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. 178 | [X] | |
and/or
| REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1940 | [X] | |
| Amendment No. 178 | [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
Bennett MacDougal, 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 (n)(1) to Item 28 to the Registration Statement.
4. Exhibit (n)(2) to Item 28 to the Registration Statement.
This Post-Effective Amendment is being filed solely to file Rule 18f-3 Plans as Exhibit (n)(1) and (n)(2) to Item 28 to this Registration Statement on Form N-1A.
Part A of the Registration Statement was filed on the following dates, and is incorporated by reference herein:
| · | For Dreyfus/Standish Global Fixed Income Fund, on June 3, 2015, pursuant to Rule 497(e) under the Securities Act of 1933; and |
| · | For Dreyfus Diversified Emerging Markets Fund, Dreyfus/The Boston Company Small/Mid Cap Growth Fund, Dreyfus/Newton International Equity Fund, Dreyfus/The Boston Company Small Cap Growth Fund, Dreyfus/The Boston Company Small Cap Value Fund and Dreyfus Tax Sensitive Total Return Bond Fund, on January 27, 2015, as a part of Post-Effective Amendment No. 174 to the Registration Statement. |
Part B of the Registration Statement was filed on December 31, 2015, pursuant to Rule 497(c) and (e) under the Securities Act of 1933.
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 incorporated by reference to Exhibit (a)(3) of Post-Effective Amendment No. 166 to the Registration Statement on Form N-1A, filed on December 31, 2013. |
| (a)(4) | Certificate of Designation for Class Y Shares of Dreyfus Diversified Emerging Markets Fund dated January 15, 2014, is incorporated by reference to Exhibit (a)(4) of Post-Effective Amendment No. 167 to the Registration Statement on Form N-1A, filed on January 28, 2014. |
| (a)(5) | Certificate of Amendment dated January 23, 2014 (changing the name of Dreyfus/The Boston Company Emerging Markets Core Equity Fund to Dreyfus Diversified Emerging Markets Fund is incorporated by reference to Exhibit (a)(5) of Post-Effective Amendment No. 167 to the Registration Statement on Form N-1A, filed on January 28, 2014. |
| (a)(6) | Certificate of Amendment dated February 14, 2014 (changing the name of Dreyfus/Standish Intermediate Tax Exempt Bond Fund to Dreyfus Tax Sensitive Total Return Bond Fund is incorporated by reference to Exhibit (a)(6) of Post-Effective Amendment No. 170 to the Registration Statement on Form N-1A, filed on February 21, 2014. |
| (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 Diversified Emerging Markets Fund (formerly, Dreyfus/The Boston Company Emerging Markets Core Equity Fund), and The Dreyfus Corporation, as revised January 31, 2014, is incorporated by reference to Exhibit (d)(6) of Post-Effective Amendment No. 167 to the Registration Statement on Form N-1A, filed on January 28, 2014. |
| (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. |
| (d)(14) | Sub-Investment Advisory Agreement between The Dreyfus Corporation and The Boston Company Asset Management, LLC dated January 31, 2014 relating to Dreyfus Diversified Emerging Markets Fund and Dreyfus/The Boston Company Small/Mid Cap Growth Fund is incorporated by reference to Exhibit (d)(14) of Post-Effective Amendment No. 167 to the Registration Statement on Form N-1A, filed on January 28, 2014. |
| (d)(15) | Sub-Investment Advisory Agreement between The Dreyfus Corporation and Mellon Capital Management Corporation dated January 31, 2014 relating to Dreyfus Diversified Emerging Markets Fund is incorporated by reference to Exhibit (d)(15) of Post-Effective Amendment No. 167 to the Registration Statement on Form N-1A, filed on January 28, 2014. |
| (d)(16) | Sub-Investment Advisory Agreement between The Dreyfus Corporation and Standish Mellon Asset Management Company LLC dated February 21, 2014 relating to Dreyfus Tax Sensitive Total Return Bond Fund is incorporated by reference to Exhibit (d)(16) of Post-Effective Amendment No. 170 to the Registration Statement on Form N-1A, filed on February 21, 2014. |
| (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)(1) | 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. |
| (g)(2) | Amendment to Custody Agreement made as of October 1, 2013 is incorporated by reference to Exhibit (g)(2) of Post-Effective Amendment No. 167 to the Registration Statement on Form N-1A, filed on January 28, 2014. |
| (h)(1) | Transfer Agency Agreement between the Registrant and Dreyfus Transfer, Inc., dated May 29, 2012 is incorporated 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, as amended October 31, 2013, is incorporated by reference to Exhibit (h)(2) of Post-Effective Amendment No. 167 to the Registration Statement on Form N-1A, filed on January 28, 2014. |
| (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 Fund is incorporated 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 (10A) 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) is incorporated 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) is incorporated by reference to Exhibit (i)(5) of Post-Effective Amendment No. 158 to the Registration Statement on Form N-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) is incorporated by reference to Exhibit (i)(6) of Post-Effective Amendment No. 162 to the Registration Statement on Form N-1A, filed on June 26, 2013. |
| (i)(7) | Opinion and consent of Registrant's counsel (relating to Dreyfus Diversified Emerging Markets 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 Tax Sensitive Total Return Bond Fund) is incorporated by reference to Exhibit (i)(6) of Post-Effective Amendment No. 174 to the Registration Statement on Form N-1A, filed on January 27, 2015. |
| (i)(8) | Opinion and consent of Registrant's counsel (relating to Dreyfus/Standish Global Fixed Income Fund) incorporated by reference to Exhibit (i)(8) of Post-Effective Amendment No. 176 to the Registration Statement on Form N-1A, filed on April 27, 2015 ("Post-Effective Amendment No. 176"). |
| (j) | Consent of Independent Registered Public Accounting Firm is incorporated by reference to Exhibit (j) of Post-Effective Amendment No. 176. |
| (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)(1) | Rule 18f-3 Plan, dated November 13, 2015, is filed herewith. |
| (n)(2) | Rule 18f-3 Plan, effective as of February 1, 2016, is filed herewith. |
| (p)(1) | Revised Code of Ethics adopted by the Registrant, dated May 29, 2012 is incorporated 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. |
| (p)(3) | Revised Code of Ethics adopted by The Bank of New York Mellon which became effective November 3, 2014 is incorporated by reference to Exhibit (p)(3) of Post-Effective Amendment No. 176 |
Other Exhibits
| (1) | Power of Attorney of Bradley J. Skapyak, James Windels and Trustees, dated February 25, 2015, effective April 1, 2015 is incorporated by reference to Exhibit (1) of Post-Effective Amendment No. 176. |
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 Diversified Emerging Markets Fund, Registrant is fulfilling the requirement of this Item 31 to provide a list of the officers and directors of Mellon Capital Management Corporation ("Mellon Capital") and 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 Mellon Capital or TBCAM or those firm's respective officers and directors during the past two years, by incorporating by reference the information contained in the respective Forms ADV filed with the SEC pursuant to the Investment Advisers Act of 1940 by Mellon Capital (SEC File No. 801-19785) and 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/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"), with information as to any other business, profession, vocation or employment of a substantial nature engaged in by TBCAM or those firm's respective officers and directors during the past two years, by incorporating by reference the information contained in the respective Forms ADV filed with the SEC pursuant to the Investment Advisers Act of 1940 by TBCAM (SEC File No. 801-6829).
