LEGAL & REGULATORY

Important Notices

Doc # Date Subsidiary Category Subject
  • a8338
  • Feb 24, 2017
  • NSCC
  • Wealth Management Services
  • Mutual Fund Profile Service II – Profile Security Enhancements
  • 5131-17
  • Feb 24, 2017
  • DTC
  • Dividends, International
  • Tax Relief | Country: Japan
    BANK OF TOKYO
    CUSIPs: See below
    Record Date: 03/03/2017 Payable Date: 03/10/2017 CA Web Cut-Off: 03/07/2017 8:00 P.M. ET
  • 5132-17
  • Feb 24, 2017
  • DTC
  • Dividends, International
  • Tax Relief – Country: Japan
    GCB144A\REGS BANK OF TOKYO
    CUSIP: See below
    Record Date: 03/07/2017 Payable Date: 03/14/2017 CA WEB CUTOFF: 03/09/2017 8:00PM ET
  • 5133-17
  • Feb 24, 2017
  • DTC
  • Dividends, International
  • Tax Relief | Country: Japan
    GCB144A GCBREGS BANK OF TOKYO D09/08/14 0.010% 17
    CUSIPs: 064255AY8 & J0423YBS2
    Record Date: 03/01/2017 Payable Date: 03/08/2017
    CA Web Cut-Off: 03/03/2017 8:00 P.M. ET
  • 5134-17
  • Feb 24, 2017
  • DTC
  • Dividends, International
  • Tax Relief | Country: Japan
    GCB144A GCBREGS BANK TOKYO-MIT D09/14/15 0.010%
    CUSIPs: 064255AT9 & J0423YBM5
    Record Date: 03/03/2017 Payable Date: 03/10/2017
    CA Web Cut-Off: 03/07/2017 8:00 P.M. ET
  • 5127-17
  • Feb 24, 2017
  • DTC
  • Dividends, International
  • Tax Relief – Country: Japan
    Security Name: CB144A TAKEDA PHARMACE/GCBREGS TAKEDA PHARMAC D07/17/12 01.625% MS17
    CUSIPs: 874060AB2/J8129EAB4
    RECORD DATE: 03/01/2017 PAYABLE DATE: 03/17/2017
    CA Web Instructions Deadline: 03/14/2017 8:00 P.M. ET
  • 5128-17
  • Feb 24, 2017
  • DTC
  • Dividends, International
  • Tax Relief – Country: Japan
    GCB144A\REGS BANK OF TOKYO
    CUSIP: See Below
    Record Date: 03/01/2017 Payable Date: 03/08/2017
    CA Web Cut-Off : 03/03/2017 8:00 PM ET
  • 5129-17
  • Feb 24, 2017
  • DTC
  • Dividends, International
  • Tax Relief – Country: Japan
    CB144A/GCBREGS Bank of Tokyo
    CUSIPs: Please see below
    RECORD DATE: 03/02/2017 PAYABLE DATE: 03/09/2017
    CA Web Cut-Off: 03/06/2017 8:00 P.M. ET
  • 5130-17
  • Feb 24, 2017
  • DTC
  • Dividends, International
  • Tax Relief – Country: Japan
    GCB144A\REGS BANK OF TOKYO
    CUSIP: See below
    Record Date: 03/03/2017 Payable Date: 03/10/2017
    CA WEB CUTOFF: 03/07/2017 8:00PM ET
  • 5119-17
  • Feb 24, 2017
  • DTC
  • Dividends, International
  • Tax Relief | Country: Japan
    MIZUHO CORPORA D03/21/13 Reg S & 144A CUSIPs: See Below
    Record Date: 02/27/2017 Payable Date: 03/21/2017 CA Web Cut-Off: 03/10/2017 8:00 P.M. ET
Doc # Date Subsidiary Category Subject
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