0000846800-18-000002.txt : 20180301 0000846800-18-000002.hdr.sgml : 20180301 20180301114242 ACCESSION NUMBER: 0000846800-18-000002 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20171231 FILED AS OF DATE: 20180301 DATE AS OF CHANGE: 20180301 EFFECTIVENESS DATE: 20180301 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DREYFUS STOCK INDEX FUND INC CENTRAL INDEX KEY: 0000846800 IRS NUMBER: 133537664 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-05719 FILM NUMBER: 18655407 BUSINESS ADDRESS: STREET 1: THE DREYFUS CORPORATION STREET 2: 200 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10166 BUSINESS PHONE: 2129226400 MAIL ADDRESS: STREET 1: C/O DREYFUS CORP STREET 2: 200 PARK AVENUE, 7TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10166 FORMER COMPANY: FORMER CONFORMED NAME: DREYFUS LIFE & ANNUITY INDEX FUND INC DATE OF NAME CHANGE: 19920703 0000846800 S000001911 Dreyfus Stock Index Fund, Inc. C000005028 Dreyfus Stock Index Fund, Inc. - Initial Shares C000005029 Dreyfus Stock Index Fund, Inc. - Service Shares NSAR-B 1 ANSWER.FIL ANNUAL NSAR PAGE 1 000 B000000 12/31/2017 000 C000000 0000846800 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 U 001 A000000 DREYFUS STOCK INDEX FUND, INC. 001 B000000 811-5719 001 C000000 2129226785 002 A000000 200 PARK AVENUE, 7TH FLOOR 002 B000000 NEW YORK 002 C000000 NY 002 D010000 10166 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 N 007 B000000 0 014 A000001 AMHERST PIERPONT SECURITIES LLC 014 B000001 8-68282 014 A000002 BNY MELLON CAPITAL MARKETS, LLC. 014 B000002 8-35255 014 A000003 HEDGEMARK SECURITIES, LLC 014 B000003 8-69106 014 A000004 MBSC SECURITIES CORPORATION 014 B000004 8-13801 014 A000005 PERSHING ADVISOR SOLUTIONS LLC 014 B000005 8-47425 014 A000006 PERSHING LLC 014 B000006 8-17574 014 A000007 WESTMINSTER RESEARCH ASSOCIATES LLC 014 B000007 8-28900 018 000000 Y 019 A000000 Y 019 B000000 127 019 C000000 DREYFUSFAM 020 A000001 CITIGROUP INC. 020 B000001 52-1568099 020 C000001 15 020 A000002 GOLDMAN, SACHS & CO. 020 B000002 13-5108880 020 C000002 1 020 A000003 UBS SECURITIES LLC 020 B000003 13-3873456 020 C000003 0 020 A000004 BARCLAYS CAPITAL INC. 020 B000004 06-1031656 PAGE 2 020 C000004 0 020 A000005 J.P. MORGAN SECURITIES LLC 020 B000005 13-3299429 020 C000005 0 020 A000006 CANTOR FITZGERALD & CO. 020 B000006 13-3680184 020 C000006 0 020 A000007 ITG INC. 020 B000007 95-4339369 020 C000007 0 020 A000008 CREDIT SUISSE (USA) INC. 020 B000008 13-1898818 020 C000008 0 020 A000009 VIRTU FINANCIAL LLC 020 B000009 20-0337804 020 C000009 0 020 A000010 KNIGHT CAPITAL MARKETS LLC 020 B000010 22-3791454 020 C000010 0 021 000000 16 022 A000001 MORGAN STANLEY 022 B000001 36-3145972 022 C000001 15472 022 D000001 35502 022 A000002 GOLDMAN, SACHS & CO. 022 B000002 13-5108880 022 C000002 27625 022 D000002 17590 022 A000003 BANK OF AMERICA NA 022 B000003 94-1687665 022 C000003 8963 022 D000003 22296 022 A000004 CITIGROUP INC. 022 B000004 52-1568099 022 C000004 10305 022 D000004 5048 022 A000005 COWEN & COMPANY, LLC 022 B000005 38-3698933 022 C000005 1324 022 D000005 3370 022 A000006 J.P. MORGAN SECURITIES LLC 022 B000006 13-3299429 022 C000006 457 022 D000006 3098 022 C000007 0 022 D000007 0 022 C000008 0 022 D000008 0 022 C000009 0 022 D000009 0 022 C000010 0 PAGE 3 022 D000010 0 023 C000000 64146 023 D000000 86904 024 000000 Y 025 A000001 J.P. MORGAN SECURITIES LLC 025 B000001 13-3299429 025 C000001 E 025 D000001 40951 025 A000002 BANK OF AMERICA NA 025 B000002 94-1687665 025 C000002 E 025 D000002 31596 025 A000003 CITIGROUP INC. 025 B000003 52-1568099 025 C000003 E 025 D000003 21748 025 A000004 GOLDMAN,SACHS & CO. 025 B000004 13-5108880 025 C000004 E 025 D000004 9875 025 A000005 MORGAN STANLEY 025 B000005 36-3145972 025 C000005 E 025 D000005 8065 025 D000006 0 025 D000007 0 025 D000008 0 028 A010000 26658 028 A020000 0 028 A030000 0 028 A040000 26048 028 B010000 31370 028 B020000 0 028 B030000 0 028 B040000 52321 028 C010000 47867 028 C020000 10607 028 C030000 0 028 C040000 60938 028 D010000 15702 028 D020000 0 028 