File No.33-16338
811-05202
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. 146 [X]
and/or
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 [X]
Amendment No. 146 [X]
(Check appropriate box or boxes.)
The Dreyfus/Laurel Funds, Inc.
(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 (D)(7) to Item 28 to the Registration Statement.
This Post-Effective Amendment is being filed solely to file a Management Agreement, Revised as of March 20, 2014 as Exhibit (D)(7) to Item 28 to this Registration Statement on Form N-1A.
Part A of Dreyfus Opportunistic Fixed Income Fund was filed on March 28, 2014 pursuant to Rule 497(e) under the Securities Act of 1933 and is incorporated by reference herein; and
Part B of Dreyfus Opportunistic Fixed Income Fund was filed on May 1, 2014 pursuant to Rule 497(e) under the Securities Act of 1933 and is incorporated by reference herein.
THE DREYFUS/LAUREL FUNDS, INC.
(formerly, The Laurel Funds, Inc.)
PART C.
OTHER INFORMATION
Item 28. Exhibits
A(1) Articles of Incorporation dated July 31, 1987 are incorporated by reference to Post-Effective Amendment No. 41 to the Registrant's Registration Statement on Form N-1A ("Post-Effective Amendment No. 41").
A(2) Articles Supplementary dated October 15, 1993 increasing authorized capital stock are incorporated by reference to Post-Effective Amendment No. 39 to the Registrant's Registration Statement on Form N-1A ("Post-Effective Amendment No. 39").
A(3) Articles of Amendment dated March 31, 1994 are incorporated by reference to Post-Effective Amendment No. 41.
A(4) Articles Supplementary dated March 31, 1994 reclassifying shares are incorporated by reference to Post-Effective Amendment No. 41.
A(5) Articles Supplementary dated May 24, 1994 designating and classifying shares are incorporated by reference to Post-Effective Amendment No. 39.
A(6) Articles of Amendment dated October 17, 1994 are incorporated by reference to Post-Effective Amendment No. 31 to the Registrant's Registration Statement on Form N-1A ("Post-Effective Amendment No. 31").
A(7) Articles Supplementary dated December 19, 1994 designating classes are incorporated by reference to Post-Effective Amendment No. 32 to the Registrant's Registration Statement on Form N-1A ("Post-Effective Amendment No. 32").
A(8) Articles of Amendment dated June 9, 1995 are incorporated by reference to Post-Effective Amendment No. 39.
A(9) Articles of Amendment dated August 30, 1995 are incorporated by reference to Post-Effective Amendment No. 39.
A(10) Articles Supplementary dated August 31, 1995 reclassifying shares are incorporated by reference to Post-Effective Amendment No. 39.
A(11) Articles of Amendment dated October 31, 1995 designating and classifying shares are incorporated by reference to Post-Effective Amendment No. 41.
A(12) Articles of Amendment dated November 22, 1995 designating and reclassifying shares are incorporated by reference to Post-Effective Amendment No. 41.
A(13) Articles of Amendment dated July 15, 1996 are incorporated by reference to Post-Effective Amendment No. 53 to the Registrant's Registration Statement on Form N-1A ("Post-Effective Amendment No. 53").
A(14) Articles of Amendment dated February 27, 1997 are incorporated by reference to Post-Effective Amendment No. 53.
A(15) Articles of Amendment dated August 13, 1997 are incorporated by reference to Post-Effective Amendment No. 53.
A(16) Articles of Amendment dated October 30, 1997 are incorporated by reference to Post-Effective Amendment No. 56 to the Registrant's Registration Statement on Form N-1A, filed on November 4, 1997.
A(17) Articles of Amendment dated March 25, 1998 are incorporated by reference to Post-Effective Amendment No. 62 to the Registrant's Registration Statement on Form N-1A, filed on March 31, 1998.
A(18) Articles of Amendment dated July 30, 1998 are incorporated by reference to Post-Effective Amendment No. 67 to the Registrant's Registration Statement on Form N-1A, filed on September 30, 1998 ("Post-Effective Amendment No. 67").
A(19) Articles Supplementary dated August 9, 1999 are incorporated by reference to Post-Effective Amendment No. 76 to the Registrant's Registration Statement on Form N-1A, filed on February 24, 2000 ("Post-Effective Amendment No. 76").
A(20) Articles Supplementary dated March 15, 1999 are incorporated by reference to Post-Effective Amendment No. 76.
