0001752724-22-001591.txt : 20220112
0001752724-22-001591.hdr.sgml : 20220112
20220112163815
ACCESSION NUMBER: 0001752724-22-001591
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20211031
FILED AS OF DATE: 20220112
DATE AS OF CHANGE: 20220112
EFFECTIVENESS DATE: 20220112
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: MAINSTAY FUNDS TRUST
CENTRAL INDEX KEY: 0001469192
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1031
FILING VALUES:
FORM TYPE: N-CEN
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22321
FILM NUMBER: 22526993
BUSINESS ADDRESS:
STREET 1: 51 MADISON AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10010
BUSINESS PHONE: 212 576 7000
MAIL ADDRESS:
STREET 1: 51 MADISON AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10010
0001469192
S000026784
MainStay Epoch U.S. Equity Yield Fund
C000080506
Investor Class
EPLIX
C000080507
Class A
EPLPX
C000080508
Class C
EPLKX
C000080509
Class I
EPLCX
C000180191
Class B
EPLBX
C000180192
Class R1
EPLRX
C000180193
Class R2
EPLSX
C000180194
Class R3
EPLTX
C000180195
Class R6
EPLDX
C000221654
SIMPLE Class
EPLMX
0001469192
S000026786
MainStay Epoch Global Equity Yield Fund
C000080514
Class A
EPSPX
C000080515
Class C
EPSKX
C000080516
Class I
EPSYX
C000080517
Investor Class
EPSIX
C000127145
Class R6
EPSRX
C000138227
Class R2
EPSZX
C000166838
Class R3
EPSHX
0001469192
S000028227
MainStay MacKay High Yield Municipal Bond Fund
C000086335
Investor Class
MMHVX
C000086336
Class A
MMHAX
C000086337
Class C
MMHDX
C000086338
Class I
MMHIX
C000185918
Class R6
MMHEX
0001469192
S000028522
MainStay Epoch International Choice Fund
C000087295
Investor Class
ICELX
C000087296
Class A
ICEVX
C000087297
Class C
ICEWX
C000087298
Class I
ICEUX
C000087299
Class R1
ICETX
C000087300
Class R2
ICEYX
C000087301
Class R3
ICEZX
C000221657
SIMPLE Class
ICERX
0001469192
S000028523
MainStay Epoch U.S. All Cap Fund
C000087302
Investor Class
MAWNX
C000087303
Class A
MAAAX
C000087304
Class B
MAWBX
C000087305
Class C
MAWCX
C000087306
Class I
MATIX
C000185922
Class R6
MAWDX
0001469192
S000028525
MainStay MacKay S&P 500 Index Fund
C000087312
Investor Class
MYSPX
C000087313
Class A
MSXAX
C000087314
Class I
MSPIX
C000221659
SIMPLE Class
MSXMX
0001469192
S000028529
MainStay Floating Rate Fund
C000087333
Investor Class
MXFNX
C000087334
Class A
MXFAX
C000087335
Class B
MXFBX
C000087336
Class C
MXFCX
C000087337
Class I
MXFIX
C000166839
Class R3
MXFHX
C000185929
Class R6
MXFEX
C000221660
SIMPLE Class
MXFMX
0001469192
S000028532
MainStay Conservative Allocation Fund
C000087350
Investor Class
MCKNX
C000087351
Class A
MCKAX
C000087352
Class B
MCKBX
C000087353
Class C
MCKCX
C000087354
Class I
MCKIX
C000166840
Class R3
MCKRX
C000210249
Class R2
MCKKX
C000221661
SIMPLE Class
MCKSX
0001469192
S000028533
MainStay Moderate Allocation Fund
C000087355
Investor Class
MMRDX
C000087356
Class A
MMRAX
C000087357
Class B
MMRBX
C000087358
Class C
MMRCX
C000087359
Class I
MMRIX
C000166841
Class R3
MMRHX
C000210251
Class R2
MMRKX
C000221662
SIMPLE Class
MMRSX
0001469192
S000028534
MainStay Growth Allocation Fund
C000087360
Investor Class
MGDNX
C000087361
Class A
MGDAX
C000087362
Class B
MGDBX
C000087363
Class C
MGDCX
C000087364
Class I
MGDIX
C000166842
Class R3
MGDRX
C000210253
Class R2
MGDKX
C000210254
