LEGAL & REGULATORY

Important Notices

Doc # Date Subsidiary Category Subject
  • a8799
  • Jan 16, 2020
  • NSCC
  • Wealth Management Services
  • MF Info Xchange Service Enhancements
  • 12874-20
  • Jan 16, 2020
  • DTC
  • Compliance
  • Additional Account Activation: BNYMellon/Dedicated Participant #80, #4462
  • 12696-20
  • Jan 16, 2020
  • DTC
  • Dividends, International
  • Tax Relief – Country: Italy
    Intesa Sanpaolo S.p.A. CUSIP: 46115HAT4
    Record Date: 06/11/2020 Payable Date: 06/26/2020
    CA Web Instruction Deadline: 06/25/2020 8:00 PM (E.T.)
  • 12895-20
  • Jan 16, 2020
  • DTC
  • Settlement
  • Money Market Instrument (MMI)
    Issuer Failure – BAA FUNDING LIMITED (BFE*)
  • a8800
  • Jan 15, 2020
  • NSCC
  • Wealth Management Services
  • Mutual Fund Profile Service II – Profile Security Specification Reporting Tool
  • a8801
  • Jan 15, 2020
  • NSCC
  • Clearing Services - Equities
  • Receipt of CNS Securities During the Night Cycle
  • 12854-20
  • Jan 15, 2020
  • DTC
  • Dividends, International
  • Tax Relief Country: Canada Chemtrade Logistics Income Fund
    CUSIP: 16387P103
    Record Date: 12/31/2019 Payable Date: 01/31/2020
    Not Subject to Sift Tax CA Web CO Canadian Source: 1/24/2020 8:00 PM ET
    Not Subject to Sift Tax CA Web CO Non‐Canadian Source: 1/24/2020 7:59 PM ET
  • 12872-20
  • Jan 15, 2020
  • DTC
  • Settlement
  • Money Market Instrument (MMI)
    Issuer Failure – BAA FUNDING LIMITED (BFE*)
  • 12871-20
  • Jan 14, 2020
  • DTC
  • Compliance
  • Additional Account Name Change: BNYMELLON/DEDICATED PARTICIPANT #79, #4341
  • GOV828-20
  • Jan 14, 2020
  • FICC - GOV
  • Membership Updates
  • Retirement of Government Securities Division – Cowen Execution Services LLC
Doc # Date Subsidiary Category Subject
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