A(21) Articles of Amendment dated March 15, 1999 are incorporated by reference to Post-Effective Amendment No. 76.
A(22) Articles of Amendment dated January 31, 2002 are incorporated by reference to Post-Effective Amendment No. 83 to the Registrant's Registration Statement on Form N-1A, filed on April 15, 2002 ("Post-Effective Amendment No. 83").
A(23) Articles Supplementary dated January 31, 2002 are incorporated by reference to Post-Effective Amendment No. 83.
A(24) Articles Supplementary dated May 12, 2004 are incorporated by reference to Post-Effective Amendment No. 89 to Registrant's Registration Statement on Form N-1A filed on May 13, 2004.
A(25) Articles Supplementarydated June 30, 2006 are incorporated by reference to Post-Effective Amendment No. 99 to Registrant's Registration Statement on Form N-1A filed on June 29, 2006.
A(26) Articles Supplementary dated June 25, 2007 are incorporated by reference to Post-Effective Amendment No. 106 to Registrant's Registration Statement on Form N-1A filed on December 26, 2007.
A(27) Articles of Amendment dated July 5, 2007 (relating to Dreyfus Premier Balanced Fund, Dreyfus Premier Core Equity Fund, Dreyfus Premier Large Company Stock Fund, Dreyfus Premier
Limited Term Income Fund, Dreyfus Premier Midcap Stock Fund, Dreyfus Premier Small Cap Value Fund, Dreyfus Premier Tax Managed Growth Fund and Dreyfus Premier Strategic Income Fund) in connection with redesignation of Class R shares as Class I shares are incorporated by reference to Post-Effective Amendment No. 107 to Registrant's Registration Statement on Form N-1A, filed on December 27, 2007.
A(28) Articles of Amendment redesignating Dreyfus Municipal Reserves as Dreyfus AMT-Free Municipal Reserves areincorporated by reference to Post-Effective Amendment No. 110 to Registrant's Registration Statement on Form N-1A, filed on December 24, 2008 ("Post-Effective Amendment No. 110").
A(29) Articles Supplementary dated October 14, 2008 are incorporated by reference to Post-Effective Amendment No. 110.
A(30) Articles Supplementary dated December 3, 2008 are incorporated by reference to Post-Effective Amendment No.110.
A(31) Articles Supplementary dated April 20, 2009 are incorporated by reference to Post-Effective Amendment No. 114 to Registrant's Registration Statement on Form N-1A, filed on December 22, 2009.
A(32) Articles of Amendment redesignating Dreyfus Small Cap Value Fund as Dreyfus Small Cap Fund are incorporated by reference to Post-Effective Amendment No. 117 to Registrant's Registration Statement on Form N-1A, filed on February 26, 2010.
A(33) Articles of Amendment redesignating Dreyfus Strategic Income Fund as Dreyfus Opportunistic Fixed Income Fund are incorporated by reference to Post-Effective Amendment No. 119 to Registrant's Registration Statement on Form N-1A filed on December 23, 2010.
A(34) Articles Supplementary dated March 28, 2013 are incorporated by reference to Post-Effective Amendment No. 133 to Registrant's Registration Statement on Form N-1A, filed on June 12, 2013 ("Post-Effective Amendment No. 133").
A(35) Articles Supplementary dated June 20, 2013(relating to Class Y of Dreyfus Opportunistic Fixed Income Fund)are incorporated by reference to Post-Effective Amendment No. 134 to Registrant's Registration Statement on Form N-1A, filed on June 26, 2013 ("Post-Effective Amendment No. 134").
A(36) Articles Supplementary dated September 17, 2013(relating to Dreyfus Floating Rate Income Fund)are incorporated by reference to Post-Effective Amendment No. 139 to Registrant's registration statement on Form N-1A, filed on September 5, 2013 ("Post-Effective Amendment No. 139").
B Amended and Restated By-Laws dated July 1, 2011 are incorporated by reference to Post-Effective Amendment No. 124 to Registrant's Registration Statement on Form N-1A, filed on August 12, 2011.
D(1) Investment Management Agreement between Mellon Bank, N.A. and the Registrant, dated October 17, 1994 is incorporated by reference to Post-Effective Amendment No. 41 to the Registrant's Registration Statement on Form N-1A, filed on December 29, 1995.