Class R1
MGDJX
C000221663
SIMPLE Class
MGDSX
0001469192
S000028535
MainStay Equity Allocation Fund
C000087365
Investor Class
MGXNX
C000087366
Class A
MGXAX
C000087367
Class B
MGXBX
C000087368
Class C
MGXCX
C000087369
Class I
MGXIX
C000166843
Class R3
MGXRX
C000221664
SIMPLE Class
MGXSX
0001469192
S000028536
MainStay Short Term Bond Fund
C000087370
Class I
MIXIX
C000087371
Investor Class
MIXNX
C000087372
Class A
MIXAX
C000221665
SIMPLE Class
MIXMX
0001469192
S000028537
MainStay MacKay Total Return Bond Fund
C000087373
Investor Class
MTMNX
C000087374
Class A
MTMAX
C000087375
Class B
MTMBX
C000087376
Class C
MTMCX
C000087377
Class I
MTMIX
C000116270
Class R1
MTMRX
C000116271
Class R2
MTRTX
C000127150
Class R6
MTRDX
C000166844
Class R3
MTRVX
C000221666
SIMPLE Class
MTMSX
0001469192
S000028539
MainStay MacKay U.S. Equity Opportunities Fund
C000087381
Investor Class
MYCNX
C000087382
Class A
MYCTX
C000087383
Class C
MYCCX
C000087384
Class I
MYCIX
0001469192
S000028542
MainStay WMC International Research Equity Fund
C000087393
Investor Class
MYINX
C000087394
Class A
MYITX
C000087395
Class C
MYICX
C000087396
Class I
MYIIX
0001469192
S000036714
MainStay Balanced Fund
C000112258
Class A
MBNAX
C000112259
Class B
MBNBX
C000112260
Class C
MBACX
C000112261
Class I
MBAIX
C000112262
Class R1
MBNRX
C000112263
Class R2
MBCRX
C000112264
Class R3
MBDRX
C000112265
Investor Class
MBINX
C000185940
Class R6
MBERX
0001469192
S000036715
MainStay WMC Small Companies Fund
C000112266
Class B
MOTBX
C000112267
Class C
MOPCX
C000112268
Class I
MOPIX
C000112269
Investor Class
MOINX
C000112270
Class A
MOPAX
C000118993
Class R1
MOPRX
C000118994
Class R2
MOTRX
C000166845
Class R3
MOVRX
0001469192
S000036992
MainStay MacKay New York Tax Free Opportunities Fund
C000113210
Class A
MNOAX
C000113211
Class C
MNOCX
C000113212
Class I
MNOIX
C000113213
Investor Class
MNOVX
C000185944
Class R6
MNODX
C000221672
Class C2
MNOLX
0001469192
S000039301
MainStay MacKay Short Duration High Yield Fund
C000121097
Class A
MDHAX
C000121098
Class C
MDHCX
C000121099
Class I
MDHIX
C000121100
Class R2
MDHRX
C000121101
Investor Class
MDHVX
C000166846
Class R3
MDHTX
0001469192
S000039358
MainStay WMC Growth Fund
C000121293
Class A
KLGAX
C000121294
Class B
KLGBX
C000121295
Class C
KLGCX
C000121296
Class I
KLGIX
C000121297
Class R2
KLGRX
C000121298
Investor Class
KLGNX
C000185948
Class R6
KLGDX
0001469192
S000039903
MainStay MacKay California Tax Free Opportunities Fund
C000123763
Class A
MSCAX
C000123764
Class C
MSCCX
C000123765
Class I
MCOIX
C000123766
Investor Class
MSCVX
C000185950
Class R6
MSODX
C000221676
Class C2
MCAMX
0001469192
S000054257
MainStay Epoch Capital Growth Fund
C000170407
Class A
MECDX
C000170408
Class C
MECEX
C000170409
Class I
MECFX
C000170410
Investor Class
MECVX
0001469192
S000059215
MainStay Candriam Emerging Markets Equity Fund
C000194050
Class A
MCYAX
C000194051
Class C
MCYCX
C000194052
Class I
MCYIX
C000194053
Class R6
MCYSX
C000194055
Investor Class
MCYVX
0001469192
S000063122
MainStay U.S. Government Liquidity Fund
C000204698
Class I
MUSXX
N-CEN
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MAINSTAY FUNDS TRUST
811-22321
0001469192
549300SQRLBSUG7RD002
51 MADISON AVE
NEW YORK
10010
US-NY
US
212-576-7000
JPMorgan Chase Bank, N.A.
