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. 161 [X]
and/or
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 [X]
Amendment No. 161 [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) 922-6400
Bennett A. MacDougall, 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 (2) and N (5) to Item 28 to the Registration Statement.
This Post-Effective Amendment is being filed solely to include Rule 18f-3 Plans as Exhibit N (2) and N(5) of the Registrant’s Registration Statement on Form N-1A.
Part A of General AMT-Free Municipal Money Market Fund and General Treasury and Agency Money Market Fund, Post-Effective Amendment No. 157, was filed on February 29, 2016 pursuant to Rule 485(b) under the Securities Act of 1933 and is incorporated by reference herein; and
Part B of General AMT-Free Municipal Money Market Fund and General Treasury and Agency Money Market Fund, was filed on March 1, 2016 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").
A(37) Articles of Amendment dated August 17, 2014, are incorporated by reference to Post-Effective Amendment 151 to the Registrant’s Registration Statement on Form N-1A, filed on November 3, 2015 (“Post-Effective Amendment No. 151”).
A(38) Articles Supplementary dated December 15, 2015, are incorporated by reference to Post-Effective Amendment No. 153 to the Registrant’s Registration Statement on Form N-1A, filed on December 30, 2015 (“Post-Effective Amendment No. 153”).
A(39) Articles Supplementary dated March 31, 2016, is incorporated by reference to Post-Effective Amendment No. 160 to the Registrant's Registration Statement on Form N-1A, filed on April 11, 2016.
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 incorporated by reference to Post-Effective Amendment No. 146.
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 Broker-Dealer Selling Agreement and Bank Selling Agreement are incorporated by reference to Post-Effective Amendment No. 152 to Registrants Registration Statement on Form N-1A, filed on December 28, 2015 (“Post-Effective Amendment No. 152”).
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 and Dreyfus Floating Rate Income Fund) is incorporated by reference to Post-Effective Amendment No. 152.
I (2) Consent and opinion of Registrant's counsel (relating to Dreyfus Bond Market Index Fund, Dreyfus Disciplined Stock Fund, General AMT-Free Municipal Money Market Fund, Dreyfus Tax Managed Growth Fund, Dreyfus BASIC S&P 500 Stock Index Fund, General Treasury and Agency Money Market Fund (Class A and R Shares), and Dreyfus Opportunistic Fixed Income Fund) incorporated by reference to Post-Effective Amendment No. 157 to the Registrant's Registration Statement on Form N-1A, filed on February 26, 2016 ("Post-Effective Amendment No. 158").
I(3) Consent and opinion of Registrant's counsel (relating to General Treasury and Agency Money Market Fund) incorporated by reference to Post-Effective Amendment No. 153 to the Registrant's Registration Statement on Form N-1A, filed on December 30, 2015.
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.
J(3) Consent of Independent Registered Public Accounting Firm is incorporated by reference to Post-Effective Amendment No. 158.
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, General AMT-Free Municipal Money Market Fund, General Treasury and Agency Money Market Fund, 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 General AMT-Free Municipal Money Market Fund 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) Distribution Plan, dated October 28, 2015, (relating to Class B Shares) for General Treasury and Agency Money Market Fund is incorporated by reference to Post-Effective Amendment 151.
M(11) 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(12) 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(13) 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(14) Shareholder Services Plan, dated April 26, 2007, as revised October 28, 2015, (relating to Class B shares) for General AMT-Free Municipal Money Market Fund and General Treasury and Agency Money Market Fund is incorporated by reference to Post-Effective Amendment No. 151.
M(15) 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(16) 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, dated April 26, 2007, as revised April 15, 2016, for General AMT-Free Municipal Money Market Fund, is filed herewith.
N(3) Rule 18f-3 Plan, as amended November 13, 2015, for Dreyfus Tax Managed Growth Fund and Dreyfus Core Equity Fund, is incorporated by reference to Post-Effective Amendment No. 156 to the Registrant's Registration Statement on Form N-1A, filed on January 26, 2016 (“Post-Effective Amendment No. 156”).
N(4) Rule 18f-3 Plan, as amended November 13, 2015, for Dreyfus Floating Rate Income Fund and Dreyfus Opportunistic Fixed Income Fund,is incorporated by reference to Post-Effective Amendment No. 156.
N(5) Rule 18f-3 Plan, dated August 1, 2015, as revised April 15, 2016 for General Treasury and Agency Money Market Fund is filed herewith.
N(6) Rule 18f-3 Plan, as amended February 1, 2016, for Dreyfus Tax Managed Growth Fund and Dreyfus Core Equity Fund, is incorporated by reference to Post-Effective Amendment No. 156.