| Item 31. | Business and Other Connections of Investment Adviser (continued) Officers and Directors of Investment Adviser |
Name and Position With Dreyfus | Other Businesses | Position Held | Dates |
J. Charles Cardona President and Director | MBSC Securities Corporation++ | Director Executive Vice President | 6/07 – Present 6/07 – 3/15 |
| Chairman | 2/13 - Present | ||
| BNY Mellon Liquidity Funds plc+ | Director | 4/06 - Present | |
Diane P. Durnin Vice Chair and Director | MBSC Securities Corporation++ | Executive Vice President | 3/15 - Present |
Bradley J. Skapyak Chief Operating Officer and Director | 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 | 5/11 - Present 5/10 - Present | |
Joseph W. Connolly Chief Compliance Officer | The Dreyfus Family of Funds++ | Chief Compliance Officer | 10/04 - Present |
BNY Mellon Funds Trust++ | Chief Compliance Officer | 10/04 - Present | |
MBSC Securities Corporation++ | Chief Compliance Officer | 6/07 – Present | |
Christopher O'Connor Chief Administrative Officer | MBSC Securities Corporation++ | Director | 3/12 – 3/15 |
| Executive Vice President | 12/11 – Present | ||
Bennett A. MacDougall Chief Legal Officer | The Bank of New York Mellon Corporation ++ | Associate General Counsel | 6/15 - Present |
Deutsche Bank 60 Wall Street New York, NY 10005 | Director and Associate General Counsel | 6/05 - 6/15 | |
Deutsche Investment Management Americas, Inc. 345 Park Avenue New York, NY 10154 | Chief Legal Officer | 11/08 - 6/15 | |
Kim Mustin Executive Vice President – North American Distribution | MBSC Securities Corporation++ | Chief Executive Officer | 3/15 - Present |
MBSC Securities Corporation++ | Director | 10/14 - Present | |
MBSC Securities Corporation++ | Executive Vice President | 10/14 - 3/15 | |
| BNY Mellon Investments CTA, LLC* | Manager | 3/15 - Present | |
| BNY Mellon Investments CTA, LLC* | President | 3/15 - Present | |
Charles Doumar Vice President – Tax | Alcentra NY LLC ++ | Assistant Treasurer - Tax | 9-14 - Present |
Alcentra US. Inc. †††† | Assistant Treasurer - Tax | 9-14 - Present | |
Alternative Holdings I, LLC *** | Assistant Treasurer - Tax | 1/14 - Present | |
Alternative Holdings II, LLC *** | Assistant Treasurer - Tax | 1/14 - Present | |
Asset Recovery II, LLC *** | Assistant Treasurer | 9/13 – Present | |
Asset Recovery III, LLC *** | Assistant Treasurer | 9/13 – 3/15 | |
Asset Recovery IV, LLC *** | Assistant Treasurer | 9/13 – Present | |
Asset Recovery V, LLC *** | Assistant Treasurer | 9/13 – Present | |
Asset Recovery VII, LLC *** | Assistant Treasurer | 9/13 – 3/15 | |
Asset Recovery IX, LLC *** | Assistant Treasurer | 3/14 – 3/15 | |
Asset Recovery X, LLC *** | Assistant Treasurer | 3/14 – 3/15 | |
Asset Recovery XIII, LLC *** | Assistant Treasurer | 3/13 – Present | |
Asset Recovery XIV, LLC *** | Assistant Treasurer | 3/13 – Present | |
Asset Recovery XIX, LLC *** | Assistant Treasurer | 7/13 – Present | |
Asset Recovery XV, LLC *** | Assistant Treasurer | 3/13 – 3/15 | |
Asset Recovery XVI, LLC *** | Assistant Treasurer | 3/13 – Present | |
Asset Recovery XVII, LLC *** | Assistant Treasurer | 3/13 – 3/15 | |
Asset Recovery XVIII, LLC *** | Assistant Treasurer | 7/13 – 3/15 | |
Asset Recovery XX, LLC *** | Assistant Treasurer | 7/13 – Present | |
Asset Recovery XXI, LLC *** | Assistant Treasurer | 7/13 – 3/15 | |
Asset Recovery XXII, LLC *** | Assistant Treasurer | 7/13 – Present | |
Asset Recovery XXIII, LLC *** | Assistant Treasurer | 7/13 – Present | |
BNY Alcentra Group Holdings, Inc. †††††† | Assistant Treasurer - Tax | 3/13 - Present | |
BNY Capital Funding LLC *** | Assistant Treasurer – Tax | 9/13 - Present | |
BNY Investment Strategy and Solutions Group, LLC * | Assistant Treasurer – Tax | 6/15 - Present | |
BNY Mellon Community Development Corporation ^^^^^ | Assistant Treasurer – Tax | 10/13 - Present | |
BNY Mellon Distributors Holdings Inc. # | Assistant Treasurer – Tax | 6/14 – Present | |
BNY Mellon Investments CTA, LLC * | Assistant Treasurer | 9/13 – Present | |
BNY Mellon Investment Servicing (US) Inc. + | Assistant Treasurer | 3/14 – Present | |
BNY Mellon Investment Servicing Trust Company # | Assistant Treasurer | 3/14 – Present | |
BNY Mellon Trust of Delaware# | Assistant Treasurer | 11/13 – Present | |
IVY Asset Management LLC + | Assistant Treasurer | 9/13 – Present | |
Mellon Hedge Advisors, LLC * | Assistant Treasurer | 10/13 – Present | |
MUNB Loan Holdings, LLC*** | Assistant Treasurer | 10/13 – Present | |
484Wall Capital Management LLC *** | Assistant Treasurer – Tax | 10/13 – Present | |
Airlease Incorporated ††† | Assistant Treasurer – Tax | 7/13 – Present | |
Albridge Solutions, Inc. †††† | Assistant Treasurer – Tax | 7/13 – Present | |
Allomon Corporation † | Assistant Treasurer – Tax | 5/13 – Present | |
AP Residential Realty, Inc. ††††† | Assistant Treasurer – Tax | 8/13 – Present | |
APT Holdings Corporation # | Assistant Treasurer – Tax | 11/13 – Present | |
AURORA-IRE, Inc. ††† | Assistant Treasurer – Tax | 7/13 – Present | |
B.I.E. Corporation + | Assistant Treasurer – Tax | 12/13 – Present | |
B.N.Y. Holdings (Delaware) Corporation # | Assistant Treasurer – Tax | 4/13 – Present | |
BNY Capital Corporation *** | Assistant Treasurer – Tax | 9/13 – Present | |
BNY Capital Markets Holdings, Inc. *** | Assistant Treasurer – Tax | 9/13 – Present | |
BNY Capital Resources Corporation ####### | Assistant Treasurer – Tax | 3/13 – Present | |
BNY Cargo Holdings LLC*** | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Catair LLC ††† | Assistant Treasurer – Tax | 7/13 – Present | |
BNYM CSIM Funding LLC +++ | Assistant Treasurer – Tax | 7/14 – Present | |