D(2) Assignment and Assumption Agreement among Mellon Bank, N.A., The Dreyfus Corporation and the Registrant, dated November 1, 1995 (relating to Investment Management Agreement) is incorporated by reference to Post-Effective Amendment No. 31.
D(3) Amended Exhibit A to Investment Management Agreement between Mellon Bank, N.A. and the Registrant, dated April 4, 2000 is incorporated by reference to Post-Effective Amendment No. 67.
D(4) Management Agreement between the Registrant (on behalf of Dreyfus Premier Strategic Income Fund) and The Dreyfus Corporation, dated April 20, 2006 is incorporated by reference to Post-Effective Amendment No. 99 to the Registration Statement on Form N-1A, filed on June 29, 2006.
D(5) Management Agreement between the Registrant (on behalf of Dreyfus Opportunistic Fixed Income Fund and Dreyfus Opportunistic Emerging Markets Debt Fund) and The Dreyfus Corporation, dated April 20, 2006, As Amended, April 25, 2013, is incorporated by reference to Post-Effective Amendment No. 133.
D(6) Management Agreement between the Registrant (on behalf of Dreyfus Floating Rate Income Fund) and The Dreyfus Corporation, dated April 20, 2006, As Amended, April 25, 2013, Revised as of September 17, 2013, is incorporated by reference to Post-Effective Amendment No. 139.
D(7) Management Agreement between the Registrant (on behalf of Dreyfus Opportunistic Fixed Income Fund) and The Dreyfus Corporation, dated April 20, 2006, As Amended, April 25, 2013, Revised as of March 20, 2014, is filed herewith.
D(8) Sub-Investment Advisory Agreement between The Dreyfus Corporation and Fayez Sarofim & Co. with respect to Dreyfus Core Equity Fund (formerly, Dreyfus Premier Core Equity Fund), dated July 30, 1998 and as amended, August 3, 2009, is incorporated by reference to Post-Effective Amendment No. 112 to Registrant's Registration Statement on Form N-1A, filed on July 24, 2009.
D(9) Sub-Investment Advisory Agreement between The Dreyfus Corporation and Fayez Sarofim & Co. with respect to Dreyfus Tax Managed Growth Fund (formerly, Dreyfus Premier Tax Managed Growth Fund), dated October 23, 1997 and as amended, August 3, 2009, is incorporated by reference to Post-Effective Amendment No. 112 to Registrant's RegistrationStatement on Form N-1A, filed on July 24, 2009.
D(10) Sub-Investment Advisory Agreement between The Dreyfus Corporation and Standish Mellon Asset Management Company LLC, with respect to Dreyfus Opportunistic Emerging Markets Debt Fund, dated April 25, 2013, is incorporated by reference to Post-Effective Amendment No. 133.
D(11) Sub-Investment Advisory Agreement between The Dreyfus Corporation and Alcentra NY, LLC, with respect to Dreyfus Floating Rate Income Fund, dated September 17, 2013, is incorporated by reference to Post-Effective Amendment No. 139.
E(1) Distribution Agreement with MBSC Securities Corporation, revised as of September 17, 2013 (relating to Dreyfus Floating Rate Income Fund) is incorporated by reference to Post-Effective Amendment No. 139.
E(2) Forms of Service Agreements are incorporated by reference to Post-Effective Amendment No. 103 to Registrant's Registration Statement on Form N-1A, filed on February 28, 2007.
E(3) Forms of Supplemental to Service Agreements are incorporated by reference to Post-Effective Amendment No. 103 to Registrant's Registration Statement on Form N-1A, filed on February 28, 2007.
F Not Applicable.
G(1) Form of Custody Agreement between the Registrant and The Bank of New York Mellon, dated January 1, 2011, is incorporated by reference to Post-Effective Amendment No. 119 to Registrant's Registration Statement on Form N-1A, filed on December 23, 2010.
G(2) Amendment to Custody Agreement between the Registrant and The Bank of New York Mellon, dated October 1, 2013, is incorporated by reference to Post-Effective Amendment No. 142 to the Registrant's Registration Statement on Form N-1A, filed on December 24, 2013 ("Post-Effective Amendment No. 142").
H Transfer Agency Agreement between the Registrant and Dreyfus Transfer, Inc., dated May 29, 2012 is incorporated by reference to Post-Effective Amendment No. 128 to the Registrant's Registration Statement on Form N-1A, filed on December 27, 2012 ("Post-Effective Amendment No. 128").
