporation++ | Executive Vice President Director | 4/07 - Present |
The Bank of New York Mellon***** | Vice President | 2/06 - Present | |
Mitchell E. Harris | Standish Mellon Asset Management Company LLC | Chairman | 2/05 – Present |
Alcentra NY, LLC++ | Manager | 1/08 - Present | |
Alcentra US, Inc. ++ | Director | 1/08 - Present | |
Alcentra, Inc. ++ | Director | 1/08 - Present | |
BNY Alcentra Group Holdings, Inc. ++ | Director | 10/07 - Present | |
Pareto New York LLC++ | Manager | 11/07 - Present | |
Standish Ventures LLC | President | 12/05 - Present | |
Palomar Management | Director | 12/97 - Present | |
Name and Position | Other Businesses | Position Held | Dates |
Palomar Management Holdings Limited | Director | 12/97 - Present | |
Pareto Investment Management Limited | Director | 9/04 - Present | |
Andrew Provencher Director | MBSC Securities Corporation++ | Executive Vice President Director | 7/13 - Present |
Gold Bullion International New York, NY | Director of Business Development | 11/11 - 6/13 | |
Bradley J. Skapyak | MBSC Securities Corporation++ | Executive Vice President | 6/07 - Present |
The Bank of New York Mellon**** | Senior Vice President | 4/07 - Present | |
The Dreyfus Family of Funds++ | President | 1/10 - Present | |
Dreyfus Transfer, Inc. ++ | Chairman Director Senior Vice President | 5/11 - Present 5/10 - Present | |
Cynthia Fryer Steer Director | None | ||
Patrice M. Kozlowski | None | ||
Gary Pierce | The Bank of New York Mellon***** | Vice President | 7/08 - Present |
BNY Mellon, National Association+ | Vice President | 7/08 - Present | |
Laurel Capital Advisors, LLP+ | Chief Financial Officer | 5/07 - Present | |
MBSC Securities Corporation++ | Director | 6/07 – Present | |
Dreyfus Consumer Credit | Treasurer | 7/05 - 8/10 | |
Name and Position | Other Businesses | Position Held | Dates |
Dreyfus Transfer, Inc.++ | Chief Financial Officer | 7/05 - Present | |
Dreyfus Service | Treasurer | 7/05 – Present | |
Seven Six Seven Agency, Inc. ++ | Treasurer | 4/99 - Present | |
Joseph W. Connolly | The Dreyfus Family of Funds++ | Chief Compliance Officer | 10/04 - Present |
Laurel Capital Advisors, LLP+ | Chief Compliance Officer | 4/05 - Present | |
BNY Mellon Funds Trust++ | Chief Compliance Officer | 10/04 - Present | |
MBSC Securities Corporation++ | Chief Compliance Officer | 6/07 – Present | |
Christopher O'Connor | MBSC Securities Corporation++ | Executive Vice President | 12/11 – Present |
John Pak Chief Legal Officer | Deutsche Bank 60 Wall Street New York, NY 10005 | Managing Director | 3/05 - 7/12 |
Deutsche Investment Management Americas, Inc. 345 Park Avenue New York, NY 10154 | Chief Legal Officer | 3/05 - 7/12 | |
Gary E. Abbs | The Bank of New York Mellon+ | First Vice President and Manager of Tax Compliance | 12/96 - Present |
Dreyfus Service Organization++ | Vice President – Tax | 1/09 - Present | |
Dreyfus Consumer Credit Corporation++ | Chairman | 1/09 – 8/10 | |
MBSC Securities Corporation++ | Vice President – Tax | 1/09 - Present | |
Jill Gill | MBSC Securities Corporation++ | Vice President | 6/07 – Present |
Name and Position | Other Businesses | Position Held | Dates |
The Bank of New York Mellon***** | Vice President | 7/08 – Present | |
BNY Mellon, National Association+ | Vice President | 7/08 - Present | |
Tracy A. Hopkins Vice President - Cash Strategies | MBSC Securities Corporation++ | Senior Vice President | 2/08 - Present |
Joanne S. Huber | The Bank of New York Mellon+ | State & Local Compliance Manager | 7/07 - Present |