BNY Falcon Three Holding Corp. *** | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Foreign Holdings, Inc. *** | Assistant Treasurer – Tax | 10/13 – Present | |
BNY Gator LLC *** | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Hitchcock Holdings LLC *** | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Housing I Corp. ††† | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Housing II LLC *** | Assistant Treasurer – Tax | 7/13 – Present | |
BNY ITC Leasing, LLC *** | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Lease Equities (Cap Funding) LLC ######## | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Lease Holdings LLC *** | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Lease Partners LLC *** | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Leasing Edge Corporation *** | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Mellon Alternative Investments Holdings LLC *** | Assistant Treasurer – Tax | 10/13 – Present | |
BNY Mellon Capital Markets, LLC ^^^^^ | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Mellon Clearing Holding Company, LLC *** | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Mellon Fixed Income Securities, LLC *** | Assistant Treasurer – Tax | 8/13 – Present | |
BNY Mellon Trust Company of Illinois ***** | Assistant Treasurer – Tax | 3/13 – Present | |
BNY Mezzanine Funding LLC ****** | Assistant Treasurer – Tax | 5/13 – Present | |
BNY Mezzanine Holdings LLC ****** | Assistant Treasurer – Tax | 5/13 – Present | |
BNY Mezzanine Non NY Funding LLC ****** | Assistant Treasurer – Tax | 5/13 – Present | |
BNY Mezzanine NY Funding LLC ****** | Assistant Treasurer – Tax | 5/13 – Present | |
BNY Partnership Funding LLC *** | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Partnership Funding LLC *** | Manager | 11/14 – 6/15 | |
BNY Rail Maintenance LLC *** | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Recap I, LLC # | Assistant Treasurer – Tax | 9/13 – Present | |
BNY Salvage Inc. *** | Assistant Treasurer – Tax | 3/13 – Present | |
BNY Waterworks, Inc. ††† | Assistant Treasurer – Tax | 7/13 – Present | |
BNY Wings, Inc. ††† | Assistant Treasurer – Tax | 7/13 – Present | |
BNYM GIS Funding I LLC *** | Assistant Treasurer – Tax | 6/13 – Present | |
BNYM GIS Funding III LLC *** | Assistant Treasurer – Tax | 6/13 – Present | |
Amherst Capital Management, LLC *** | Assistant Treasurer – Tax | 11/14 – Present | |
BNYM RECAP Holdings, LLC *** | Assistant Treasurer – Tax | 11/14 – Present | |
BNY-N.J. I Corp. *** | Assistant Treasurer – Tax | 4/13 – Present | |
BNY-N.J. II Corp. *** | Assistant Treasurer – Tax | 4/13 – Present | |
Boston Safe Deposit Finance Company, Inc. * | Assistant Treasurer – Tax | 7/13 – Present | |
CenterSquare Investment Management Holdings, Inc. +++ | Assistant Treasurer – Tax | 12/13 – Present | |
CenterSquare Investment Management, Inc. +++ | Assistant Treasurer – Tax | 12/13 – Present | |
Coates Holding LLC# | Assistant Treasurer – Tax | 3/15 - Present | |
Colson Services Corp. ^ | Assistant Treasurer – Tax | 3/14 - Present | |
Cutwater Asset Management Corp. +++++ | Assistant Treasurer – Tax | 1/15 - Present | |
Cutwater Holdings LLC +++++ | Assistant Treasurer – Tax | 1//15 - Present | |
Cutwater Investor Services Corp. +++++ | Assistant Treasurer - Tax | 1/15 - Present | |
Dreyfus Service Organization, Inc. ++ | Assistant Treasurer – Tax | 3/14 - Present | |
EACM Advisors LLC ^^ | Assistant Treasurer – Tax | 1/14 - Present | |
Eagle Access LLC ^^^ | Assistant Treasurer – Tax | 1/14 - Present | |
Eagle Investment Systems LLC ^^^^ | Assistant Treasurer – Tax | 1/14 - Present | |
ECM DE. LLC *** | Assistant Treasurer – Tax | 1/14 - Present | |
GIS Holdings (International) Inc. # | Assistant Treasurer – Tax | 6/14 – 12/14 | |
Hamilton Floating Rate Fund Holdings, LLC *** | Assistant Treasurer – Tax | 5/13 – Present | |
HedgeMark International, LLC ## | Assistant Treasurer – Tax | 5/14 – Present | |
iNautix (USA) LLC ### | Assistant Treasurer – Tax | 11/13 – Present | |
IRE-1, Inc. ††† | Assistant Treasurer – Tax | 7/13 – Present | |
IRE-AC, Inc. ††† | Assistant Treasurer – Tax | 7/13 – Present | |
IRE-BC, Inc. ††† | Assistant Treasurer – Tax | 7/13 – Present | |
IRE-SB, Inc. ††† | Assistant Treasurer – Tax | 7/13 – Present | |
Island Waterworks, Inc. ††† | Assistant Treasurer – Tax | 7/13 – Present | |
ITCMED, Inc. *** | Assistant Treasurer – Tax | 6/13 – 5/15 | |
JRHC 1998A LLC #### | Assistant Treasurer – Tax | 12/13 – Present | |
Lockwood Advisors, Inc. ###### | Assistant Treasurer – Tax | 3/14 - Present | |
Lockwood Insurance, Inc. ###### | Assistant Treasurer – Tax | 8/14 - Present | |
Lockwood Solutions, Inc. ###### | Assistant Treasurer – Tax | 8/14 - Present | |
Lease Equities (Texas) Corporation ##### | Assistant Treasurer – Tax | 7/13 – Present | |
Madison Pershing LLC ### | Assistant Treasurer – Tax | 6/13 – Present | |
MAM (MA) Holding Trust * | Assistant Treasurer – Tax | 8/13 – Present | |
MBC Investments Corporation # | Assistant Treasurer – Tax | 11/13 – Present | |
MBSC Securities Corporation ++ | Vice President – Tax | 2/14 - Present | |
MCDI (Holdings) LLC *** | Assistant Treasurer – Tax | 9/13 – Present | |
Mellon Capital Management Corporation ** | Assistant Treasurer – Tax | 1/14 - Present | |
Mellon Holdings LLC++ | Assistant Treasurer | 2/15 - Present | |
MELDEL Leasing Corporation Number 2, Inc. # | Assistant Treasurer – Tax | 9/13 – Present | |
Mellon Financial Services Corporation #1+ | Assistant Treasurer – Tax | 7/13 – Present | |
Mellon Financial Services Corporation #4 + | Assistant Treasurer – Tax | 9/13 – Present | |
Mellon Funding Corporation + | Assistant Treasurer – Tax | 3/14 - Present | |
Mellon Global Investing Corp. + | Assistant Treasurer – Tax | 5/14 - Present | |
Mellon International Leasing Company # | Assistant Treasurer – Tax | 8/14 - Present | |