I(1) Consent and opinion of Registrant's counsel (relating to Dreyfus Core Equity Fund) is incorporated by reference to Post-Effective Amendment No. 142.
I(2) Consent and opinion of Registrant's counsel (relating to Dreyfus Floating Rate Income Fund) is incorporated by reference to Post-Effective Amendment No. 140 to the Registration Statement on Form N-1A, filed on September 18, 2013.
I(3) Consent and opinion of Registrant's counsel (relating to Dreyfus BASIC S&P 500 Stock Index Fund, Dreyfus Disciplined Stock Fund, Dreyfus Bond Market Index Fund, Dreyfus Tax Managed Growth Fund, Dreyfus Opportunistic Emerging Markets Debt Fund, Dreyfus Opportunistic Fixed Income Fund, Dreyfus Money Market Reserves, Dreyfus U.S. Treasury Reserves and Dreyfus AMT-Free Municipal Reserves) is incorporated by reference to Post-Effective Amendment No. 144 to the Registration Statement on Form N-1A, filed on February 28, 2014.
J(1) Consent of Independent Registered Public Accounting Firm is incorporated by reference to Post-Effective Amendment No. 144 to the Registration Statement on Form N-1A, filed on February 28, 2014.
J(2) Consent of Independent Registered Public Accounting Firm (relating to Dreyfus Global Emerging Markets Fund, a series of Dreyfus BNY Mellon Funds, Inc.) is incorporated by reference to Post-Effective Amendment No. 144 to the Registration Statement on Form N-1A, filed on February 28, 2014.
K Letter of Investment Intent is incorporated by reference to the Registration Statement.
M(1) Amended and Restated Distribution Plan effective as of March 22, 2000, (relating to Investor Class Shares and Class A Shares) for Dreyfus Bond Market Index Fund, Dreyfus Money Market
Reserves, Dreyfus Municipal Reserves, Dreyfus U.S. Treasury Reserves, Dreyfus Premier Balanced Fund, Dreyfus Premier Limited Term Income Fund, Dreyfus Premier Small Cap Value Fund, Dreyfus Premier Tax Managed Growth Fund, Dreyfus Premier Midcap Stock Fund and Dreyfus Premier Large Company Stock Fund is incorporated by reference to Post-Effective Amendment No. 87 to Registrant's Registration Statement on Form N-1A, filed on February 27, 2004.
M(2) Amended and Restated Distribution Plan for Dreyfus Disciplined Stock Fund is incorporated by reference to Post-Effective Amendment No. 61 to the Registrant's Registration Statement on Form N-1A, filed on February 26, 1998.
M(3) Amended and Restated Distribution Plan, effective as of March 22, 2000 and as revised April 15, 2002, (relating to Class A shares) for Dreyfus Premier Core Equity Fund is incorporated by reference to Post-Effective Amendment No. 87 to Registrant's Registration Statement on Form N-1A, filed on February 27, 2004.
M(4) Distribution Plan, as revised April 15, 2002, (relating to Class B and Class C shares) for Dreyfus Premier Balanced Fund, Dreyfus Premier Limited Term Income Fund, Dreyfus Premier Small Cap Value Fund, Dreyfus Premier Tax Managed Growth Fund, Dreyfus Premier Midcap Stock Fund, Dreyfus Premier Large Company Stock Fund and Dreyfus Premier Core Equity Fund is incorporated by reference to Post-Effective Amendment No. 87 to Registrant's Registration Statement on Form N-1A, filed on February 27, 2004.
M(5) Revised Distribution Plan dated April 15, 2002 (relating to Class T shares) for Dreyfus Premier Tax Managed Growth Fund, Dreyfus Premier Large Company Stock Fund, Dreyfus Premier Midcap Stock Fund, Dreyfus Premier Balanced Fund, Dreyfus Premier Small Cap Value Fund and Dreyfus Premier Core Equity Fund is incorporated by reference to Post-Effective Amendment No. 87 to Registrant's Registration Statement on Form N-1A, filed on February 27, 2004.
M(6) Distribution Plan dated April 20, 2006 (relating to Class C) for Dreyfus Premier Strategic Income Fund is incorporated by reference to Post-Effective Amendment No. 99 to Registrant's Registration Statement on Form N-1A, filed on June 29, 2006.
M(7) Distribution Plan, as revised April 26, 2007, (relating to Class B shares) for Dreyfus Municipal Reserves is incorporated by reference to Post-Effective Amendment No. 104 to Registrant's Registration Statement on Form N-1A, filed on May 1, 2007.