Dreyfus Service Organization++ | Vice President – Tax | 1/09 – Present | |
MBSC Securities Corporation++ | Vice President – Tax | 1/09 – Present | |
Anthony Mayo | None | ||
John E. Lane | A P Colorado, Inc. + | Vice President – Real Estate and Leases | 8/07 - Present |
A P East, Inc. + | Vice President– Real Estate and Leases | 8/07 - Present | |
A P Management, Inc. + | Vice President– Real Estate and Leases | 8/07 - Present | |
A P Properties, Inc. + | Vice President – Real Estate and Leases | 8/07 - Present | |
Allomon Corporation+ | Vice President– Real Estate and Leases | 8/07 - Present | |
AP Residential Realty, Inc. + | Vice President– Real Estate and Leases | 8/07 - Present | |
AP Wheels, Inc. + | Vice President– Real Estate and Leases | 8/07 - Present | |
BNY Mellon, National Association+ | Vice President – Real Estate and Leases | 7/08 - Present | |
Citmelex Corporation+ | Vice President– Real Estate and Leases | 8/07 - Present | |
Eagle Investment Systems LLC | Vice President– Real Estate and Leases | 8/07 - Present |
Name and Position | Other Businesses | Position Held | Dates |
East Properties Inc. + | Vice President– Real Estate and Leases | 8/07 - Present | |
FSFC, Inc. + | Vice President– Real Estate and Leases | 8/07 - Present | |
Holiday Properties, Inc. + | Vice President– Real Estate and Leases | 8/07 - Present | |
MBC Investments Corporation+ | Vice President– Real Estate and Leases | 8/07 - Present | |
MBSC Securities Corporation++ | Vice President– Real Estate and Leases | 8/07 - Present | |
MELDEL Leasing Corporation Number 2, Inc. + | Vice President– Real Estate and Leases | 7/07 - Present | |
Mellon Bank Community Development Corporation+ | Vice President– Real Estate and Leases | 11/07 - Present | |
Mellon Capital Management Corporation+ | Vice President– Real Estate and Leases | 8/07 - Present | |
Mellon Financial Services Corporation #1+ | Vice President– Real Estate and Leases | 8/07 - Present | |
Mellon Financial Services Corporation #4+ | Vice President – Real Estate and Leases | 7/07 - Present | |
Mellon Funding Corporation+ | Vice President– Real Estate and Leases | 12/07 - Present | |
Mellon Holdings, LLC+ | Vice President– Real Estate and Leases | 12/07 - Present | |
Mellon International Leasing Company+ | Vice President– Real Estate and Leases | 7/07 - Present | |
Mellon Leasing Corporation+ | Vice President– Real Estate and Leases | 7/07 - Present | |
Mellon Ventures, Inc. + | Vice President– Real Estate and Leases | 8/07 - Present | |
Melnamor Corporation+ | Vice President– Real Estate and Leases | 8/07 - Present | |
MFS Leasing Corp. + | Vice President– Real Estate and Leases | 7/07 - Present | |
MMIP, LLC+ | Vice President– Real Estate and Leases | 8/07 - Present | |
Pareto New York LLC++ | Vice President– Real Estate and Leases | 10/07 - Present |
Name and Position | Other Businesses | Position Held | Dates |
Pontus, Inc. + | Vice President– Real Estate and Leases | 7/07 - Present | |
Promenade, Inc. + | Vice President– Real Estate and Leases | 8/07 - Present | |
RECR, Inc. + | Vice President– Real Estate and Leases | 8/07 - Present | |
Technology Services Group, Inc.***** | Senior Vice President | 6/06 - Present | |
Tennesee Processing Center LLC***** | Managing Director | 5/08 - Present | |
Texas AP, Inc. + | Vice President– Real Estate and Leases | 8/07 - Present | |
The Bank of New York Mellon***** | Vice President – Real Estate and Leases | 7/08 - Present | |
The Bank of New York Mellon Corporation***** | Executive Vice President | 8/07 - Present | |
Trilem, Inc. + | Vice President– Real Estate and Leases | 8/07 - Present | |