4 Chase Metrotech Center
New York
11245
718-242-0609
Records relating to its functions as custodian, sub-administrator and accounting agent
State Street Bank and Trust Company
1 Lincoln Street
Boston
02111
617-786-3000
Custody and Accounting Records.
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Alan R. Latshaw
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N
Richard H. Nolan, Jr.
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Susan B. Kerley
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N
David H. Chow
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N
Jacques P. Perold
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Yie-Hsin Hung
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Richard S. Trutanic
000000000
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Kevin M. Bopp
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30 Hudson Street
Jersey City
07302
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NYLIFE Distributors LLC
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KPMG LLP
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MainStay Candriam Emerging Markets Equity Fund
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N/A
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N
Y
N
N
JPMorgan Chase Bank NA
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N
N
Cash collateral reinvestment fee
Revenue sharing split
564360.39000000
8666.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Y
N
N
N
New York Life Investment Management LLC
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Candriam Belgium
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DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
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Y
NYLIM Service Company LLC
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00000000000000000000
Y
N
N
Bloomberg L.P.
549300B56MD0ZC402L06
LEI Number
N
Refinitiv Global Markets Inc.
000109120
CRD
N
IHS Markit Group Holdings Ltd
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LEI Number
GB
N
ICE Data Pricing & Reference Data, LLC
5493000NQ9LYLDBCTL34
LEI Number
N
PricingDirect Inc.
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LEI Number
N
ITG, Inc.
000029299
CRD
N
N
Citibank Europe plc
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HU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank Argentina S.A.
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AR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Santander Chile
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CL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Trust Company Canada
549300L71XG2CTQ2V827
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco de Chile
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CL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG
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ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Ceskoslovenska obchodni banka, a. s.
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CZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank Middle East Limited
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QA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank Middle East Limited
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AE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank (Hong Kong) Limited
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HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear
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BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Standard Chartered Bank (Taiwan) Limited
549300QJEO1B92LSHZ06
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Standard Bank of South Africa Limited
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ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Czech Republic and Slovakia, a.s.
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CZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Nacional de Mexico, S.A.
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MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
J.P. Morgan Bank Luxembourg S.A.
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NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank (China) Company Limited
2CZOJRADNJXBLT55G526
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Handlowy w. Warszawie S.A.
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PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank Malaysia Berhad
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MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
LK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
FirstRand Bank Limited
ZAYQDKTCATIXF9OQY690
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank Korea Limited
NUXTG47HHHM1K2L0SG39
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
IN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Royal Bank of Canada
ES7IP3U3RHIGC71XBU11
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank (Thai) Public Company Limited
549300O1LQYCQ7G1IM57
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG
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HU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services S.C.A.
549300WCGB70D06XZS54
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, N.A.
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BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Cititrust Colombia S.A.
549300242J3IJCOSGI49
CO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG
7LTWFZYICNSX8D621K86
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, N.A.
E57ODZWZ7FF32TWEFA76
EG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Citibank del Peru S.A.
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PE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank Kenya Limited
549300RBHWW5EJIRG629
KE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, N.A.
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SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
DBS Bank Ltd
ATUEL7OJR5057F2PV266
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (Ciudad Autonoma de Buenos Aires, Ciudad Autonoma de Buenos Aires, AR, Branch)
579100KKDGKCFFKKF005
AR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company
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N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Citibank A.S.
CWZ8NZDH5SKY12Q4US31
TR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Joint Stock Company Commercial Bank Citibank
CHSQDSVI1UI96Y2SW097
RU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG
7LTWFZYICNSX8D621K86
IN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank (Malaysia) Berhad
529900DLWFR8HK7DR278
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank (Vietnam) Ltd.
