|
Broker Dealers Record:
1 |
a. Full name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 008-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00 |
Broker Dealers Record:
2 |
a. Full name | Hedgemark Securities, LLC |
b. SEC file number | 008-69106 |
c. CRD number | 000164503 |
d. LEI, if any | N/A |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00 |
Broker Dealers Record:
3 |
a. Full name | BNY Mellon Securities Corporation |
b. SEC file number | 008-13801 |
c. CRD number | 000000231 |
d. LEI, if any | N/A |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00 |
Broker Dealers Record:
4 |
a. Full name | Pershing Advisor Solutions LLC |
b. SEC file number | 008-47425 |
c. CRD number | 000036671 |
d. LEI, if any | 549300KTC63JRN36GZ84 |
e. State, if applicable |
NEW JERSEY
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00 |
Broker Dealers Record:
5 |
a. Full name | Pershing LLC |
b. SEC file number | 008-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. State, if applicable |
NEW JERSEY
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00 |
Broker Dealers Record:
6 |
a. Full name | BNY Mellon Asset Management Canada Ltd. |
b. SEC file number | 008-00000 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00 |
Broker Dealers Record:
7 |
a. Full name | BNY Mellon Capital Markets EMEA Limited |
b. SEC file number | 008-00000 |
c. CRD number | N/A |
d. LEI, if any | 213800O5FBGOWU89LN14 |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00 |
Broker Dealers Record:
8 |
a. Full name | BNY Mellon Investment Management Australia Limited |
b. SEC file number | 008-00000 |
c. CRD number | N/A |
d. LEI, if any | 2ZQTMYGDRJZ57CRSPU33 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00 |
Broker Dealers Record:
9 |
a. Full name | BNY Mellon Investment Management EMEA Limited |
b. SEC file number | 008-00000 |
c. CRD number | N/A |
d. LEI, if any | 213800X5NCNIAF9USD75 |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00 |
Broker Dealers Record:
10 |
a. Full name | BNY Mellon Investment Management Hong Kong Limited |
b. SEC file number | 008-00000 |
c. CRD number | 000169689 |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00 |
Broker Dealers Record:
11 |
a. Full name | BNY MELLON SERVICOS FINACEIROS DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS (DTVM) S.A |
b. SEC file number | 008-00000 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
BRAZIL
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00 |
Broker Dealers Record:
12 |
a. Full name | BNY Mellon Wealth Management, Advisory Services, Inc. |
b. SEC file number | 008-00000 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00 |
Broker Dealers Record:
13 |
a. Full name | Pershing (Channel Islands) Limited |
b. SEC file number | 008-00000 |
c. CRD number | N/A |
d. LEI, if any | 2138009CM5DCI2OQW132 |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00 |
Broker Dealers Record:
14 |
a. Full name | Pershing Limited |
b. SEC file number | 008-00000 |
c. CRD number | N/A |
d. LEI, if any | 213800R6YVGU4VP7XK84 |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00 |
Broker Dealers Record:
15 |
a. Full name | Pershing Securities Australia Pty Limited |
b. SEC file number | 008-00000 |
c. CRD number | N/A |
d. LEI, if any | 5493008201YNLL3CPG58 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00 |
Broker Dealers Record:
16 |
a. Full name | Pershing Securities Canada Limited |
b. SEC file number | 008-00000 |
c. CRD number | N/A |
d. LEI, if any | 5493000WV47FDC28QG89 |
e. State, if applicable | |
f. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00 |
Broker Dealers Record:
17 |
a. Full name | Pershing Securities International Limited |
b. SEC file number | 008-00000 |
c. CRD number | N/A |
d. LEI, if any | 549300PPJGN9E26TI110 |
e. State, if applicable | |
f. Foreign country, if applicable |
IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00 |