Kathleen Geis | BNY Mellon, National Association+ | Managing Director | 7/09 - Present |
BNY Mellon Distributors Holdings, Inc. + | Vice President - | 7/11 - Present | |
BNY Mellon Investment | Vice President - | 7/11 - Present | |
BNY Mellon Performance & Risk Analytics, LLC+ | Vice President - | 7/11 - Present | |
BNY Mellon Trust Company of Illinois+ | Vice President - | 7/11 - Present | |
BNY Mellon Trust of Delaware+ | Vice President - | 7/11 - Present | |
Eagle Investment Systems LLC+ | Vice President - | 7/11 - Present | |
Ivy Asset Management LLC+ | Vice President - | 7/11 - Present | |
Mellon Capital Management Corporation*** | Vice President - | 7/11 - Present |
Name and Position | Other Businesses | Position Held | Dates |
Mellon Financial Services Corporation #1+ | Vice President - | 7/11 - Present | |
Mellon Holdings LLC+ | Vice President - | 7/11 - Present | |
Mellon Investor Services LLC+ | Vice President - | 7/11 - Present | |
Pareto New York LLC***** | Vice President - | 7/11 - Present | |
SourceNet Solutions, Inc. + | Vice President - | 7/11 - Present | |
Technology Services Group, Inc. + | Vice President - | 7/11 - Present | |
Tennessee Processing Center LLC+ | Vice President - | 7/11 - Present | |
The Bank of New York Mellon Trust Company, National Association+ | Vice President - | 7/11 - Present | |
Alcentra US, Inc. ++ | Vice President - | 7/11 - Present | |
BNY Mellon Capital Markets LLC++ | Vice President - | 7/11 - Present | |
Pershing LLC***** | Vice President - | 7/11 - Present | |
The Bank of New York Mellon+ | Managing Director | 7/09 - Present | |
MBNA Institutional PA Services, LLC+ | Managing Director | 7/09 – Present | |
Dean M. Steigauf | BNY Mellon, National Association+ | Vice President | 7/09 - Present |
BNY Mellon Distributors Holdings, Inc. + | Vice President - | 7/11 - Present | |
BNY Mellon Investment | Vice President - | 7/11 - Present | |
BNY Mellon Performance & Risk Analytics, LLC+ | Vice President - | 7/11 - Present | |
BNY Mellon Trust Company of Illinois+ | Vice President - | 7/11 - Present |
Name and Position | Other Businesses | Position Held | Dates |
BNY Mellon Trust of Delaware+ | Vice President - | 7/11 - Present | |
Eagle Investment Systems LLC+ | Vice President - | 7/11 - Present | |
Ivy Asset Management LLC+ | Vice President - | 7/11 - Present | |
Mellon Capital Management Corporation*** | Vice President - | 7/11 - Present | |
Mellon Financial Services Corporation #1+ | Vice President - | 7/11 - Present | |
Mellon Holdings LLC+ | Vice President - | 7/11 - Present | |
Mellon Investor Services LLC+ | Vice President - | 7/11 - Present | |
Pareto New York LLC***** | Vice President - | 7/11 - Present | |
SourceNet Solutions, Inc. + | Vice President - | 7/11 - Present | |
Technology Services Group, Inc. + | Vice President - | 7/11 - Present | |
Tennessee Processing Center LLC+ | Vice President - | 7/11 - Present | |
The Bank of New York Mellon Trust Company, National Association+ | Vice President - | 7/11 - Present | |
Alcentra US, Inc. ++ | Vice President - | 7/11 - Present | |
BNY Mellon Capital Markets LLC++ | Vice President - | 7/11 - Present | |
Pershing LLC***** | Vice President - | 7/11 - Present | |
The Bank of New York Mellon+ | Vice President | 12/02 - Present | |
James Bitetto | The Dreyfus Family of Funds++ | Vice President and Assistant Secretary | 8/05 - Present |
MBSC Securities Corporation++ | Assistant Secretary | 6/07 - Present | |
Dreyfus Service Organization, Inc.++ | Secretary | 8/05 - Present | |
