0000036104-20-000020.txt : 20200728
0000036104-20-000020.hdr.sgml : 20200728
20200728165906
ACCESSION NUMBER: 0000036104-20-000020
CONFORMED SUBMISSION TYPE: MA/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20200720
DATE AS OF CHANGE: 20200728
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: 201054567
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
david.levy@usbank.com
craig.stites@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
2136156829
Add
777 E. Wisconsin Ave.
Milwaukee
WI
53202
4147656012
Add
513-304-0398
Add
7th & Washington
St. Louis
MO
63101
3144182685
N
http://usbnetportal/wealthmanagement/institutionaltrustandcustody/ITC_Municipal_Advisory_Group.aspx
David
B
Levy
1095 Avenue of the Americas
EX-NY-BP13
NEW YORK
NY
10017
9173263927
david.levy@usbank.com
Wayne
Allen
Sattler
777 E. Wisconsin Ave.
Milwaukee
WI
53202
4147656012
wayne.sattler@usbank.com
U.S. Bancorp
Y
Federal Reserve System
RSSD 1119794
U.S. Bank National Association
Y
Office of the Comptroller of the Currency
RSSD 504713
Separately Identifiable Department or Division of a Bank
December
OH
10-22-2014
N
7
7
0
0
0
29
Municipal Entities
Non-profit organizations
0
0
0
Not Applicable
Fixed Fees
Not Applicable
Advice Investment Of Proceeds MS
Advice ME Other Investments
Y
Y
N
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Company
Investment Adviser
Swap Dealer
Banking/Thrift institution
Trust Company
Insurance company or agency
20
Add
Swap Dealer
Banking/Thrift institution
U.S. Bank National Association
Banking
Y
Y
Y
Other - CANADA - OFFICE OF THE SUPERINTENDENT OF FINANCIAL INSTITUTIONS
Z4
Other - CAYMAN ISLANDS MONETARY AUTHORITY
E9
Add
Investment Company
Nuveen Oregon Intermediate Municipal Bond Fund Class I
Nuveen Oregon Intermediate Municipal Bond Fund Class I
Y
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Quasar Distributors, LLC
Quasar Distributors, LLC
N
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
Insurance company or agency
U.S. Bancorp Investments, Inc.
U.S. Bancorp Investments, Inc.
N
Y
N
Add
Investment Adviser
U.S. Bancorp Asset Management, Inc.
U.S. Bancorp Asset Management, Inc.
N
Y
N
Add
Insurance company or agency
U.S. Bancorp Insurance and Investments, Inc.
U.S. Bancorp Insurance and Investments, Inc.
N
Y
N
Add
Insurance company or agency
U.S. Bancorp Insurance Services of Montana, Inc.
U.S. Bancorp Insurance Services of Montana, Inc.
N
Y
N
Add
Trust Company
U.S. Bank Trust Company, National Association
U.S. Bank Trust Company, National Association
N
Y
N
Add
Banking/Thrift institution
Mercantile Mortgage Financial Company
Mercantile Mortgage Financial Company
Y
Y
N
Add
Trust Company
U.S. Bank Trust National Association
U.S. Bank Trust National Association
Y
Y
N
Add
Trust Company
U.S. Bank Trust National Association SD
U.S. Bank Trust National Association SD
Y
Y
N
Delete
Investment Company
Highland Long/Short Equity Z Fund
Highland Long/Short Equity Z Fund
Y
Y
N
Delete
Investment Company
Morgan Dempsey Small/Micro Cap Value Fund
Morgan Dempsey Small/Micro Cap Value Fund
Y
Y
N
Amend
Investment Company
AMG GW&K Trilogy Emerging Wealth Equity Fund
AMG GW&K Trilogy Emerging Wealth Equity Fund
Y
Y
N
Delete
Investment Company
Nuveen Symphony Mid Cap Core Fund Class A
Nuveen Symphony Mid Cap Core Fund Class A
Y
Y
N
Add
Investment Company