Broker Dealers Record:
18 |
a. Full name | Pershing Securities Limited |
b. SEC file number | 008-00000 |
c. CRD number | N/A |
d. LEI, if any | 549300NC3GURN0AEZU06 |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00 |
Broker Dealers Record:
19 |
a. Full name | Pershing Securities Singapore Private Limited |
b. SEC file number | 008-00000 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
MALAYSIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00 |
Broker Dealers Record:
20 |
a. Full name | The Bank of New York Mellon Securities Company Japan Limited |
b. SEC file number | 008-00000 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00 |
Broker Dealers Record:
21 |
a. Full name | The Bank of New York Mellon, S.A., Institucion de Banca Multiple |
b. SEC file number | 008-00000 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
MEXICO
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00 |
Broker Dealers Record:
22 |
a. Full name | BNY Mellon Fund Management (Luxemboug), S.A. |
b. SEC file number | 008-00000 |
c. CRD number | 000283267 |
d. LEI, if any | 5N2ES2M2WGR2TO0Q5G40 |
e. State, if applicable | |
f. Foreign country, if applicable |
LUXEMBOURG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | STATE STREET GLOBAL MARKETS, LLC |
ii. SEC file number | 008-69862 |
iii. CRD number | 000285852 |
iv. LEI, if any | 54ZMQ1M7YQYKOZC8E043 |
v. State, if applicable |
MASSACHUSETTS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 269,785,000,000.00 |
Principal Transactions Record:
2 |
i. Full name of dealer | CREDIT AGRICOLE SECURITIES (USA) INC. |
ii. SEC file number | 008-13753 |
iii. CRD number | 000000190 |
iv. LEI, if any | 549300WO2DKF0Q3YMV43 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 258,249,000,000.00 |
Principal Transactions Record:
3 |
i. Full name of dealer | BARCLAYS CAPITAL INC. |
ii. SEC file number | 008-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 256,754,469,150.00 |
Principal Transactions Record:
4 |
i. Full name of dealer | CIBC WORLD MARKETS CORP. |
ii. SEC file number | 008-18333 |
iii. CRD number | 000000630 |
iv. LEI, if any | 2IGI19DL77OX0HC3ZE78 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 178,075,000,000.00 |
Principal Transactions Record:
5 |
i. Full name of dealer | MUFG SECURITIES AMERICAS INC. |
ii. SEC file number | 008-43026 |
iii. CRD number | 000019685 |
iv. LEI, if any | K5HU16E3LMSVCCJJJ255 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 163,092,000,000.00 |
Principal Transactions Record:
6 |
i. Full name of dealer | NOMURA SECURITIES INTERNATIONAL, INC. |
ii. SEC file number | 008-15255 |
iii. CRD number | 000004297 |
iv. LEI, if any | OXTKY6Q8X53C9ILVV871 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 129,147,711,522.00 |
Principal Transactions Record:
7 |
i. Full name of dealer | DAIWA CAPITAL MARKETS AMERICA INC. |
ii. SEC file number | 008-12242 |
iii. CRD number | 000001576 |
iv. LEI, if any | M67H5PRC0NQKM73ZAS82 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 86,953,458,163.00 |
Principal Transactions Record:
8 |
i. Full name of dealer | NATIXIS SECURITIES AMERICAS LLC |
ii. SEC file number | 008-00719 |
iii. CRD number | 000001101 |
iv. LEI, if any | 549300L8G1E7ZHVEOG75 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 54,400,000,000.00 |
Principal Transactions Record:
9 |
i. Full name of dealer | DEUTSCHE BANK SECURITIES INC. |
ii. SEC file number | 008-17822 |
iii. CRD number | 000002525 |
iv. LEI, if any | 9J6MBOOO7BECTDTUZW19 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 33,811,470,897.00 |
Principal Transactions Record:
10 |
i. Full name of dealer | TD AMERITRADE CLEARING, INC. |
ii. SEC file number | 008-16335 |
iii. CRD number | 000005633 |
iv. LEI, if any | MRK678VXOI09YSSN8X19 |
v. State, if applicable |
NEBRASKA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 32,964,481,250.00 |