0000036104-16-000055.txt : 20161028
0000036104-16-000055.hdr.sgml : 20161028
20161028122106
ACCESSION NUMBER: 0000036104-16-000055
CONFORMED SUBMISSION TYPE: MA/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20161026
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: US BANK NATIONAL ASSOCIATION
CENTRAL INDEX KEY: 0000830013
IRS NUMBER: 310841368
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: MA/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 867-01108
FILM NUMBER: 161957664
BUSINESS ADDRESS:
STREET 1: 800 NICOLLET MALL
STREET 2: BC-MN-H15F
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55402-7020
BUSINESS PHONE: 612-303-6000
MAIL ADDRESS:
STREET 1: 800 NICOLLET MALL
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55402-4302
FORMER COMPANY:
FORMER CONFORMED NAME: FIRST BANK NATIONAL ASSOCIATION /MN/
DATE OF NAME CHANGE: 19940601
MA/A
1
primary_doc.xml
MA/A
0000830013
XXXXXXXX
David Levy
9173263927
David.Levy@usbank.com
william.hirata@usbank.com
wayne.sattler@usbank.com
US BANK NATIONAL ASSOCIATION
U.S. Bank Municipal Advisory Group
31-0841368
866-01669-00
867-01108
800 Nicollet Mall
MINNEAPOLIS
MN
55402
6514663000
Add
425 Walnut St.
Cincinnati
OH
45202
5136322460
Add
1420 Fifth Ave.
Seattle
WA
98101
2065875268
Add
777 E. Wisconsin Ave.
Milwaukee
WI
53202
4147656012
Add
300 Delaware Ave.
Wilmington
DE
19801
3025763707
Add
7th & Washington
St. Louis
MO
63101
3144182685
N
800 NICOLLET MALL
MINNEAPOLIS
MN
55402-4302
David
B
Levy
461 FIFTH AVENUE
NEW YORK
NY
10017
9173263927
Wayne
Allen
Sattler
777 E. Wisconsin Ave.
Milwaukee
WI
53202
4147656012
wayne.sattler@usbank.com
Separately Identifiable Department or Division of a company
December
OH
10-22-2014
N
8
8
0
0
0
99
Municipal Entities
Non-profit organizations
Corporations or other businesses
0
0
0
Not Applicable
Fixed Fees
Not Applicable
Advice Investment Of Proceeds MS
Advice ME Other Investments
Y
Y
N
Swap Dealer
Banking/Thrift institution
2
Delete
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
Insurance company or agency
U.S. Bancorp Investments, Inc.
Brokerage firm
N
Y
N
Delete
Investment Adviser
U.S. Bancorp Asset Management, Inc.
Investment Adviser
N
Y
N
Delete
Broker-dealer municipal securities dealer or government securities broker or dealer
Quasar Distributors, LLC
Broker-dealer
N
Y
N
Add
Banking/Thrift institution
U.S. Bank National Association
Banking
Y
N
Y
Other - CANADA - OFFICE OF THE SUPERINTENDENT OF FINANCIAL INSTITUTIONS
Z4
Other - CAYMAN ISLANDS MONETARY AUTHORITY
E9
Amend
Broker-dealer municipal securities dealer or government securities broker or dealer
U.S. Bank Municipal Products Group F/K/A U.S. Bank Municipal Securities Group, a separately identifiable department or division of a bank
Municipal securities dealer
N
Y
N
Delete
Insurance company or agency
U.S. Bancorp Insurance and Investments, Inc.
Insurance agent or broker
N
Y
N
Delete
Insurance company or agency
U.S. Bancorp Insurance Services, LLC
Insurance company or agency
N
Y
N
Delete
Insurance company or agency
U.S. Bancorp Insurance Services of Montana, Inc.
