0001752724-23-200453.txt : 20230908
0001752724-23-200453.hdr.sgml : 20230908
20230908061830
ACCESSION NUMBER: 0001752724-23-200453
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20230630
FILED AS OF DATE: 20230908
DATE AS OF CHANGE: 20230908
EFFECTIVENESS DATE: 20230908
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: BNY Mellon ETF Trust
CENTRAL INDEX KEY: 0001493580
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FILING VALUES:
FORM TYPE: N-CEN
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-23477
FILM NUMBER: 231243654
BUSINESS ADDRESS:
STREET 1: 240 GREENWICH STREET
CITY: NEW YORK
STATE: NY
ZIP: 10286
BUSINESS PHONE: 212-922-6400
MAIL ADDRESS:
STREET 1: 240 GREENWICH STREET
CITY: NEW YORK
STATE: NY
ZIP: 10286
FORMER COMPANY:
FORMER CONFORMED NAME: Dreyfus ETF Trust
DATE OF NAME CHANGE: 20100607
0001493580
S000072501
BNY Mellon Ultra Short Income ETF
C000228810
BNY Mellon Ultra Short Income ETF
BKUI
0001493580
S000072693
BNY Mellon Responsible Horizons Corporate Bond ETF
C000229128
BNY Mellon Responsible Horizons Corporate Bond ETF
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240 Greenwich Street
New York
10286
US-NY
US
212-922-6400
BNY Mellon Investment Servicing (US) Inc.
118 Flanders Road
Westborough
01581-1722
800-441-9800
Records related to its functions as transfer agent.
Insight North America LLC
200 Park Avenue
7th Floor
New York
10166
212-527-1800
Records related to its functions as sub-adviser.
BNY MELLON SECURITIES CORPORATION
240 GREENWICH STREET
NEW YORK
10286
212-635-4738
Records related to its function as distributor.
The Bank of New York Mellon
240 Greenwich Street
New York
10286
1-212-495-1784
Records related to its functions as administrator and custodian.
BNY Mellon ETF Investment Adviser, LLC
201 Washington Street
Boston
02108
617-722-7250
Records related to its functions as adviser.
Mellon Investments Corporation
201 Washington Street
Boston
02108
617-722-7250
Records related to its functions as sub-adviser.
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Jill I. Mavro
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Stacy L. Schaus
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J. Charles Cardona
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Kevin W. Quinn
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Kristen M. Dickey
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F. Jack Liebau, Jr.
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Natalya Zelensky
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240 Greenwich Street
New York
10286
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Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
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The Depository Trust Company
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Securities depository - rule 17f-4 (17 CFR 270.17f-4)
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The Bank of New York Mellon
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BNY Mellon Investment Management Hong Kong Limited
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Pershing Securities Canada Limited
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Pershing Limited
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Pershing LLC
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Pershing Advisor Solutions LLC
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BNY Mellon Fund Management (Luxembourg), S.A.
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Pershing Securities Singapore Private Limited
N/A
N/A
N/A
SG
0.00000000
BNY Mellon Servicos Financeiros Distribuidora de Titulos e Valores Mobiliarios (DTVM) S.A.
N/A
N/A
N/A
BR
0.00000000
The Bank of New York Mellon Securities Company Japan Limited
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Pershing (Channel Islands) Limited
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Pershing Securities International Limited
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The Bank of New York Mellon, S.A., Institucion de Banca Multiple
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Mizuho Securities USA LLC
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CitiGroup Global Markets Inc.
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RBC CAPITAL MARKETS LLC
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TD SECURITIES (USA) LLC
008-36747
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1023690.00000000
BARCLAYS CAPITAL, INC.
008-41342
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AC28XWWI3WIBK2824319
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WELLS FARGO SECURITIES, LLC
008-65876
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583469.00000000
BOFA SECURITIES, INC.
008-69787
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549300HN4UKV1E2R3U73
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GOLDMAN SACHS & CO. LLC
008-00129
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J.P. Morgan Securities LLC
008-35008
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BNY Mellon Responsible Horizons Corporate Bond ETF
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The Bank of New York Mellon
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Revenue sharing split
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Rule 18f-4 (17 CFR 270.18f-4)
Rule 6c-11 (17 CFR 270.6c-11)
Rule 18f-4(f)(17 CFR 270.18f-4(f))
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
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BNY Mellon ETF Investment Adviser, LLC
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Insight North America LLC
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The Bank of New York Mellon
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Refinitiv US Holdings Inc.
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ICE Data Pricing & Reference Data, LLC
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Bloomberg Finance L.P.
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HSBC Bank Australia Limited
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Federal Reserve Bank of New York
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Citibanamex Afore, S.A. de C.V.
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The Depository Trust Company
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Securities depository - rule 17f-4 (17 CFR 270.17f-4)
The Bank of New York Mellon
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Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
The Bank of New York Mellon (United Kingdom)
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GB
Y
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Bank
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
The Bank of New York Mellon (Belgium)
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BE
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Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
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The Bank of New York Mellon
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The Bank of New York Mellon
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BNY Mellon Capital Markets, LLC
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BNY Mellon Fund Management (Luxembourg), S.A.
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Pershing Securities Canada Limited
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Pershing Limited
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Pershing LLC
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Pershing Securities Singapore Private Limited
N/A
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0.00000000
BNY Mellon Securities Corporation
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N/A
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Pershing Securities Limited
N/A
N/A
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GB
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Pershing (Channel Islands) Limited
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N/A
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GB
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Pershing Securities International Limited
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N/A
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The Bank of New York Mellon Securities Company Japan Limited
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N/A
N/A
JP
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Pershing Advisor Solutions LLC
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BNY Mellon Investment Management Hong Kong Limited
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INTERNAL CONTROL RPT
2
BNYMETF_NCEN.htm
Report of Independent Registered Public Accounting Firm
To the Shareholders and Board of Trustees of
BNY Mellon ETF Trust
In planning and performing our audits of the financial statements of BNY Mellon Ultra Short Income ETF and BNY Mellon Responsible Horizons Corporate Bond ETF (two of the funds constituting BNY Mellon ETF Trust) (the Company) as of and for the year ended June 30, 2023, in accordance with the standards of the Public Company Accounting Oversight Board (United States) (PCAOB), we considered the Company’s internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-CEN, but not for the purpose of expressing an opinion on the effectiveness of the Company’s internal control over financial reporting. Accordingly, we express no such opinion.
The management of the Company is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company’s internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with U.S. generally accepted accounting principles. A company’s internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with U.S. generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a company’s assets that could have a material effect on the financial statements.
Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate.
A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the Company’s annual or interim financial statements will not be prevented or detected on a timely basis.
Our consideration of the Company’s internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the PCAOB. However, we noted no deficiencies in the Company’s internal control over financial reporting and its operation, including controls over safeguarding securities, that we consider to be a material weakness as defined above as of June 30, 2023.
This report is intended solely for the information and use of management and the Board of Trustees of BNY Mellon ETF Trust and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties.
/s/ ERNST & YOUNG LLP
New York, New York
August 21, 2023