Nuveen Minnesota Intermediate Municipal Bond Fund Class I
Nuveen Minnesota Intermediate Municipal Bond Fund Class I
Y
Y
N
Delete
Investment Company
Nuveen Short-Term Bond Fund Class A
Nuveen Short-Term Bond Fund Class A
Y
Y
N
Delete
Investment Company
Nuveen Core Plus Bond Fund Class A
Nuveen Core Plus Bond Fund Class A
Y
Y
N
Delete
Investment Company
Nuveen Core Bond Fund Class I
Nuveen Core Bond Fund Class I
Y
Y
N
Add
Investment Company
Nuveen Short Term Municipal Bond Fund Class I
Nuveen Short Term Municipal Bond Fund Class I
Y
Y
N
Add
Banking/Thrift institution
U.S. Bancorp
U.S. Bancorp
Y
Y
N
Add
Insurance company or agency
U.S. Bancorp Insurance Services, LLC
U.S. Bancorp Insurance Services
Y
Y
N
Add
Investment Company
Nuveen Minnesota Intermediate Municipal Bond Fund Class A
Nuveen Minnesota Intermediate Municipal Bond Fund Class A
Y
Y
N
Delete
Investment Company
Voya International Real Estate Fund Class W
Voya International Real Estate Fund Class W
Y
Y
N
Add
Investment Company
American Century High Income Fund Y Class
American Century High Income Fund Y Class
Y
Y
N
Add
Investment Company
American Beacon Stephens Mid-Cap Growth Fund Institutional Class
American Beacon Stephens Mid-Cap Growth Fund Institutional Class
Y
Y
N
Add
Investment Company
iPATH GSCI Total Return Index ETN
iPATH GSCI Total Return Index ETN
Y
Y
N
N
Y
Y
Y
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
Y
N
N
N
Y
N
Y
Y
N
Y
N
Y
N
N
Y
N
N
N
N
N
N
N
N
Y
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
Senior Vice President
10-22-2018
NA
Y
000000000
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
Senior Vice President
10-22-2018
NA
Y
000000000
NewAdd
David
B
Levy
Chief Compliance Officer
09-28-2016
NA
N
1362597
1
9-A2
U.S. Bancorp
N
U.S. Bancorp Asset Management, Inc.
111912
Refer to U.S. Bancorp Asset Management, Inc. Form ADV Update
1
9-C2
9-C4
9-C5
U.S. Bank National Association
N
U.S. Bancorp Asset Management, Inc.
111912
FILE NO. 3-12029
1
9-E2
U.S. Bancorp Investments, Inc.
Y
028-16147
U.S. Bancorp Investments, Inc.
17868
2012031945801
1
9-E2
U.S. Bancorp Investments, Inc.
Y
028-16147
U.S. Bancorp Investments, Inc.
17868
AWC 2008013057101
1
9-C5
U.S. Bank National Association
N
U.S. Bancorp Investments, Inc.
17868
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.
17868
2014042542101
1
9-D4
U.S. Bank National Association
N
In the Matter of: U.S. Bank National Association Cincinnatti Ohio
AA-EC-2017-12
400 7th Street, SW
Washington
DC
20219
The matter related to deficiencies in the Bank's bankruptcy court filing practices between 2009-2014.
04-25-2017
Office of the Comptroller of the Currency
CivilAdminPenaltyFine
BankingProduct
The OCC identified deficiencies in U.S. Bank's practices related to bankruptcy court filings completed between 2009-2014 that did not comply with bankruptcy laws.
04-25-2017
Order
Stipulation and Consent
U.S. Bank National Association paid a $15 million civil money penalty to the U.S. Treasury as required by the consent order.
N
N
1
9-D2
9-D4
U.S. Bancorp
N
U.S. Bancorp Asset Management, Inc.
111192
Refer to U.S. Bancorp Asset Management, Inc. Form ADV Update
1
9-C2
9-C4
9-C5
U.S. Bancorp Investments, Inc
Y
008-35359
U.S. Bancorp Investments, Inc.
17868
3-19818
David B. Levy
David B. Levy
Chief Compliance Officer
07-20-2020
N
N
Y
N
N
Y
N
Y
N
N
N
N
Y
N
N
N
N
Y
N
N
N