Mellon Leasing Corporation+ | Assistant Treasurer – Tax | 7/13 – Present | |
Mellon Life Insurance Company+ | Assistant Treasurer – Tax | 10/13 – Present | |
Mellon Overseas Investment Corporation *** | Assistant Treasurer – Tax | 12/13 - Present | |
Mellon Properties Company **** | Assistant Treasurer – Tax | 8/13 – Present | |
Mellon Residential Funding Corporation ++++ | Assistant Treasurer - Tax | 4/14 - Present | |
National Residential Assets Corp.*** | Assistant Treasurer – Tax | 4/13 – Present | |
New GSM Holding Corporation ^^^^ | Assistant Treasurer – Tax | 7/13 – Present | |
Newton Capital Management LLC.*** | Assistant Treasurer – Tax | 8/14 - Present | |
Northern Waterworks, Inc. ††† | Assistant Treasurer – Tax | 7/13 – Present | |
NY CRE Asset Holdings, LLC. *** | Assistant Treasurer – Tax | 1/14 - Present | |
NY CRE Asset Holdings II, LLC. *** | Assistant Treasurer – Tax | 1/14 - Present | |
One Wall Street Corporation *** | Assistant Treasurer – Tax | 11/13 – Present | |
Pareto New York LLC++ | Assistant Treasurer – Tax | 11/13 – Present | |
PAS Holdings LLC *** | Assistant Treasurer – Tax | 6/13 – Present | |
Pershing Advisor Solutions LLC ### | Assistant Treasurer – Tax | 6/13 – Present | |
Pershing Group LLC ### | Assistant Treasurer – Tax | 6/13 – Present | |
Pershing Investments LLC *** | Assistant Treasurer – Tax | 6/13 – Present | |
Pershing LLC ### | Assistant Treasurer – Tax | 7/13 – Present | |
Standish Mellon Asset Management Company LLC* | Assistant Treasurer – Tax | 11/14 – Present | |
Stanwich Insurance Agency, Inc. *** | Treasurer | 12/13 – Present | |
TBC Securities Co., Inc.* | Assistant Treasurer – Tax | 6/13 – Present | |
TBCAM, LLC * | Assistant Treasurer – Tax | 10/13 – Present | |
Technology Services Group, Inc. ^^^^^ | Assistant Treasurer – Tax | 9/13 – Present | |
Tennessee Processing Center LLC ^^^^^ | Assistant Treasurer – Tax | 9/13 – Present | |
The Bank of New York Consumer Leasing Corporation*** | Assistant Treasurer – Tax | 7/13 – Present | |
The Bank of New York Mellon Trust Company, National Association + | Assistant Treasurer | 10/13 - Present | |
The Boston Company Asset Management, LLC * | Assistant Treasurer – Tax | 8/13 – Present | |
USPLP, Inc. *** | Assistant Treasurer – Tax | 10/13 – Present | |
MBNA Institutional PA Services LLC + | Treasurer | 7/13 – Present | |
MBNA PW PA Services LLC + | Treasurer | 7/13 – Present | |
Stanwich Insurance Agency, Inc. *** | Treasurer | 12/13 – Present | |
BNY Aurora Holding Corp. *** | Vice President | 11/13 – Present | |
Agency Brokerage Holding LLC*** | Vice President – Tax | 6/13 – Present | |
BNY Community Development Enterprises Corp. *** | Vice President – Tax | 4/13 – 5/14 | |
Asset Recovery I, LLC *** | Assistant Treasurer | 9/13 - 11/13 | |
Asset Recovery VI, LLC *** | Assistant Treasurer | 9/13 - 11/13 | |
Asset Recovery XII, LLC *** | Assistant Treasurer | 3/13 - 11/13 | |
Jill Gill Vice President – Human Resources | MBSC Securities Corporation++ | Vice President | 6/07 – Present |
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++ | Executive Vice President Senior Vice President | 2/14 – Present 2/08 – 2/14 |
Anthony Mayo Vice President – Information Systems | MBSC Securities Corporation++ | Chief Technology Officer | 4/14 – Present |
Kathleen Geis Vice President | BNY Mellon International Operations (India) Private Limited | Director | 5/05 - Present |
BNY Mellon, National Association+ | Managing Director | 7/09 – 10/14 | |
| Albridge Solutions, Inc. | Managing Director | 7/11 - Present | |
BNY Mellon Distributors Holdings, Inc. # | Vice President - Real Estate | 7/11 - Present | |
BNY Mellon Investment Management Services LLC # | Vice President - Real Estate | 10/11 - Present | |
BNY Mellon Investment Servicing (US) Inc. + | Vice President - Real Estate | 7/11 - Present | |
BNY Mellon Performance & Risk Analytics, LLC + | Vice President - Real Estate | 7/11 - Present | |
BNY Mellon Trust Company of Illinois ***** | Vice President - Real Estate | 7/11 - Present | |
BNY Mellon Trust of Delaware# | Vice President - Real Estate | 7/11 - Present | |
CenterSquare Investment Management Holdings, Inc. +++ | Vice President - Real Estate | 10/12 – Present | |
Eagle Investment Systems LLC ^^^^ | Vice President - Real Estate | 7/11 – Present | |
Ivy Asset Management LLC + | Vice President - Real Estate | 7/11 – Present | |
MBSC Securities Corporation ++ | Vice President - Real Estate | 7/11 – Present | |
Mellon Capital Management Corporation** | Vice President - Real Estate | 7/11 – Present | |
Mellon Financial Services Corporation #1+ | Vice President - Real Estate | 7/11 – Present | |
Mellon Holdings LLC++ | Vice President - Real Estate | 7/11 – Present | |
Pareto New York LLC ++ | Vice President - Real Estate | 7/11 – Present | |
SourceNet Solutions, Inc. + | Vice President - Real Estate | 7/11 – 5/13 | |
Technology Services Group, Inc. ^^^^^ | Vice President - Real Estate | 7/11 – Present | |
Tennessee Processing Center LLC ^^^^^ | Vice President - Real Estate | 7/11 - Present | |
The Bank of New York Mellon Trust Company, National Association+ | Vice President - Real Estate | 7/11 - Present | |
Alcentra US, Inc. †††† | Vice President - Real Estate | 7/11 - Present | |
BNY Mellon Capital Markets LLC^^^^^ | Vice President - Real Estate | 7/11 - Present | |
Pershing LLC ### | Vice President - Real Estate | 7/11 - Present | |
The Bank of New York Mellon+ | Managing Director | 7/09 - Present | |
MBNA Institutional PA Services, LLC+ | Managing Director | 7/09 – 10/14 | |
Claudine Orloski Vice President – Tax | Dreyfus Service Organization++ | Vice President – Tax | 8/14 – Present |
MBSC Securities Corporation++ | Vice President – Tax | 2/12 - Present | |