Name and Position | Other Businesses | Position Held | Dates |
The Dreyfus Consumer Credit Corporation++ | Vice President | 2/02 - 8/10 | |
Founders Asset Management LLC**** | Assistant Secretary | 3/09 - 12/09 |
* | The address of the business so indicated is One Boston Place, Boston, Massachusetts, 02108. |
** | The address of the business so indicated is One Bush Street, Suite 450, San Francisco, California 94104. |
*** | The address of the business so indicated is 50 Fremont Street, Suite 3900, San Francisco, California 94105. |
**** | The address of the business so indicated is 210 University Blvd., Suite 800, Denver, Colorado 80206. |
***** | The address of the business so indicated is One Wall Street, New York, New York 10286. |
+ | The address of the business so indicated is One Mellon Bank Center, Pittsburgh, Pennsylvania 15258. |
++ | The address of the business so indicated is 200 Park Avenue, New York, New York 10166. |
+++ | The address of the business so indicated is 144 Glenn Curtiss Boulevard, Uniondale, New York 11556-0144. |
++++ | The address of the business so indicated is White Clay Center, Route 273, Newark, Delaware 19711. |
+++++ | The address of the business so indicated is 4005 Kennett Pike, Greenville, DE 19804. |
Item 32. Principal Underwriters | ||
(a) Other investment companies for which Registrant's principal underwriter (exclusive distributor) acts as principal underwriter or exclusive distributor: | ||
1. | Advantage Funds, Inc. | |
2. | BNY Mellon Funds Trust | |
3. | CitizensSelect Funds | |
4. | Dreyfus Appreciation Fund, Inc. | |
5. | Dreyfus BASIC Money Market Fund, Inc. | |
6. | Dreyfus Bond Funds, Inc. | |
7. | Dreyfus Cash Management | |
8. | Dreyfus Funds, Inc. | |
9. | The Dreyfus Fund Incorporated | |
10. | Dreyfus Government Cash Management Funds | |
11. | Dreyfus Growth and Income Fund, Inc. | |
12. | Dreyfus Index Funds, Inc. | |
13. | Dreyfus Institutional Cash Advantage Funds | |
14. | Dreyfus Institutional Preferred Money Market Funds |
15. | Dreyfus Institutional Reserves Funds |
16. | Dreyfus Intermediate Municipal Bond Fund, Inc. |
17. | Dreyfus International Funds, Inc. |
18. | Dreyfus Investment Funds |
19. | Dreyfus Investment Grade Funds, Inc. |
20. | Dreyfus Investment Portfolios |
21. | The Dreyfus/Laurel Funds, Inc. |
22. | The Dreyfus/Laurel Funds Trust |
23. | The Dreyfus/Laurel Tax-Free Municipal Funds |
24. | Dreyfus Liquid Assets, Inc. |
25. | Dreyfus Manager Funds I |
26. | Dreyfus Manager Funds II |
27. | Dreyfus Midcap Index Fund, Inc. |
28. | Dreyfus Municipal Bond Opportunity Fund |
29. | Dreyfus Municipal Cash Management Plus |
30. | Dreyfus Municipal Funds, Inc. |
31. | Dreyfus Municipal Money Market Fund, Inc. |
32. | Dreyfus New Jersey Municipal Bond Fund, Inc. |
33. | Dreyfus New Jersey Municipal Money Market Fund, Inc. |
34. | Dreyfus New York AMT-Free Municipal Bond Fund |
35. | Dreyfus New York AMT-Free Municipal Money Market Fund |
36. | Dreyfus New York Municipal Cash Management |
37. | Dreyfus New York Tax Exempt Bond Fund, Inc. |
38. | Dreyfus Opportunity Funds |
39. | Dreyfus Premier California AMT-Free Municipal Bond Fund, Inc. |
40. | Dreyfus Premier GNMA Fund, Inc. |
41. | Dreyfus Premier Investment Funds, Inc. |
42. | Dreyfus Premier Short-Intermediate Municipal Bond Fund |
43. | Dreyfus Premier Worldwide Growth Fund, Inc. |
44. | Dreyfus Research Growth Fund, Inc. |
45. | Dreyfus State Municipal Bond Funds |
46. | Dreyfus Stock Funds |
47. | Dreyfus Short-Intermediate Government Fund |
48. | The Dreyfus Socially Responsible Growth Fund, Inc. |