M(8) Distribution Plan dated April 20, 2006, as revised April 25, 2013, (relating to Dreyfus Opportunistic Fixed Income Fund and Dreyfus Opportunistic Emerging Markets Debt Fund) is incorporated by reference to Post-Effective Amendment No. 133 to Registrant's Registration Statement on Form N-1A, filed on June 12, 2013.
M(9) Distribution Plan, as revised September 17, 2013 (relating to Class C Shares) for Dreyfus Floating Rate Income Fund is incorporated by reference to Post-Effective Amendment No. 139.
M(10) Amended and Restated Service Plan, effective as of March 22, 2000, (relating to Class B, Class C and Class T shares) for Dreyfus Premier Large Company Stock Fund, Dreyfus Premier Midcap Stock Fund, Dreyfus Premier Balanced Fund, Dreyfus Premier Tax Managed Growth Fund,
Dreyfus Premier Small Cap Value Fund, Dreyfus Premier Core Equity Fund and (relating to Class B and Class C shares) Dreyfus Premier Limited Term Income Fund is incorporated by reference to Post-Effective Amendment No. 81 to the Registrant's Registration Statement on Form N-1A, filed on February 12, 2002.
M(11) Amended and Restated Shareholder Servicing Plan, effective as of March 22, 2000, for Dreyfus Institutional Government Money Market Fund, Dreyfus Institutional Prime Money Market Fund and Dreyfus U.S. Treasury Money Market Fund is incorporated by reference to Post-Effective Amendment No. 77 to the Registrant's Registration Statement on Form N-1A, filed on December 13, 2000.
M(12) Shareholder Services Plan dated April 20, 2006 for Dreyfus Premier Strategic Income Fund is incorporated by reference to Post-Effective Amendment No. 99 to Registrant's Registration Statement on Form N-1A, filed on June 29, 2006.
M(13) Shareholder Services Plan, dated April 26, 2007, (relating to Class B shares) for Dreyfus Municipal Reserves is incorporated by reference to Post-Effective Amendment No. 104 to Registrant's Registration Statement on Form N-1A, filed on May 1, 2007.
M(14) Shareholder Services Plan, dated April 20, 2006, as revised April 25, 2013, (relating to Dreyfus Opportunistic Fixed Income Fund and Dreyfus Opportunistic Emerging Markets Debt Fund) is incorporated by reference to Post-Effective Amendment No. 133.
M(15) Shareholder Services Plan, as revised September 17, 2013 (relating to Class A and Class C shares) for Dreyfus Floating Rate Income Fund is incorporated by reference to Post-Effective Amendment No. 139.
N(1) Amended Rule 18f-3 Plan for Dreyfus Bond Market Index Fund, dated December 31, 1999 is incorporated by reference to Post-Effective Amendment No.76.
N(2) Rule 18f-3 Plan, as revised April 26, 2007, for Dreyfus Money Market Reserves, Dreyfus Municipal Reserves and Dreyfus U.S. Treasury Reserves is incorporated by reference to Post-Effective Amendment No. 104 to Registrant's Registration Statement on Form N-1A, filed on May 1, 2007.
N(3) Rule 18f-3 Plan, amended as of February 4, 2009, revised as of July 15, 2011, for Dreyfus Opportunistic Fixed Income Fund (formerly, Dreyfus Strategic Fixed Income Fund) (relating to Class A, Class C and Class I), is incorporated by reference to Post-Effective Amendment No. 123 to the Registrant's Registration Statement on Form N-1A, filed on July 15, 2011.
N(4) Rule 18f-3 Plan, amended as of March 13, 2012, for Dreyfus Tax Managed Growth Fund, Dreyfus Small Cap Fund and Dreyfus Core Equity Fund (relating to Class A, Class B, Class C and Class I shares, as applicable), is incorporated by reference to Post-Effective Amendment No. 124 to the Registrant's Registration Statement on Form N-1A, filed on January 27, 2012.
N(5) Rule 18f-3 Plan,dated April 20, 2006,amended as of July 1, 2013, for Dreyfus Opportunistic Fixed Income Fundand Dreyfus Opportunistic Emerging Markets Debt Fund, is incorporated by reference to Post-Effective Amendment No. 133.