213800H95OG9OHRT4Y78
VN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC France Athens Branch
MP6I5ZYZBEU3UXPYFY54
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
J.P. Morgan Bank International (Limited Liability Company)**
549300B831LSRSI6RA15
RU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
PT Bank HSBC Indonesia
213800HW5IDIRLWH1203
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company (Edinburgh, GB, Branch)
571474TGEMMWANRLN572
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG
7LTWFZYICNSX8D621K86
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
J.P. Morgan S.A. DTVM
5493001LS7J56NZZ3G07
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Anonim Sirketi
789000N5SE3LWDK7OI11
TR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
NYLIM Service Company LLC
084-05844
SEC File Number
Y
N
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
Y
New York Life Investment Management LLC
IGJ1X7QLRC5K7CY9GE11
Y
N
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
Y
Y
NYLIFE Distributors LLC
8-46655
000035350
00000000000000000000
0.00000000
NYLIFE Securities LLC
8-15517
000005167
00000000000000000000
0.00000000
Societe Generale
N/A
N/A
O2RNE8IBXP4R0TD8PU41
FR
2426.63000000
Credit Suisse Securities (USA) LLC
8-00422
000000816
1V8Y6QCX6YMJ2OELII46
2963.77000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
2835.53000000
Instinet, LLC
8-23669
000007897
549300MGMN3RKMU8FT57
8020.87000000
Nomura Securities International, Inc.
8-15255
000004297
OXTKY6Q8X53C9ILVV871
952.16000000
Instinet Europe Limited
N/A
N/A
213800MXAKR2LA1VBM44
GB
714.47000000
CITIC Securities International USA, LLC
8-68887
000158266
N/A
1760.04000000
Citigroup Global Markets Inc.
8-08177
000007059
MBNUM2BPBDO7JBLYG310
18560.08000000
ICICI Securities Limited
N/A
N/A
335800RT5NJ3UPWK7351
IN
1101.15000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
8368.66000000
51240.99000000
State Street Bank & Trust Co.
N/A
000000000
571474TGEMMWANRLN572
6591094.67999999
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
885442.51000000
7476537.18999999
N
88888723.00000000
Uncommitted
100000000.00000000
N
Committed
600000000.00000000
N
N
N
N
MainStay WMC Growth Fund
S000039358
549300G3B4EAFQNLNN04
N
8
0
0
N/A
N
N
Y
N
N
JPMorgan Chase Bank NA
7H6GLXDRUGQFU57RNE97
N
N
Cash collateral reinvestment fee
Revenue sharing split
13196250.09000000
24546.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Y
Y
N
N
New York Life Investment Management LLC
801-57396
000109591
IGJ1X7QLRC5K7CY9GE11
N
Wellington Management Company LLP
801-15908
000106595
549300YHP12TEZNLCX41
N
MacKay Shields LLC
801-5594
000107717
549300Y7LLCOFU7R8H16
2021-03-04
NYLIM Service Company LLC
084-05844
00000000000000000000
Y
N
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
Y
N
ITG, Inc.
000029299
CRD
N
Bloomberg L.P.
549300B56MD0ZC402L06
LEI Number
N
PricingDirect Inc.
549300WIC0TOJ7N7GD54
LEI Number
N
ICE Data Pricing & Reference Data, LLC
5493000NQ9LYLDBCTL34
LEI Number
N
Refinitiv Global Markets Inc.
000109120
CRD
N
IHS Markit Group Holdings Ltd
2138005LTLTVZ4WMEX25
LEI Number
GB
N
Y
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Euroclear
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Y
NYLIM Service Company LLC
084-05844
SEC File Number
Y
N
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
N
New York Life Investment Management LLC
IGJ1X7QLRC5K7CY9GE11
Y
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
Y
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
Y
Y
NYLIFE Distributors LLC
8-46655
000035350
00000000000000000000
0.00000000
NYLIFE Securities LLC
8-15517
000005167
00000000000000000000
0.00000000
Goldman Sachs & Co. LLC
8-00129
000000361
FOR8UP27PHTHYVLBNG30
32606.55000000
Siebert Williams Shank & Co., LLC
8-49877
000042568
254900VTARX8RAY9QK77
28991.04000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
20499.34000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
27203.84000000
Credit Suisse Securities (USA) LLC
8-00422
000000816
1V8Y6QCX6YMJ2OELII46
5875.21000000
FNY Capital Management LP
N/A
N/A
549300PXOMC0L1OHLQ47
32897.06000000
Citigroup Global Markets Inc.
8-08177
000007059
MBNUM2BPBDO7JBLYG310
106325.57000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
7115.70000000
Jefferies LLC
8-15074
000002347
58PU97L1C0WSRCWADL48
10070.16000000
Wells Fargo Securities, LLC
8-65876
000126292
VYVVCKR63DVZZN70PB21
6325.42000000
321779.76000000
Citigroup Global Markets Inc.