49. | Dreyfus Stock Index Fund, Inc. |
50. | Dreyfus Tax Exempt Cash Management Funds |
51. | The Dreyfus Third Century Fund, Inc. |
52. | Dreyfus Treasury & Agency Cash Management |
53. | Dreyfus Treasury Prime Cash Management |
54. | Dreyfus U.S. Treasury Intermediate Term Fund |
55. | Dreyfus U.S. Treasury Long Term Fund |
56. | Dreyfus 100% U.S. Treasury Money Market Fund |
57. | Dreyfus Variable Investment Fund |
58. | Dreyfus Worldwide Dollar Money Market Fund, Inc. |
59. | General California Municipal Money Market Fund |
60. | General Government Securities Money Market Funds, Inc. |
61. | General Money Market Fund, Inc. |
62. | General Municipal Money Market Funds, Inc. |
63. | General New York Municipal Money Market Fund |
64. | Strategic Funds, Inc. |
(b) | ||
Name and principal | Positions and offices with the Distributor | Positions and Officeswith Registrant |
Kenneth Bradle** | Chief Executive Officer, President and Director | None |
Robert G. Capone**** | Executive Vice President and Director | None |
J. Charles Cardona* | Chairman of the Board | Executive Vice President (Money Market Funds Only) |
Sue Ann Cormack** | Executive Vice President | None |
John M. Donaghey*** | Executive Vice President and Director | None |
Mark A. Keleher***** | Executive Vice President | None |
James D. Kohley*** | Executive Vice President | None |
William H. Maresca** | Executive Vice President and Director | None |
Timothy M. McCormick* | Executive Vice President | None |
David K. Mossman*** | Executive Vice President | None |
Christopher D. O'Connor* | Executive Vice President and Director | None |
Irene Papadoulis** | Executive Vice President | None |
(b) | ||
Name and principal | Positions and offices with the Distributor | Positions and Officeswith Registrant |
Matthew Perrone** | Executive Vice President | None |
Bradley J. Skapyak* | Executive Vice President | President |
Bill E. Sappington* | Executive Vice President and Director | None |
Gary Pierce* | Chief Financial Officer and Director | None |
Tracy Hopkins* | Senior Vice President | None |
Mercedes Katz** | Senior Vice President | None |
Mary T. Lomasney**** | Senior Vice President | None |
Barbara A. McCann**** | Senior Vice President | None |
James D. Muir* | Chief Legal Officer and Secretary | None |
Joseph W. Connolly* | Chief Compliance Officer (Investment Advisory Business) | Chief Compliance Officer |
Stephen Storen* | Chief Compliance Officer | Anti-Money Laundering Compliance Officer |
Matthew D. Connolly* | Vice President and Anti-Money Laundering Officer | None |
Maria Georgopoulos* | Vice President – Facilities Management | None |
Stewart Rosen* | Vice President – Facilities Management | None |
Karin L. Waldmann* | Privacy Officer | None |
Gary E. Abbs*** | Vice President – Tax | None |
Timothy I. Barrett** | Vice President | None |
Gina DiChiara* | Vice President | None |
Jill Gill* | Vice President | None |
Joanne S. Huber*** | Vice President – Tax | None |
John E. Lane****** | Vice President | None |
Kathleen Geis****** | Vice President | None |
Dean M. Steigauf****** | Vice President | None |
Donna M. Impagliazzo** | Vice President – Compliance | None |
Carla R. Wanzer* | Vice President – Compliance | None |
Anthony Nunez* | Vice President – Finance | None |
Claudine Orloski*** | Vice President – Tax | None |
William Schalda* | Vice President | None |
John Shea* | Vice President – Finance | None |
Christopher A. Stallone** | Vice President | None |
(b) | ||
Name and principal | Positions and offices with the Distributor | Positions and Officeswith Registrant |