N(7) Rule 18f-3 Plan,as amended February 1, 2016, for Dreyfus Floating Rate Income Fund and Dreyfus Opportunistic Fixed Income Fund,is incorporated by reference to Post-Effective Amendment No. 156.
N(8) Rule18f-3 Plan, as amended March 1, 2016, for Dreyfus Floating Rate Income Fund and Dreyfus Opportunistic Fixed Income Fund, is incorporated by reference to Post-Effective Amendment No. 158.
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.
P(4) 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 November 3, 2014is incorporated by reference to Post-Effective Amendment No. 149.
OtherExhibits
(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 Post-Effective Amendment No. 152.
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.
Insofar as indemnification for liability arising under the Securities Act of 1933 may be permitted to directors, 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 Securities Act of 1933 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 director, officer or controlling person of the registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, 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 by it is against public policy as expressed in the Securities Act of 1933 and will be governed by the final adjudication of such issue.
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 |
Mark Santero | Alcentra US, Inc.†††† | Director | 9/14 – Present |
BNY Alcentra Group Holdings, Inc.†††††† | Director | 5/15 - Present | |
BNY Mellon Asset Management Canada Limited++++++ | Director | 5/16 - Present | |
Mellon Canada Holding Company++++++ | Director | 5/16- Present | |
Mellon Capital Management Corporation** | Director | 4/15 - Present | |
Mellon Global Investing Corp.+ | Director | 5/15 - Present | |
USPLP, Inc.******* | Director | 12/15 - 5/16 | |
Alcentra NY, LLC++ | Manager | 9/14 - Present | |
Name and Position | Other Businesses | Position Held | Dates |
Alternative Holdings I, LLC | Manager | 4/16 - Present | |
BNY Investment Strategy and Solutions Group, LLC* | Manager | 6/15 - Present | |
EACM Advisors LLC^^ | Manager | 12/15 - Present | |
Standish Mellon Asset Management Company LLC* | Manager | 9/14 - 5/16 | |
The Boston Company Asset Management, LLC* | Manager | 9/14 - Present | |
The Boston Company Asset Management, LLC* | Manager | 6/14 – 7/14 | |
MAM (MA) Holding Trust* | Trustee | 12/15 - Present | |
BNY Mellon, National Association++++ | Executive Vice President | 5/14 - Present | |
The Bank of New York Mellon******* | Executive Vice President | 5/14 - Present | |
J. Charles Cardona | MBSC Securities Corporation++ | Director | 6/07 – Present |
Chairman | 2/13 - Present | ||
BNY Mellon Liquidity Funds plc+ | Director | 4/06 - Present | |
Diane P. Durnin | MBSC Securities Corporation++ | Executive Vice President | 3/15 - Present |
Bradley J. Skapyak | MBSC Securities Corporation++ | Executive Vice President | 6/07 - Present |
The Bank of New York Mellon*** | Senior Vice President | 4/07 - Present | |
Name and Position | Other Businesses | Position Held | Dates |
The Dreyfus Family of Funds++ | President | 1/10 - Present | |
Dreyfus Transfer, Inc. ++ | Chairman Director | 5/11 - Present 5/10 - Present | |
Joseph W. Connolly | 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 | 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 | 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 | |
Charles Doumar | 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 | |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
Name and Position | Other Businesses | Position Held | Dates |
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 |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
Name and Position | Other Businesses | Position Held | Dates |
BNY Mezzanine Non NY Funding | 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 |
Name and Position | Other Businesses | Position Held | Dates |
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 |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
TBC Securities Co., Inc.* | Assistant Treasurer – Tax | 6/13 – Present | |
TBCAM, LLC* | Assistant Treasurer – Tax | 10/13 – Present | |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
Name and Position | Other Businesses | Position Held | Dates |
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++ | Executive Vice President | 2/14 – Present |
Anthony Mayo | MBSC Securities Corporation++ | Chief Technology Officer | 4/14 – Present |
Kathleen Geis | 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 - | 7/11 - Present | |
BNY Mellon Investment Management Services LLC # | Vice President - | 10/11 - Present | |
BNY Mellon Investment | Vice President - | 7/11 - Present | |
BNY Mellon Performance & Risk Analytics, LLC+ | Vice President - | 7/11 - Present | |
BNY Mellon Trust Company of Illinois ***** | Vice President - | 7/11 - Present | |
Name and Position | Other Businesses | Position Held | Dates |
BNY Mellon Trust of Delaware# | Vice President - | 7/11 - Present | |
CenterSquare Investment Management Holdings, Inc.+++ | Vice President - | 10/12 – Present | |
Eagle Investment Systems LLC^^^^ | Vice President - | 7/11 – Present | |
Ivy Asset Management LLC+ | Vice President - | 7/11 – Present | |
