EX-99.77O RULE 10F-3 3 lp1172.htm ITEM 77 O lp1172.htm - Generated by SEC Publisher for SEC Filing

 

ITEM 77O

 

DREYFUS INVESTMENT PORTFOLIOS

CORE VALUE PORTFOLIO

 

On September 11, 2012, Core Value Portfolio, a series of Dreyfus Investment Portfolios (the "Fund"), purchased 2,650 shares of common stock issued by American International Group, Inc. (CUSIP No. 026874784) (the "Common Stock") at a purchase price of $32.50 per share including an underwriting discount of $0.121875 per share.  The Common Stock was purchased from J.P. Morgan Securities LLC, a member of the underwriting syndicate of which BNY Mellon Capital Markets, LLC, an affiliate of the Fund's investment adviser, was also a member.  BNY Mellon Capital Markets, LLC received no benefit in connection with the transaction.  The following is a list of the syndicate's members:

 

Merrill Lynch, Pierce, Fenner & Smith Incorporated

The Williams Capital Group, L.P.

BNP Paribas Securities Corp.

Drexel Hamilton, LLC

Goldman, Sachs & Co.

Lebenthal & Co., LLC

Barclays Capital Inc.

Macquarie Capital (USA) Inc.

HSBC Securities (USA) Inc.

Natixis Securities Americas LLC

Wells Fargo Securities, LLC

PNC Capital Markets LLC

Credit Suisse Securities (USA) LLC

Scotia Capital (USA) Inc.

RBS Securities Inc.

Atlantic Equities LLC

Standard Chartered Bank

Dowling & Partners Securities, LLC

CastleOak Securities, L.P.

Sanford C. Bernstein & Co., LLC

ING Financial Markets LLC

Blaylock Robert Van, LLC

Loop Capital Markets LLC

Keefe, Bruyette & Woods, Inc.

Mizuho Securities USA Inc.

Muriel Siebert & Co., Inc.

Nomura Securities International, Inc.

Sterne, Agee & Leach, Inc.

Raymond James & Associates, Inc.

BNY Mellon Capital Markets, LLC

SMBC Nikko Capital Markets Limited

MFR Securities, Inc.

Citigroup Global Markets Inc.

C.L. King & Associates, Inc.

RBC Capital Markets, LLC

Stifel Nicolaus & Company, Incorporated

Deutsche Bank Securities Inc.

Mischler Financial Group, Inc.

J.P. Morgan Securities LLC

Toussaint Capital Partners, LLC

UBS Securities LLC

SG Americas Securities, LLC

Piper Jaffray & Co.

UniCredit Capital Markets LLC

Morgan Stanley & Co. LLC

Santander Investment Securities Inc.

Samuel A. Ramirez & Company, Inc.

 

 

Accompanying this statement are materials presented to the Board of Trustees for the Fund, which ratified the purchase in compliance with the Fund's Rule 10f-3 Procedures at a Board meeting held on November 8, 2012.  These materials include additional information about the terms of the transaction.