Asset Recovery II, LLC*** | Assistant Treasurer | 9/11 - Present | |
Asset Recovery III, LLC *** | Assistant Treasurer | 9/11 – 3/15 | |
Asset Recovery IV, LLC *** | Assistant Treasurer | 9/11 – Present | |
Asset Recovery IX, LLC *** | Assistant Treasurer | 2/11 – 3/15 | |
Asset Recovery V, LLC *** | Assistant Treasurer | 9/11 – Present | |
Asset Recovery VII, LLC *** | Assistant Treasurer | 2/11 – 3/15 | |
Asset Recovery X, LLC *** | Assistant Treasurer | 2/11 – 3/15 | |
Asset Recovery XIII, LLC*** | Assistant Treasurer | 3/11 – Present | |
Asset Recovery XIV, LLC *** | Assistant Treasurer | 3/11 – Present | |
Asset Recovery XIX, LLC *** | Assistant Treasurer | 7/11 – Present | |
Asset Recovery XV, LLC *** | Assistant Treasurer | 3/11 – 3/15 | |
Asset Recovery XVI, LLC *** | Assistant Treasurer | 3/11 – Present | |
Asset Recovery XVII, LLC *** | Assistant Treasurer | 3/11 – 3/15 | |
Asset Recovery XVIII, LLC *** | Assistant Treasurer | 7/11 – 3/15 | |
Asset Recovery XX, LLC *** | Assistant Treasurer | 7/11 – Present | |
Asset Recovery XXI, LLC *** | Assistant Treasurer | 7/11 – 3/15 | |
Asset Recovery XXII, LLC *** | Assistant Treasurer | 7/11 – Present | |
Asset Recovery XXIII, LLC *** | Assistant Treasurer | 7/11 – Present | |
BNY Mellon Investments CTA, LLC * | Assistant Treasurer | 9/13 – Present | |
BNY Mellon Trust of Delaware # | Assistant Treasurer | 11/11 – Present | |
Mellon Hedge Advisors, LLC * | Assistant Treasurer | 10/11 – Present | |
Mellon Holdings LLC ++ | Assistant Treasurer | 12/11 – Present | |
MUNB Loan Holdings, LLC *** | Assistant Treasurer | 10/11 – Present | |
| 484 Wall Capital Management LLC | Assistant Treasurer -Tax | 10/13 – Present | |
Airlease Incorporated ††† | Assistant Treasurer -Tax | 7/11 – Present | |
Albridge Solutions, Inc. †††† | Assistant Treasurer -Tax | 6/11 – Present | |
Alcentra NY, LLC ++ | Assistant Treasurer -Tax | 10/12 – Present | |
Alcentra US, Inc. †††† | Assistant Treasurer -Tax | 10/11 – Present | |
Allomon Corporation † | Assistant Treasurer -Tax | 5/12 – Present | |
Alternative Holdings I, LLC *** | Assistant Treasurer -Tax | 1/13 – Present | |
Alternative Holdings II, LLC *** | Assistant Treasurer -Tax | 1/13 – Present | |
AP Residential Realty, Inc. ††††† | Assistant Treasurer -Tax | 8/11 – Present | |
APT Holdings Corporation # | Assistant Treasurer -Tax | 12/11 – Present | |
AURORA-IRE, INC. ††† | Assistant Treasurer -Tax | 7/11 – Present | |
B.N.Y. Holdings (Delaware) Corporation # | Assistant Treasurer -Tax | 4/12 – Present | |
BNY Administrative Services LLC *** | Assistant Treasurer –Tax | 12/11 – Present | |
BNY Alcentra Group Holdings, Inc. †††††† | Assistant Treasurer –Tax | 3/13 – Present | |
BNY Capital Corporation *** | Assistant Treasurer –Tax | 11/11 – Present | |
BNY Capital Funding LLC *** | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Capital Markets Holdings, Inc. *** | Assistant Treasurer –Tax | 11/11 – Present | |
BNY Capital Resources Corporation ####### | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Cargo Holdings LLC *** | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Catair LLC ††† | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Falcon Three Holding Corp. *** | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Foreign Holdings, Inc. *** | Assistant Treasurer –Tax | 9/11 – Present | |
BNY Gator LLC *** | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Hitchcock Holdings LLC *** | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Housing I Corp. ††† | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Housing II LLC *** | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Investment Strategy and Solutions Group LLC * | Assistant Treasurer –Tax | 6/15 – Present | |
BNY Investment Management Services LLC # | Assistant Treasurer –Tax | 10/11 – Present | |
BNY ITC Leasing, LLC *** | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Lease Equities (Cap Funding) LLC ######## | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Lease Holdings LLC *** | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Lease Partners LLC *** | Assistant Treasurer –Tax | 9/11 – Present | |
BNY Leasing Edge Corporation *** | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Mellon Alternative Investments Holdings LLC *** | Assistant Treasurer –Tax | 10/13 – Present | |
BNY Mellon Capital Markets, LLC ^^^^^ | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Mellon Clearing Holding Company, LLC *** | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Mellon Clearing, LLC *** | Assistant Treasurer –Tax | 6/11 – Present | |
BNY Mellon Community Development Corporation ^^^^^ | Assistant Treasurer –Tax | 10/11 – Present | |
BNY Mellon Distributors Holdings Inc. # | Assistant Treasurer –Tax | 7/12 – Present | |
BNY Mellon Fixed Income Securities, LLC *** | Assistant Treasurer –Tax | 8/12 – Present | |
BNY Mellon Investment Servicing (US) Inc. # | Assistant Treasurer –Tax | 3/11 – Present | |
BNY Mellon Investment Servicing Trust Company # | Assistant Treasurer –Tax | 3/11 – Present | |
BNY Mellon Performance & Risk Analytics, Inc. (US) ^^^^^^ | Assistant Treasurer –Tax | 10/11 – Present | |
BNY Mellon Performance & Risk Analytics, LLC + | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Mellon Transition Management Advisors, LLC ** | Assistant Treasurer –Tax | 5/13 – Present | |
BNY Mellon Trust Company of Illinois ***** | Assistant Treasurer –Tax | 3/11 – Present | |
BNY Mezzanine Funding LLC ****** | Assistant Treasurer –Tax | 6/11 – Present | |
BNY Mezzanine Holdings LLC ****** | Assistant Treasurer –Tax | 5/11 – Present | |
BNY Mezzanine Non NY Funding LLC ****** | Assistant Treasurer –Tax | 6/11 – Present | |
