-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, VcNvJZnb+ijxe+r7JnhKAvAzM6Qv+G+Q8DcxOJcLcOKVsGpdJ1Njge+m3Zh/QNTZ Qx8BBU0E6mbuRaWMYLd+tg== 0001193125-09-249274.txt : 20091208 0001193125-09-249274.hdr.sgml : 20091208 20091208160736 ACCESSION NUMBER: 0001193125-09-249274 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091202 ITEM INFORMATION: Other Events FILED AS OF DATE: 20091208 DATE AS OF CHANGE: 20091208 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Bank of New York Mellon CORP CENTRAL INDEX KEY: 0001390777 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 000000000 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-52710 FILM NUMBER: 091228849 BUSINESS ADDRESS: STREET 1: ONE WALL STREET CITY: NEW YORK STATE: NY ZIP: 10286 BUSINESS PHONE: 212-495-1784 MAIL ADDRESS: STREET 1: ONE WALL STREET CITY: NEW YORK STATE: NY ZIP: 10286 8-K 1 d8k.htm FORM 8-K Form 8-K

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM 8-K

 

 

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported) – December 2, 2009

 

 

THE BANK OF NEW YORK MELLON CORPORATION

(Exact name of registrant as specified in charter)

 

 

 

Delaware   000-52710   13-2614959

(State or other jurisdiction

of incorporation)

   (Commission File Number)  

(I.R.S. Employer

Identification No.)

 

One Wall Street

New York, New York

   10286
(Address of principal executive offices)   (Zip code)

Registrant’s telephone number, including area code – (212) 495-1784

N/A

(Former name or former address, if changed since last report)

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 

ITEM 8.01. OTHER EVENTS.

As previously disclosed, The Bank of New York Mellon (the “Bank”), a wholly-owned subsidiary of The Bank of New York Mellon Corporation (the “Registrant”), is being investigated by the Commodity Futures Trading Commission (the “CFTC” or the “Commission”) in connection with a loan to Sentinel Management Group, Inc. (“Sentinel”) by the Bank, which was secured by securities and cash in an account maintained at the Bank for Sentinel.

The Bank has received a notice from the Division of Enforcement (the “Division”) of the CFTC indicating that the Division is considering a recommendation to the Commission that it file a civil enforcement action against the Bank for possible violations of the Commodity Exchange Act and CFTC regulations. The notice provides the Bank an opportunity to provide a written submission responding to issues raised in the Division’s proposed enforcement proceeding prior to any decision by the Commission on initiating an enforcement proceeding, and is neither a formal allegation nor a finding of wrongdoing. On December 2, 2009, the Bank was given access to a draft of the complaint which the Division would propose to file if the Commission were to pursue a civil enforcement action. The Bank intends to respond by explaining why it believes an enforcement action is unwarranted. If an enforcement action is commenced, the Bank intends to vigorously defend itself.

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 

      The Bank of New York Mellon Corporation
                                  (Registrant)
Date: December 8, 2009     By:  

/S/    ARLIE R. NOGAY        

      Name:   Arlie R. Nogay
      Title:   Corporate Secretary
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