N(6) Rule 18f-3 Plan, amended as of July 1, 2013, as revised September 17, 2013 (relating to Class A, Class C, Class I and Class Y shares) for Dreyfus Floating Rate Income Fund is incorporated by reference to Post-Effective Amendment No. 139.
P(1) Revised Code of Ethics adopted by the Registrant, The Dreyfus Corporation, Standish Mellon Asset Management Company LLC, Alcentra NY, LLC and MBSC Securities Corporation, dated May 29, 2012 is incorporated by reference to Post-Effective Amendment No. 128. to the Registrant's Registration Statement on Form N-1A, filed on December 27, 2012.
P(2) Revised Code of Ethics adopted by the Sub-Investment Adviser effective as of May 6, 2013, for Dreyfus Core Equity Fund and Dreyfus Tax Managed Growth Fund is incorporated by reference to Post-Effective Amendment No. 142.
P(3) Code of Ethics for the Nonmanagement Board Members of the Dreyfus Family of Funds and BNY Mellon Funds Trustis incorporated by reference to Post-Effective Amendment No. 133.
OtherExhibits
(1) Power of Attorney of Bradley J. Skapyak, James Windels and Trustees, dated October 25, 2012 is incorporated by reference to Post-Effective Amendment No. 128.
Item 29.Persons Controlled by or under Common Control with Registrant
Not applicable.
Item 30. Indemnification
The Registrant's charter documents set forth the circumstances under which indemnification shall be provided to any past or present Board member or officer of the Registrant. The Registrant also has entered into a separate agreement with each of its Board members that describes the conditions and manner in which the Registrant indemnifies each of its Board members against all liabilities incurred by them (including attorneys' fees and other litigation expenses, settlements, fines and penalties), or which may be threatened against them, as a result of being or having been a Board member of the Registrant. These indemnification provisions are subject to applicable state law and to the limitation under the Investment Company Act of 1940, as amended, that no board member or officer of a fund may be protected against liability for willful misfeasance, bad faith, gross negligence or reckless disregard for the duties of his or her office. Reference is hereby made to the following:
Article Tenth of the Registrant's Articles of Incorporation and any amendments thereto,Article VIII of Registrant's Amended and Restated Bylaws, Section 2-418 of the Maryland General Corporation Law and Section 1.10 of the Distribution Agreement.
Item 31.Business and Other Connections of Investment Adviser
(a) 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 investment adviser, sub-investment adviser or administrator.
(b) The Registrant (on behalf of Dreyfus Core Equity Fund and Dreyfus Tax Managed Growth Fund (the "Funds")) is fulfilling the requirement of this Item 31 to provide a list of the officers and directors of Fayez Sarofim & Co., the sub-investment adviser of the Funds, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Fayez Sarofim & Co., or those of its 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 Fayez Sarofim & Co. (SEC File No. 801-1725).
(c) The Registrant (on behalf of Dreyfus Opportunistic Emerging Markets Debt Fund (the "Fund")) is fulfilling the requirement of this Item 31 to provide a list of the officers and directors ofStandish Mellon Asset Management Company LLC, the sub-investment adviser of the Fund, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in byStandish Mellon Asset Management Company LLC, or those of its 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 byStandish Mellon Asset Management Company LLC (SEC File No. 801-60527).
(d) The Registrant (on behalf of Dreyfus Floating Rate Income Fund) is fulfilling the requirement of this Item 31 to provide a list of the officers and directors of Alcentra NY, LLC (the sub-investment adviser of Dreyfus Floating Rate Income Fund, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by Alcentra NY, LLC, or those of its 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 Advisers Act by Alcentra NY, LLC (SEC File No. 801-62417).