BNY Mezzanine NY Funding LLC ****** | Assistant Treasurer –Tax | 6/11 – Present | |
BNY Partnership Funding LLC *** | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Rail Maintenance LLC *** | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Real Estate Holdings LLC *** | Assistant Treasurer –Tax | 4/11 – Present | |
BNY Recap I, LLC # | Assistant Treasurer –Tax | 11/11 – Present | |
BNY Salvage Inc. *** | Assistant Treasurer –Tax | 3/11 – Present | |
BNY Waterworks, Inc. ††† | Assistant Treasurer –Tax | 7/11 – Present | |
BNY Wings, Inc. ††† | Assistant Treasurer –Tax | 7/11 – Present | |
BNY XYZ Holdings LLC *** | Assistant Treasurer –Tax | 5/11 – Present | |
BNYM CSIM Funding LLC +++ | Assistant Treasurer –Tax | 7/14 – Present | |
BNYM GIS Funding I LLC *** | Assistant Treasurer –Tax | 6/12 – Present | |
BNYM GIS Funding III LLC *** | Assistant Treasurer –Tax | 6/12 – Present | |
Amherst Capital Management LLC *** | Assistant Treasurer –Tax | 11/14 – Present | |
BNYM RECAP Holdings, LLC *** | Assistant Treasurer –Tax | 11/14 – Present | |
BNY-N.J. I Corp. *** | Assistant Treasurer –Tax | 4/11 – Present | |
BNY-N.J. II Corp. *** | Assistant Treasurer –Tax | 4/11 – Present | |
Boston Safe Deposit Finance Company, Inc. * | Assistant Treasurer –Tax | 7/11 – Present | |
CenterSquare Investment Management Holdings, Inc. +++ | Assistant Treasurer –Tax | 2/13 – Present | |
CenterSquare Investment Management, Inc. +++ | Assistant Treasurer –Tax | 2/13 – Present | |
Coates Holding LLC# | Assistant Treasurer – Tax | 3/15 - Present | |
Colson Services Corp. ^ | Assistant Treasurer –Tax | 2/11 – Present | |
Cutwater Asset Management Corp. +++++ | Assistant Treasurer – Tax | 1/15 - Present | |
Cutwater Holdings LLC +++++ | Assistant Treasurer – Tax | 1//15 - Present | |
Cutwater Investor Services Corp. +++++ | Assistant Treasurer - Tax | 1/15 - Present | |
EACM Advisors LLC ^^ | Assistant Treasurer –Tax | 4/14 – Present | |
Eagle Access LLC ^^^ | Assistant Treasurer –Tax | 1/12 – Present | |
Eagle Investment Systems LLC ^^^^ | Assistant Treasurer –Tax | 1/12 – Present | |
ECM DE, LLC *** | Assistant Treasurer –Tax | 3/11 – Present | |
GIS Holdings (International) Inc. # | Assistant Treasurer –Tax | 4/12 – 12/14 | |
Hamilton Floating Rate Fund Holdings, LLC *** | Assistant Treasurer –Tax | 5/11 – Present | |
HedgeMark International, LLC ## | Assistant Treasurer –Tax | 5/14 – Present | |
iNautix (USA) LLC ### | Assistant Treasurer –Tax | 7/12 – Present | |
IRE-1, Inc. ††† | Assistant Treasurer –Tax | 7/11 – Present | |
IRE-AC, Inc. ††† | Assistant Treasurer –Tax | 7/11 – Present | |
IRE-BC, Inc. ††† | Assistant Treasurer –Tax | 7/11 – Present | |
IRE-SB, Inc. ††† | Assistant Treasurer –Tax | 7/11 – Present | |
Island Waterworks, Inc. ††† | Assistant Treasurer –Tax | 7/11 – Present | |
ITCMED, Inc. *** | Assistant Treasurer –Tax | 6/11 – 5/15 | |
JRHC 1998A LLC #### | Assistant Treasurer –Tax | 12/11 – Present | |
Lease Equities (Texas) Corporation##### | Assistant Treasurer –Tax | 7/11 – Present | |
Lockwood Advisors, Inc. ###### | Assistant Treasurer –Tax | 3/11 – Present | |
Lockwood Solutions, Inc. ###### | Assistant Treasurer –Tax | 3/11 – Present | |
Madison Pershing LLC ### | Assistant Treasurer –Tax | 4/11 – Present | |
MAM (MA) Holding Trust * | Assistant Treasurer –Tax | 8/11 – Present | |
MBC Investments Corporation # | Assistant Treasurer –Tax | 11/11 – Present | |
MBNA Institutional PA Services LLC + | Assistant Treasurer –Tax | 7/12 – Present | |
MBNA PW PA Services LLC + | Assistant Treasurer –Tax | 7/12 – Present | |
MCDI (Holdings) LLC *** | Assistant Treasurer –Tax | 8/11 – Present | |
MELDEL Leasing Corporation Number 2, Inc. # | Assistant Treasurer –Tax | 8/11 – Present | |
Mellon Capital Management Corporation ** | Assistant Treasurer –Tax | 10/13 – Present | |
Mellon EFT Services Corporation ††††† | Assistant Treasurer –Tax | 2/11 – Present | |
Mellon Financial Services Corporation #1 + | Assistant Treasurer –Tax | 7/11 – Present | |
Mellon Financial Services Corporation #4 + | Assistant Treasurer –Tax | 12/11 – Present | |
Mellon Funding Corporation + | Assistant Treasurer –Tax | 12/11 – Present | |
Mellon Global Investing Corp. + | Assistant Treasurer –Tax | 5/11 – Present | |
Mellon International Leasing Company # | Assistant Treasurer –Tax | 7/11 – Present | |
Mellon Leasing Corporation + | Assistant Treasurer –Tax | 9/11 – Present | |
Mellon Life Insurance Company + | Assistant Treasurer –Tax | 10/12 – Present | |
Mellon Overseas Investment Corporation *** | Assistant Treasurer –Tax | 11/11 – Present | |
Mellon Properties Company **** | Assistant Treasurer –Tax | 8/12 – Present | |
Mellon Residential Funding Corporation **** | Assistant Treasurer –Tax | 4/14 – Present | |
National Residential Assets Corp. *** | Assistant Treasurer –Tax | 4/12 – Present | |
New GSM Holding Corporation ^^^^ | Assistant Treasurer –Tax | 7/11 – Present | |
Newton Capital Management LLC *** | Assistant Treasurer –Tax | 10/11 – Present | |
Northern Waterworks, Inc. ††† | Assistant Treasurer –Tax | 7/11 – Present | |
NY CRE Asset Holdings II, LLC *** | Assistant Treasurer –Tax | 1/12 – Present | |
NY CRE Asset Holdings, LLC *** | Assistant Treasurer –Tax | 1/12 – Present | |
One Wall Street Corporation *** | Assistant Treasurer –Tax | 11/11 – Present | |
Pareto New York LLC ++ | Assistant Treasurer –Tax | 11/11 – Present | |
PAS Holdings LLC *** | Assistant Treasurer –Tax | 6/11 – Present | |
Pershing Advisor Solutions LLC ### | Assistant Treasurer –Tax | 6/11 – Present | |
Pershing Group LLC ### | Assistant Treasurer –Tax | 4/11 – Present | |
Pershing Investments LLC *** | Assistant Treasurer –Tax | 2/11 – Present | |
Pershing LLC ### | Assistant Treasurer –Tax | 4/11 – Present | |