Insuarnce company or agency
N
Y
N
Delete
Investment Company
Morgan Dempsey Small Micro Cap Value
Investment company
N
Y
N
Delete
Investment Company
Nuveen Intermediate Government Bond Fund
Investment company
N
Y
N
Delete
Investment Company
Nuveen Inflation Protected Securities
Investment company
N
Y
N
Delete
Investment Company
Nuveen Funds Core Bond Fund
Investment Company
N
Y
N
Delete
Investment Company
Nuveen Short Term Bond Fund
Investment company
N
Y
N
Delete
Investment Company
Nuveen Minnesota Intermediate Municipal Bond Fund
Investment company
N
Y
N
Delete
Investment Company
Golden Large Cap Core
Investment company
N
Y
N
Delete
Investment Company
Nuveen Core Plus Bond
Investment company
N
Y
N
Delete
Investment Company
LS Opportunity Fund
Investment company
N
Y
N
Delete
Investment Company
Nuveen High Income Bond Fund
Investment company
N
Y
N
Delete
Investment Company
Nuveen Oregon Intermediate Municipal Bond Fund
Investment company
N
Y
N
Delete
Investment Company
Nuveen Strategic Income Fund
Investment company
N
Y
N
Delete
Investment Company
Nuveen Short Term Municipal Bond Fund
Investment company
N
Y
N
Delete
Investment Company
Nuveen Large Cap Growth Opportunites Fund
Investment company
N
Y
N
Delete
Investment Company
Nuveen Mid Cap Value Fund
Investment company
N
Y
N
Delete
Investment Company
Nuveen Dividend Value Fund
Investment company
N
Y
N
Delete
Investment Company
Nuveen Large Cap Select Fund
Investment company
N
Y
N
Delete
Investment Company
Nuveen Nebraska Municipal Bond Fund
Investment company
N
Y
N
Delete
Investment Company
Federated Minnesota Municipal Cash Trust
Investment company
N
Y
N
Delete
Investment Company
Laudus International Marketmasters Fund
Investment company
N
Y
N
Delete
Investment Company
Nuveen Minnesota Municipal Bond Fund
Investment company
N
Y
N
Delete
Investment Company
Cambiar International Equity Fund
Investment company
N
Y
N
Delete
Investment Company
Nuveen Missouri Municipal Bond Fund
Investment company
N
Y
N
Delete
Investment Company
Nuveen Symphony Mid-Cap Core Fund
Investment company
N
Y
N
Delete
Investment Company
Piedmont Select Equity Fund
Investment company
N
Y
N
Delete
Investment Company
BRC Large Cap Focus Equity Fund
Investment company
N
Y
N
N
N
N
N
N
N
Y
Y
Y
N
N
N
Y
N
N
US BANCORP \DE\
0000036104
Schedule B
Schedule B-1: U.S. Bancorp acquired U.S. Bank 07/1958, but EDGAR did not accept an acquisition date prior to 01/01/1980, thus the Form reflects the earliest date EDGAR allowed.
N
N
N
N
N
Y
N
Y
Y
N
Y
N
Y
N
N
Y
N
N
N
N
N
N
N
N
N
Y
U.S. Bancorp
Y
41-0255900
Shareholder of U.S. Bank National Association of which a SIDD conducts municipal advisory activity
01-01-1980
E
Y
Wayne
Allen
Sattler
Vice President & Managing Director
10-22-2014
NA
Y
Add
U.S. Bancorp
Y
41-0255900
Shareholder of U.S. Bank National Association of which a SIDD conducts municipal advisory activity
01-01-1980
E
Y
Add
Wayne
Allen
Sattler
Vice President & Managing Director
10-22-2014
NA
Y
1
9-C2
9-C4
9-C5
U.S. Bank National Association
N
U.S. Bancorp Asset Management, Inc.
000111912
FILE NO. 3-12029
1
9-E2
U.S. Bancorp Investments, Inc.
Y
028-16147
U.S. Bancorp Investments, Inc.
000017868
2012031945801
1
9-E2
U.S. Bancorp Investments, Inc.
Y
028-16147
U.S. Bancorp Investments, Inc.
000017868
AWC 2008013057101
1
9-C5
U.S. Bank National Association
N
U.S. Bancorp Investments, Inc.