D030000 0 028 D040000 52015 028 E010000 38978 028 E020000 0 028 E030000 0 028 E040000 27007 028 F010000 15633 028 F020000 10023 028 F030000 0 028 F040000 29897 PAGE 4 028 G010000 176208 028 G020000 20630 028 G030000 0 028 G040000 248226 028 H000000 0 042 A000000 0 042 B000000 0 042 C000000 100 042 D000000 0 042 E000000 0 042 F000000 0 042 G000000 0 042 H000000 0 043 000000 509 044 000000 0 055 A000000 N 055 B000000 Y 056 000000 Y 057 000000 N 062 A000000 N 062 B000000 0.0 062 C000000 0.0 062 D000000 0.0 062 E000000 0.0 062 F000000 0.0 062 G000000 0.0 062 H000000 0.0 062 I000000 0.0 062 J000000 0.0 062 K000000 0.0 062 L000000 0.0 062 M000000 0.0 062 N000000 0.0 062 O000000 0.0 062 P000000 0.0 062 Q000000 0.0 062 R000000 0.0 066 A000000 Y 066 B000000 N 066 C000000 N 066 D000000 N 066 E000000 N 066 F000000 N 066 G000000 Y 067 000000 N 068 A000000 N 068 B000000 N 069 000000 Y 070 A010000 Y 070 A020000 N 070 B010000 N PAGE 5 070 B020000 N 070 C010000 N 070 C020000 N 070 D010000 N 070 D020000 N 070 E010000 Y 070 E020000 N 070 F010000 Y 070 F020000 Y 070 G010000 N 070 G020000 N 070 H010000 N 070 H020000 N 070 I010000 N 070 I020000 N 070 J010000 N 070 J020000 N 070 K010000 Y 070 K020000 Y 070 L010000 Y 070 L020000 N 070 M010000 N 070 M020000 N 070 N010000 Y 070 N020000 Y 070 O010000 Y 070 O020000 Y 070 P010000 Y 070 P020000 N 070 Q010000 N 070 Q020000 N 070 R010000 N 070 R020000 N 071 A000000 67793 071 B000000 142822 071 C000000 2339862 071 D000000 3 072 A000000 12 072 B000000 110 072 C000000 47008 072 D000000 0 072 E000000 0 072 F000000 5819 072 G000000 0 072 H000000 0 072 I000000 8 072 J000000 0 072 K000000 0 072 L000000 123 072 M000000 175 072 N000000 3 PAGE 6 072 O000000 0 072 P000000 50 072 Q000000 0 072 R000000 53 072 S000000 26 072 T000000 509 072 U000000 0 072 V000000 0 072 W000000 150 072 X000000 6916 072 Y000000 0 072 Z000000 40202 072AA000000 71220 072BB000000 12901 072CC010000 364177 072CC020000 0 072DD010000 37289 072DD020000 2943 072EE000000 55124 073 A010000 0.8500 073 A020000 0.7260 073 B000000 1.1683 073 C000000 0.0000 074 A000000 1946 074 B000000 0 074 C000000 1706 074 D000000 0 074 E000000 0 074 F000000 2514175 074 G000000 0 074 H000000 0 074 I000000 46917 074 J000000 0 074 K000000 0 074 L000000 2592 074 M000000 7 074 N000000 2567343 074 O000000 0 074 P000000 585 074 Q000000 0 074 R010000 0 074 R020000 0 074 R030000 0 074 R040000 13053 074 S000000 0 074 T000000 2553705 074 U010000 43849 074 U020000 3899 074 V010000 53.48 074 V020000 53.54 074 W000000 0.0000 PAGE 7 074 X000000 82 074 Y000000 1706 075 A000000 0 075 B000000 2375043 076 000000 0.00 077 A000000 Y 077 B000000 Y 080 A000000 NAT'L UNION FIRE INS. CO. OF PITTSBURGH, PA 080 B000000 FEDERAL INSURANCE COMPANY 080 C000000 100000 081 A000000 Y 081 B000000 151 082 A000000 N 082 B000000 0 083 A000000 N 083 B000000 0 084 A000000 N 084 B000000 0 085 A000000 Y 085 B000000 N SIGNATURE JAMES BITETTO TITLE VP & ASST SECRETARY EX-99.77B ACCT LTTR 2 acctlr763-32018.htm ACCOUNTANT'S REPORT ON INTERNAL CONTROL acctlr763-32018.htm - Generated by SEC Publisher for SEC Filing

 

 

 

 

 

 

Report of Independent Registered Public Accounting Firm

 

 

To the Shareholders and Board of Directors of

Dreyfus Stock Index Fund, Inc.

 

In planning and performing our audit of the financial statements of Dreyfus Stock Index Fund, Inc. (the “Company”) as of and for the year ended December 31, 2017, in accordance with the standards of the Public Company Accounting Oversight Board (United States), 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-SAR, 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 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 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 Public Company Accounting Oversight Board (United States). 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 December 31, 2017.

 

This report is intended solely for the information and use of management and the Board of Directors of Dreyfus Stock Index Fund, Inc. 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

February 9, 2018