PFS Holdings, LLC *** | Assistant Treasurer –Tax | 1/12 – Present | |
| Standish Mellon Asset Management Company LLC | Assistant Treasurer –Tax | 11/14 - Present | |
Stanwich Insurance Agency, Inc. *** | Assistant Treasurer –Tax | 12/11 – Present | |
TBC Securities Co., Inc. * | Assistant Treasurer –Tax | 7/11 – Present | |
TBCAM, LLC * | Assistant Treasurer –Tax | 10/13 – Present | |
Technology Services Group, Inc. ^^^^^ | Assistant Treasurer –Tax | 5/11 – Present | |
Tennessee Processing Center LLC ^^^^^ | Assistant Treasurer –Tax | 9/11 – Present | |
The Bank of New York Consumer Leasing Corporation *** | Assistant Treasurer –Tax | 5/11 – Present | |
The Bank of New York Mellon Trust Company, National Association + | Assistant Treasurer | 10/13 - Present | |
The Boston Company Asset Management, LLC * | Assistant Treasurer –Tax | 6/11 – Present | |
USPLP, Inc. *** | Assistant Treasurer –Tax | 10/11 – Present | |
BNY Mellon Investment Management Holdings LLC # | Assistant Vice President –Tax | 12/12 – Present | |
BNY Aurora Holding Corp. *** | Vice President | 10/11 – Present | |
Agency Brokerage Holding LLC *** | Vice President –Tax | 2/11 – Present | |
MBSC Securities Corporation ++ | Vice President –Tax | 2/12 – Present | |
James Bitetto Secretary | 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 |
* | The address of the business so indicated is One Boston Place, Boston, Massachusetts, 02108. | |||
** | 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 One Wall Street, New York, New York 10286. | |||
**** | The address of the business so indicated is 3601 N. I-10 Service Road, Suite 102, Metairie, LA 70002. | |||
***** | The address of the business so indicated is 2 North LaSalle Street, Suite 1020, Chicago, IL, 60602 | |||
****** | The address of the business so indicated is 445 Park Avenue, 12th Floor, New York, NY, 10022 | |||
+ | 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 630 West Germantown Pike, Suite 300, Plymouth Meeting, PA, 19462 | |||
++++ | The address of the business so indicated is 500 Grant Street, Pittsburgh, PA 15258 | |||
+++++ | The address of the business so indicated is 113 King Street, Armonk, NY 10504 | |||
† | The address of the business so indicated is Two Mellon Center, Suite 329, Pittsburgh, PA 15259. | |||
†† | The address of the business so indicated is 100 White Clay Center, Newark, DE 19711. | |||
††† | The address of the business so indicated is 1633 Broadway, New York, NY, 10019 | |||
†††† | The address of the business so indicated is 10877 Wilshire Blvd, #1550, Los Angeles, CA, 90024 | |||
††††† | The address of the business so indicated is 1735 Market Street, Philadelphia, PA, 19103 | |||
†††††† | The address of the business so indicated is 10 Gresham Street, London, EC2V 7JD | |||
^ | The address of the business so indicated is 4 New York Plaza, New York, NY, 10004 | |||
^^ | The address of the business so indicated is 200 Connecticut Avenue, Norwalk, CT, 06854-1940 | |||
^^^ | The address of the business so indicated is One Wells Avenue, Newton, MA, 02459 | |||
^^^^ | The address of the business so indicated is 65 LaSalle Road, Suite 305, West Hartford, CT, 06107 | |||
^^^^^ | The address of the business so indicated is 101 Barclay Street, 3rd Floor, New York, NY, 10286 | |||
^^^^^^ | The address of the business so indicated is 1313 Broadway Plaza, Tacoma, WA, 98402 | |||
# | The address of the business so indicated is 301 Bellevue Parkway, Wilmington, DE, 19809 | |||
## | The address of the business so indicated is 780, Third Avenue, 44th Floor, New York, NY, 10017 | |||
### | The address of the business so indicated is One Pershing Plaza, Jersey City, NJ, 07399 | |||
#### | The address of the business so indicated is 601 Travis Street, 17th Floor, Houston, TX, 77002 | |||
##### | The address of the business so indicated is 1201 Louisiana, Suite 3160, Houston, TX, 77002 | |||
###### | The address of the business so indicated is 760 Moore Road, King of Prussia, PA, 19406-1212 | |||
####### | The address of the business so indicated is 8400 E. Prentice Ave, Greenwood Village, CO, 80111 | |||
######## | The address of the business so indicated is 1290 Avenue of the Americas, New York, NY, 10104 | |||
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 Absolute Insight Funds, Inc. | |||
3. | BNY Mellon Funds Trust | |||
4. | CitizensSelect Funds | |||
5. | Dreyfus Appreciation Fund, Inc. | |||
6. | Dreyfus BASIC Money Market Fund, Inc. | |||
7. | Dreyfus BNY Mellon Funds, Inc. | |||
8. | Dreyfus Bond Funds, Inc. | |||
9. | Dreyfus Cash Management | |||
10. | Dreyfus Funds, Inc. | |||
11. | The Dreyfus Fund Incorporated | |||
12. | Dreyfus Government Cash Management Funds | |||
13. | Dreyfus Growth and Income Fund, Inc. | |||
14. | Dreyfus Index Funds, Inc. | |||
15. | Dreyfus Institutional Cash Advantage Funds | |||
16. | Dreyfus Institutional Preferred Money Market Funds | |||
17. | Dreyfus Institutional Reserves Funds | |||
18. | Dreyfus Intermediate Municipal Bond Fund, Inc. | |||
19. | Dreyfus International Funds, Inc. | |||
20. | Dreyfus Investment Funds | |||
21. | Dreyfus Investment Grade Funds, Inc. | |||
22. | Dreyfus Investment Portfolios | |||
23. | The Dreyfus/Laurel Funds, Inc. | |||
24. | The Dreyfus/Laurel Funds Trust | |||
25. | Dreyfus Liquid Assets, Inc. | |||
26. | Dreyfus Manager Funds I | |||
27. | Dreyfus Manager Funds II | |||
28. | Dreyfus Midcap Index Fund, Inc. | |||
29. | Dreyfus Municipal Bond Opportunity Fund | |||
30. | Dreyfus Municipal Cash Management Plus | |||
31. | Dreyfus Municipal Funds, Inc. | |||
32. | Dreyfus New Jersey Municipal Bond Fund, Inc. | |||
33. | Dreyfus New York AMT-Free Municipal Bond Fund | |||
34. | Dreyfus New York Municipal Cash Management | |||