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 | ||
Mitchell E. Harris | Standish Mellon Asset Management Company LLC | Chairman | 2/05 – Present |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
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 |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
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 |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
Charles Doumar | Asset Recovery II, LLC**** | Assistant Treasurer | 9/13 – Present |
Asset Recovery III, LLC**** | Assistant Treasurer | 9/13 – Present | |
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 – Present | |
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 – Present | |
Asset Recovery XVI, LLC**** | Assistant Treasurer | 3/13 – Present | |
Asset Recovery XVII, LLC**** | Assistant Treasurer | 3/13 – Present | |
Asset Recovery XVIII, LLC**** | Assistant Treasurer | 7/13 – Present | |
Asset Recovery XX, LLC**** | Assistant Treasurer | 7/13 – Present | |
Asset Recovery XXI, LLC**** | Assistant Treasurer | 7/13 – Present |
Name and Position | Other Businesses | Position Held | Dates |
Asset Recovery XXII, LLC**** | Assistant Treasurer | 7/13 – Present | |
Asset Recovery XXIII, LLC**** | Assistant Treasurer | 7/13 – Present | |
BNY Mellon Investments CTA, LLC**** | Assistant Treasurer | 9/13 – 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 |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
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 |
Name and Position | Other Businesses | Position Held | Dates |
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 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 | |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
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 | |
Hamilton Floating Rate Fund Holdings, LLC**** | Assistant Treasurer – Tax | 5/13 – 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 – Present | |
Name and Position | Other Businesses | Position Held | Dates |
JRHC 1998A LLC**** | Assistant Treasurer – Tax | 12/13 – 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 | |
MCDI (Holdings) LLC**** | Assistant Treasurer – Tax | 9/13 – 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 Leasing Corporation+ | Assistant Treasurer – Tax | 7/13 – Present | |
Mellon Life Insurance Company+ | Assistant Treasurer – Tax | 10/13 – Present | |
Mellon Properties Company***** | Assistant Treasurer – Tax | 8/13 – Present | |
National Residential Assets Corp.**** | Assistant Treasurer – Tax | 4/13 – Present | |
New GSM Holding Corporation**** | Assistant Treasurer – Tax | 7/13 – Present | |
Northern Waterworks, Inc.**** | Assistant Treasurer – Tax | 7/13 – Present | |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
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 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 |
Name and Position | Other Businesses | Position Held | Dates |
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 – Present | |
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 | 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++ | 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 | ||
Name and Position | Other Businesses | Position Held | Dates |
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 | |
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 |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
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 |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
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 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 3601 N. I-10 Service Road, Suite 102, Metairie, LA 70002. |
+ | 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 4001 Kennett Pike, Suite 218, Greenville, DE 19807. |
+++++ | The address of the business so indicated is 1009 Lenox Drive, Building 4, Suite 204, Lawrenceville, NJ 08648. |
† | The address of the business so indicated is Two Mellon Center, Suite 329, Pittsburgh, PA 15259. | |||
†† | The address of the business so indicated is White Clay Center, Route 273, Newark, DE 19711. | |||
††† | The address of the business so indicated is 100 White Clay Center, Newark, DE 19711. | |||
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 BNY Mellon Funds, Inc. | |||
7. | Dreyfus Bond Funds, Inc. | |||
8. | Dreyfus Cash Management | |||
9. | Dreyfus Funds, Inc. | |||
10. | The Dreyfus Fund Incorporated | |||
11. | Dreyfus Government Cash Management Funds | |||
12. | Dreyfus Growth and Income Fund, Inc. | |||
13. | Dreyfus Index Funds, Inc. | |||
14. | Dreyfus Institutional Cash Advantage Funds | |||
15. | Dreyfus Institutional Preferred Money Market Funds | |||
16. | Dreyfus Institutional Reserves Funds | |||
17. | Dreyfus Intermediate Municipal Bond Fund, Inc. | |||
18. | Dreyfus International Funds, Inc. | |||
19. | Dreyfus Investment Funds | |||
20. | Dreyfus Investment Grade Funds, Inc. | |||
21. | Dreyfus Investment Portfolios | |||