Susan Verbil* | Vice President – Finance | None |
William Verity* | Vice President – Finance | None |
James Windels****** | Vice President | Treasurer |
James Bitetto* | Assistant Secretary | Vice President and |
Mary Lou Olinski*** | Assistant Secretary | None |
Barbara J. Parrish*** | Assistant Secretary | None |
Cristina Rice*** | Assistant Secretary | None |
Victor R. Siclari*** | Assistant Secretary | None |
* | Principal business address is 200 Park Avenue, New York, NY 10166. |
** | Principal business address is 144 Glenn Curtiss Blvd., Uniondale, NY 11556-0144. |
*** | Principal business address is One Mellon Bank Center, Pittsburgh, PA 15258. |
**** | Principal business address is One Boston Place, Boston, MA 02108. |
***** | Principal business address is 50 Fremont Street, Suite 3900, San Francisco, CA 94105. |
****** | Principal business address is 101 Barclay Street, New York 10286. |
******* | Principal business address is 2 Hanson Place, Brooklyn, New York 11217 |
Item 33. Location of Accounts and Records
1. The Bank of New York Mellon
One Wall Street
New York, New York 10286
2. The Bank of New York Mellon
One Mellon Bank Center
Pittsburgh, Pennsylvania 15258
3. BNY Mellon Investment Servicing (US), Inc.
4400 Computer Drive
Westborough, MA 01581
4. The Dreyfus Corporation
200 Park Avenue
New York, New York 10166
5. The Dreyfus Corporation
2 Hanson Place
Brooklyn, New York 11217
Item 34. Management Services
Not Applicable
Item 35. Undertakings
None
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933 and the Investment Company Act of 1940, the Registrant certifies that it meets all of the requirements for effectiveness of this Amendment to the Registration Statement pursuant to Rule 485(b) under the Securities Act of 1933 and has duly caused this Amendment to the Registration Statement to be signed on its behalf by the undersigned, duly authorized, in the City of New York, and State of New York on the 31st of December 2013.
Dreyfus Investment Funds
BY: | /s/ Bradley J. Skapyak* |
Bradley J. Skapyak |
Pursuant to the requirements of the Securities Act of 1933, this Amendment to the Registration Statement has been signed below by the following persons in the capacities and on the date indicated.
Signatures | Title | Date | ||
/s/ Bradley J. Skapyak* | President (Principal Executive Officer) | 12/31/2013 | ||
Bradley J. Skapyak | ||||
/s/ James Windels* | Treasurer (Principal Financial and Accounting Officer) | 12/31/2013 | ||
James Windels | ||||
/s/ Joseph S. DiMartino* | Chairman of the Board | 12/31/2013 | ||
Joseph S. DiMartino | ||||
/s/ James M. Fitzgibbons* | Board Member | 12/31/2013 | ||
James M. Fitzgibbons | ||||
/s/ Kenneth A. Himmel* | Board Member | 12/31/2013 | ||
Kenneth A. Himmel | ||||
/s/ Stephen J. Lockwood* | Board Member | 12/31/2013 | ||
Stephen J. Lockwood | ||||
/s/ Roslyn M. Watson* | Board Member | 12/31/2013 | ||
Roslyn M. Watson | ||||
/s/ Benaree Pratt Wiley* | Board Member | 12/31/2013 | ||
Benaree Pratt Wiley | ||||
/s/ Francine J. Bovich* | Board Member | 12/31/2013 | ||
Francine J. Bovich |
*BY: | /s/ James Bitetto |
James Bitetto |
INDEX OF EXHIBITS
Exhibits
(a)(3)
Certificate of Designation for Class Y Shares of Dreyfus/Newton International Equity Fund, Dreyfus/Standish Global Fixed Income Fund, Dreyfus/Standish Intermediate Tax-Exempt Bond Fund, Dreyfus/The Boston Company Small/Mid Cap Growth Fund and Dreyfus/The Boston Company Small Cap Growth Fund.
(n)
Rule 18f-3 Plan,amended as of July 1, 2013, revised as of January 1, 2014for Dreyfus/Newton International Equity Fund, Dreyfus/The Boston Company Emerging Markets Core Equity Fund, Dreyfus/The Boston Company Small Cap Growth Fund, Dreyfus/The Boston Company Small/Mid Cap Growth Fund, Dreyfus/The Boston Company Small Cap Value Fund, Dreyfus/Standish Intermediate Tax Exempt Bond Fund and Dreyfus/Standish Global Fixed Income Fund.