MBSC Securities Corporation++ | 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 | |
Pareto New York LLC ++ | Vice President - | 7/11 – Present | |
SourceNet Solutions, Inc. + | Vice President - | 7/11 – 5/13 | |
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 |
Name and Position | Other Businesses | Position Held | Dates |
Alcentra US, Inc.†††† | Vice President - | 7/11 - Present | |
BNY Mellon Capital Markets LLC^^^^^ | Vice President - | 7/11 - Present | |
Pershing LLC### | Vice President - | 7/11 - Present | |
The Bank of New York Mellon+ | Managing Director | 7/09 - Present | |
MBNA Institutional PA Services, LLC+ | Managing Director | 7/09 – 10/14 | |
Claudine Orloski | 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 | |
Name and Position | Other Businesses | Position Held | Dates |
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 | |
Name and Position | Other Businesses | Position Held | Dates |
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, | 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 | 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 | |
Name and Position | Other Businesses | Position Held | Dates |
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, | 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 | 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 | 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 | |
Name and Position | Other Businesses | Position Held | Dates |
BNY Mezzanine Non NY Funding | 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 |
Name and Position | Other Businesses | Position Held | Dates |
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 |
Name and Position | Other Businesses | Position Held | Dates |
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 | 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 | 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 | 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 |
Name and Position | Other Businesses | Position Held | Dates |
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, | Assistant Treasurer –Tax | 5/11 – Present | |
Tennessee Processing Center LLC^^^^^ | Assistant Treasurer –Tax | 9/11 – Present | |
Name and Position | Other Businesses | Position Held | Dates |
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 | 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 225 Liberty Street, New York, New York 10286 |
+ | The address of the business so indicated is One Mellon Bank Center, Pittsburgh, Pennsylvania 15258. |
++ | The address of the business so indicated is 200 Park Avenue, New York, New York 10166. |
+++ | The address of the business so indicated is 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 320 Bay Street, Toronto, ON M5H 4A6 | |||
† | 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. | The Dreyfus Socially Responsible Growth Fund, Inc. |
46. | Dreyfus Stock Index Fund, Inc. |
47. | Dreyfus Tax Exempt Cash Management Funds |
48. | The Dreyfus Third Century Fund, Inc. |
49. | Dreyfus Treasury & Agency Cash Management |
50. | Dreyfus Treasury Securities Cash Management |
51. | Dreyfus Ultra Short Income Fund |
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 | Positions and offices with the Distributor | Positions and Officeswith 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 |
Christopher D. O'Connor††† | Executive Vice President | None |
Irene Papadoulis** | Executive Vice President | None |
Matthew Perrone***** | Executive Vice President | None |
Bradley J. Skapyak* | Executive Vice President | President |
(b) | ||
Name and principal | Positions and offices with the Distributor | Positions and Officeswith Registrant |
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 |
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 |
Audrey Edwards*** | Assistant Secretary | None |
Susan K. Maroni*** | Assistant Secretary | None |
Cristina Rice*** | Assistant Secretary | None |
(b) | ||
Name and principal | Positions and offices with the Distributor | Positions and Officeswith Registrant |
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 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 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 7th of July 2016.
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) | 07/7/2016 | |||
Bradley J. Skapyak | |||||
/s/ James Windels* | Treasurer (Principal Financial | 07/7/2016 | |||
James Windels | |||||
/s/ Joseph S. DiMartino* | Chairman of the Board | 07/7/2016 | |||
Joseph S. DiMartino | |||||
/s/ Kenneth A. Himmel* | Board Member | 07/7/2016 | |||
Kenneth A. Himmel | |||||
/s/ Stephen J. Lockwood* | Board Member | 07/7/2016 | |||
Stephen J. Lockwood | |||||
/s/ Roslyn M. Watson* | Board Member | 07/7/2016 | |||
Roslyn M. Watson | |||||
/s/ Benaree Pratt Wiley* | Board Member | 07/7/2016 | |||
Benaree Pratt Wiley | |||||
/s/ Francine J. Bovich* | Board Member | 07/7/2016 | |||
Francine J. Bovich | |||||
*BY: | /s/ James Bitetto | ||||
James Bitetto | |||||
INDEX OF EXHIBITS
Exhibits
N(2) Rule 18f-3 Plan, dated April 26, 2007, as revised April 15, 2016, for General AMT-Free Municipal Money Market Fund, is filed herewith.
N(5) Rule 18f-3 Plan, dated August 1, 2015, as revised April 15, 2016 for General Treasury and Agency Money Market Fund is filed herewith.