35. | Dreyfus New York Tax Exempt Bond Fund, Inc. | |||
36. | Dreyfus Opportunity Funds | |||
37. | Dreyfus Premier California AMT-Free Municipal Bond Fund, Inc. | |||
38. | Dreyfus Premier GNMA Fund, Inc. | |||
39. | Dreyfus Premier Investment Funds, Inc. | |||
40. | Dreyfus Premier Short-Intermediate Municipal Bond Fund | |||
41. | Dreyfus Premier Worldwide Growth Fund, Inc. | |||
42. | Dreyfus Research Growth Fund, Inc. | |||
43. | Dreyfus State Municipal Bond Funds | |||
44. | Dreyfus Stock Funds | |||
45. | Dreyfus Short Duration Bond Fund | |||
46. | The Dreyfus Socially Responsible Growth Fund, Inc. | |||
47. | Dreyfus Stock Index Fund, Inc. | |||
48. | Dreyfus Tax Exempt Cash Management Funds | |||
49. | The Dreyfus Third Century Fund, Inc. | |||
50. | Dreyfus Treasury & Agency Cash Management | |||
51. | Dreyfus Treasury Prime Cash Management | |||
52. | Dreyfus U.S. Treasury Intermediate Term Fund | |||
53. | Dreyfus U.S. Treasury Long Term Fund | |||
54. | Dreyfus Variable Investment Fund | |||
55. | General California Municipal Money Market Fund | |||
56. | General Government Securities Money Market Funds, Inc. | |||
57. | General Money Market Fund, Inc. | |||
58. | General Municipal Money Market Funds, Inc. | |||
59. | General New Jersey Municipal Money Market Fund, Inc. | |||
60. | General New York AMT-Free Municipal Money Market Fund | |||
61. | Strategic Funds, Inc. | |||
| (b) | ||
Name and principal Business address | Positions and offices with the Distributor | Positions and Offices with Registrant |
| Kenneth Bradle** | President and Director | None |
| J. Charles Cardona* | Chairman of the Board and Co-Head | Executive Vice President (Money Market Funds Only) |
Sue Ann Cormack† | Executive Vice President | None |
Diane P. Durnin††† | Executive Vice President | None |
| Tracy Hopkins* | Executive Vice President | None |
| William H. Maresca** | Executive Vice President and Director | None |
Kimberly M. Mustin††† | Chief Executive Officer and Director | None |
Paul D. Nobile††† | Executive Vice President | None |
Christopher D. O'Connor††† | Executive Vice President | None |
| Irene Papadoulis** | Executive Vice President | None |
| Matthew Perrone******* | Executive Vice President | None |
Cheryl M. Pipia††† | Executive Vice President | None |
| Bradley J. Skapyak* | Executive Vice President | President |
| Bill E. Sappington* | Executive Vice President and Director | None |
| Brie A. Steingarten* | Chief Legal Officer and Secretary | None |
| Eric P. Cola* | Senior Vice President | None |
| Mercedes Katz** | Senior Vice President | None |
| Mary T. Lomasney**** | Senior Vice President | None |
| Joseph W. Connolly* | Chief Compliance Officer (Investment Advisory Business) | Chief Compliance Officer |
Jaynthi Gandhi††† | Chief Compliance Officer (Broker-Dealer Business) | None |
| Katherine M. Scott* | Chief Risk Officer | None |
| Anthony Mayo* | Chief Technology Officer | None |
| Maria Georgopoulos* | Vice President – Facilities Management | None |
| Stewart Rosen* | Vice President – Facilities Management | None |
| Karin L. Waldmann** | Privacy Officer | None |
Charles Doumar††† | Vice President – Tax | None |
| Timothy I. Barrett** | Vice President | None |
| Jill Gill* | Vice President | None |
Kathleen Geis†† | Vice President | None |
| Joseph R. Kane*** | Vice President – Tax | None |
| Donna M. Impagliazzo** | Vice President – Compliance | None |
| Carla R. Wanzer** | Vice President | None |
| Claudine Orloski*** | Vice President – Tax | None |
John Shea††† | Vice President – Finance | None |
| Christopher A. Stallone** | Vice President | None |
| Susan Verbil****** | Vice President – Finance | None |
| William Verity****** | Vice President – Finance | None |
| James Windels******* | Vice President | Treasurer |
| Ronny Santos* | Assistant Vice President | None |
| James Bitetto* | Assistant Secretary | Vice President and Assistant Secretary |
| Audrey Edwards*** | Assistant Secretary | None |
| Susan K. Maroni*** | 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 BNY Mellon Center, 500 Grant Street, 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 | |
† | Principal business address is 201 Columbine Street, Suite 200, Denver, CO 80206 | |
†† | Principal business address is 525 William Penn Place, Pittsburgh, PA 15259 | |
††† | Principal business address is 225 Liberty Street, New York, NY 10286 |
Item 33. Location of Accounts and Records
| 1. | The Bank of New York Mellon 225 Liberty 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 has duly caused this Amendment to the Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of New York, State of New York, on the 13th day of January, 2016.
Dreyfus Investment Funds
| BY: | /s/ Bradley J. Skapyak* |
| Bradley J. Skapyak, PRESIDENT |
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) | 1/13/2015 | |||
| Bradley J. Skapyak | |||||
/s/ James Windels* | Treasurer (Principal Financial and Accounting Officer) | 1/13/2015 | |||
| James Windels | |||||
/s/ Joseph S. DiMartino* | Chairman of the Board | 1/13/2015 | |||
| Joseph S. DiMartino | |||||
/s/ Kenneth A. Himmel* | Board Member | 1/13/2015 | |||
| Kenneth A. Himmel | |||||
/s/ Stephen J. Lockwood* | Board Member | 1/13/2015 | |||
| Stephen J. Lockwood | |||||
/s/ Roslyn M. Watson* | Board Member | 1/13/2015 | |||
| Roslyn M. Watson | |||||
/s/ Benaree Pratt Wiley* | Board Member | 1/13/2015 | |||
| Benaree Pratt Wiley | |||||
/s/ Francine J. Bovich* | Board Member | 1/13/2015 | |||
Francine J. Bovich | |||||
| *BY: | /s/ James Bitetto | ||||
James Bitetto Attorney-in-Fact | |||||
INDEX OF EXHIBITS
Exhibits
| (n)(1) | Rule 18f-3 Plan, dated November 13, 2015. |
| (n)(2) | Rule 18f-3 Plan, effective as of February 1, 2016. |