000017868
6:13CV2041LRR
9-C2
9-C4
9-C5
ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF 1933 AND SECTION 15B(c) OF THE SECURITIES EXCHANGE ACT OF 1934
3-16873
800 Nicollet Mall
Minneapolis
MN
55402
USBMSG CONSENTED TO THE SEC'S OFFER OF SETTLEMENT AND THE SEC ISSUED A CEASE AND DESIST ORDER RELATED TO THAT VIOLATION ON SEPTEMBER 30, 2015. USBMSG PAID A CIVIL PENALTY OF $60,000 AND HAS, AMONG OTHER THINGS, AGREED TO RETAIN A CONSULTANT TO REVIEW ITS POLICIES AND PROCEDURES.
09-30-2015
Cease and Desist
CivilAdminPenaltyFine
Debt - Municipal
U.S. BANK MUNICIPAL SECURITIES GROUP, A DIVISION OF U.S. BANK NATIONAL ASSOCIATION ("USBMSG"), IS A REGISTERED MUNICIPAL SECURITIES DEALER AND UNDERWRITER. THE SECURITIES AND EXCHANGE COMMISSION ("SEC") IN 2014 INITIATED THE MUNICIPALITIES CONTINUING DISCLOSURE COOPERATION INITIATIVE ("MCDC"). MCDC REQUIRED UNDERWRITERS OF MUNICIPAL SECURITIES TO SELF-REPORT TRANSACTIONS IN WHICH THE UNDERWRITER FAILED TO CONFIRM THE ACCURACY OF THE ISSUER'S REPRESENTATIONS REGARDING ITS COMPLIANCE WITH PRIOR CONTINUING DISCLOSURE UNDERTAKINGS. USBMSG SELF-REPORTED ONE SUCH INSTANCE.
10-01-2015
Acceptance Waiver & Consent (AWC)
Y
Cease and Desist
CivilAdminPenaltyFine
60000.00
60000.00
10-01-2015
60000.00
1
9-D2
9-D4
US BANK NATIONAL ASSOCIATION
N
OFFICE OF THE COMPTROLLER OF THE CURRENCY CONSENT ORDER
AA-EC-2015-77
800 NICOLLET MALL
MINNEAPOLIS
MN
55402
THE OCC REQUIRED U.S. BANK TO IMPLEMENT CERTAIN ENHANCEMENTS TO U.S. BANK'S BANK SECRECY ACT/ANTI-MONEY LAUNDERING COMPLIANCE PROGRAM. SOME OF THE COMPLIANCE PROGRAM ENHANCEMENTS AND OTHER ACTIONS REQUIRED BY THE CONSENT ORDER HAVE ALREADY BEEN, OR ARE CURRENTLY IN THE PROCESS OF BEING, IMPLEMENTED. ON OCTOBER 23, 2015, U.S. BANK ENTERED INTO A CONSENT ORDER WITH THE OCC CONCERNING DEFICIENCIES IN ITS BANK SECRECY ACT/ANTI-MONEY LAUNDERING COMPLIANCE PROGRAM, AND REQUIRING AN ONGOING EVALUATION AND REMEDIATION OF THAT PROGRAM.
10-23-2015
OFFICE OF THE COMPTROLLER OF THE CURRENCY
Undertaking
Other
BANKING
THE OFFICE OF THE COMPTROLLER OF THE CURRENCY ("OCC") IDENTIFIED DEFICIENCIES IN U.S. BANK'S BANK SECRECY ACT/ANTI-MONEY LAUNDERING COMPLIANCE PROGRAM.
10-23-2015
Stipulation and Consent
Y
Undertaking
1
9-E2
U.S. Bancorp Investments, Inc.
Y
801-68122
U.S. Bancorp Investments, Inc.
000017868
2014042542101
David B. Levy
David B. Levy
Chief Compliance Officer
10-26-2016
N
N
Y
N
N
Y
N
Y
N
N
N
N
N
N
N
N
N
N
Y
N