22. | The Dreyfus/Laurel Funds, Inc. | |||
23. | The Dreyfus/Laurel Funds Trust | |||
24. | The Dreyfus/Laurel Tax-Free Municipal Funds | |||
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 Municipal Money Market Fund, Inc. |
33. | Dreyfus New Jersey Municipal Bond Fund, Inc. |
34. | Dreyfus New Jersey Municipal Money Market Fund, Inc. |
35. | Dreyfus New York AMT-Free Municipal Bond Fund |
36. | Dreyfus New York AMT-Free Municipal Money Market Fund |
37. | Dreyfus New York Municipal Cash Management |
38. | Dreyfus New York Tax Exempt Bond Fund, Inc. |
39. | Dreyfus Opportunity Funds |
40. | Dreyfus Premier California AMT-Free Municipal Bond Fund, Inc. |
41. | Dreyfus Premier GNMA Fund, Inc. |
42. | Dreyfus Premier Investment Funds, Inc. |
43. | Dreyfus Premier Short-Intermediate Municipal Bond Fund |
44. | Dreyfus Premier Worldwide Growth Fund, Inc. |
45. | Dreyfus Research Growth Fund, Inc. |
46. | Dreyfus State Municipal Bond Funds |
47. | Dreyfus Stock Funds |
48. | Dreyfus Short Duration Bond Fund |
49. | The Dreyfus Socially Responsible Growth Fund, Inc. |
50. | Dreyfus Stock Index Fund, Inc. |
51. | Dreyfus Tax Exempt Cash Management Funds |
52. | The Dreyfus Third Century Fund, Inc. |
53. | Dreyfus Treasury & Agency Cash Management |
54. | Dreyfus Treasury Prime Cash Management |
55. | Dreyfus U.S. Treasury Intermediate Term Fund |
56. | Dreyfus U.S. Treasury Long Term Fund |
57. | Dreyfus 100% U.S. Treasury Money Market Fund |
58. | Dreyfus Variable Investment Fund |
59. | Dreyfus Worldwide Dollar Money Market Fund, Inc. |
60. | General California Municipal Money Market Fund |
61. | General Government Securities Money Market Funds, Inc. |
62. | General Money Market Fund, Inc. |
63. | General Municipal Money Market Funds, Inc. |
64. | General New York Municipal Money Market Fund |
65. | 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 |
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 | None |
Tracy Hopkins* | Executive Vice President | None |
Mark A. Keleher***** | Executive Vice President | None |
William H. Maresca** | Executive Vice President | None |
Timothy M. McCormick* | Executive Vice President | None |
David K. Mossman*** | Executive Vice President | None |
Christopher D. O'Connor* | Executive Vice President | None |
Irene Papadoulis** | Executive Vice President | None |
Matthew Perrone** | Executive Vice President | None |
Andrew Provencher* | Executive Vice President | None |
Bradley J. Skapyak* | Executive Vice President | President |
Bill E. Sappington* | Executive Vice President | None |
Gary Pierce* | Chief Financial Officer | None |
Brie A. Steingarten* | Chief Legal Officer and Secretary | 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 |
Stephen Storen* | Chief Compliance Officer | None |
Katherine M. Scott | Chief Risk Officer | None |
Barbara A. McCann**** | Senior Vice President | None |
Matthew D. Connolly* | Vice President and Anti-Money Laundering Officer | Anti-Money Laundering Compliance Officer |
Maria Georgopoulos* | Vice President – Facilities Management | None |
(b) | ||
Name and principal | Positions and offices with the Distributor | Positions and Officeswith Registrant |
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 |
Gina DiChiara* | Vice President | None |
Jill Gill* | Vice President | None |
Joanne S. Huber*** | Vice President – Tax | 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 |
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 |
Kristofer Yrrizarry***** | Vice President | None |
James Bitetto* | Assistant Secretary | Vice President and |
Mary Lou Olinski*** | Assistant Secretary | None |
Audrey Edwards*** | 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 |
******** | Principal business address is One Wall Street, New York, New York 10286 |
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 26th of June 2014.
The Dreyfus/Laurel Funds, Inc.
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) | 06/26/2014 | ||
Bradley J. Skapyak | ||||
/s/ James Windels* | Treasurer (Principal Financial | 06/26/2014 | ||
James Windels | ||||
/s/ Joseph S. DiMartino* | Chairman of the Board | 06/26/2014 | ||
Joseph S. DiMartino | ||||
/s/ James M. Fitzgibbons* | Board Member | 06/26/2014 | ||
James M. Fitzgibbons | ||||
/s/ Kenneth A. Himmel* | Board Member | 06/26/2014 | ||
Kenneth A. Himmel | ||||
/s/ Stephen J. Lockwood* | Board Member | 06/26/2014 | ||
Stephen J. Lockwood | ||||
/s/ Roslyn M. Watson* | Board Member | 06/26/2014 | ||
Roslyn M. Watson | ||||
/s/ Benaree Pratt Wiley* | Board Member | 06/26/2014 | ||
Benaree Pratt Wiley | ||||
/s/ Francine J. Bovich* | Board Member | 06/26/2014 | ||
Francine J. Bovich |
*BY: | /s/ James Bitetto |
James Bitetto |
INDEX OF EXHIBITS
Exhibits
D(7) Management Agreement between the Registrant (on behalf of Dreyfus Opportunistic Fixed Income Fund) and The Dreyfus Corporation, dated April 20, 2006, As Amended, April 25, 2013, Revised as of March 20, 2014.