8-08177
000007059
MBNUM2BPBDO7JBLYG310
32625318.53999999
Merrill Lynch, Pierce, Fenner & Smith Inc.
8-07221
000007691
8NAV47T0Y26Q87Y0QP81
222850.00000000
State Street Bank & Trust Co.
N/A
000000000
571474TGEMMWANRLN572
9948860.49000000
Jefferies LLC
8-15074
000002347
58PU97L1C0WSRCWADL48
621108.00000000
Mischler Financial Group, Inc.
8-48067
000037818
2549004IPXPSM9EJFC92
20304196.60000000
BofA Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
248800.00000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
2515167.00000000
Goldman Sachs & Co. LLC
8-00129
000000361
FOR8UP27PHTHYVLBNG30
3983942.00000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
359927488.89999998
Stifel, Nicolaus & Company, Incorporated
8-01447
000000793
5WUVMA08EYG4KEUPW589
707466.00000000
431491149.53000003
Y
936356480.00000000
Committed
600000000.00000000
N
Uncommitted
100000000.00000000
N
N
N
N
MainStay MacKay California Tax Free Opportunities Fund
S000039903
549300S8NE8IN2HVIF89
N
7
0
0
N/A
N
N
Y
N
JPMorgan Chase Bank NA
7H6GLXDRUGQFU57RNE97
N
N
Cash collateral reinvestment fee
Revenue sharing split
0.00000000
0.00000000
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
N
N
New York Life Investment Management LLC
801-57396
000109591
IGJ1X7QLRC5K7CY9GE11
N
MacKay Shields LLC
801-5594
000107717
549300Y7LLCOFU7R8H16
Y
N
NYLIM Service Company LLC
084-05844
00000000000000000000
Y
N
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
Y
N
PricingDirect Inc.
549300WIC0TOJ7N7GD54
LEI Number
N
IHS Markit Group Holdings Ltd
2138005LTLTVZ4WMEX25
LEI Number
GB
N
ICE Data Pricing & Reference Data, LLC
5493000NQ9LYLDBCTL34
LEI Number
N
Refinitiv Global Markets Inc.
000109120
CRD
N
Bloomberg L.P.
549300B56MD0ZC402L06
LEI Number
N
ITG, Inc.
000029299
CRD
N
N
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Y
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
NYLIM Service Company LLC
084-05844
SEC File Number
Y
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
Y
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
Y
New York Life Investment Management LLC
IGJ1X7QLRC5K7CY9GE11
Y
N
Y
NYLIFE Securities LLC
8-15517
000005167
00000000000000000000
0.00000000
NYLIFE Distributors LLC
8-46655
000035350
00000000000000000000
0.00000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
12844.60000000
12844.60000000
FMSBONDS, INC.
8-23280
000007793
549300TUTBK58NSF2517
12706115.00000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
629002582.53999996
Citigroup Global Markets Inc.
8-08177
000007059
MBNUM2BPBDO7JBLYG310
90862460.42000000
Goldman Sachs & Co. LLC
8-00129
000000361
FOR8UP27PHTHYVLBNG30
38852950.00000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
66243101.35000000
Merrill Lynch, Pierce, Fenner & Smith Inc.
8-07221
000007691
8NAV47T0Y26Q87Y0QP81
55908919.88000000
Jefferies LLC
8-15074
000002347
58PU97L1C0WSRCWADL48
43912120.75000000
Raymond James & Associates, Inc.
8-10999
000000705
U4ONQX15J3RO8XCKE979
37798773.35000000
Barclays Capital, Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
16598311.00000000
Stifel, Nicolaus & Company, Incorporated
8-01447
000000793
5WUVMA08EYG4KEUPW589
52460900.04999999
1140019762.97000000
N
1216603593.00000000
Committed
600000000.00000000
N
Uncommitted
100000000.00000000
N
N
N
N
MainStay Equity Allocation Fund
S000028535
549300Q018OBXY4NNP12
N
10
0
0
Fund of Funds
N
N
Y
N
JPMorgan Chase Bank NA
7H6GLXDRUGQFU57RNE97
N
N
Cash collateral reinvestment fee
Revenue sharing split
0.00000000
0.00000000
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
N
N
New York Life Investment Management LLC
801-57396
000109591
IGJ1X7QLRC5K7CY9GE11
N
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
Y
NYLIM Service Company LLC
084-05844
00000000000000000000
Y
N
N
ICE Data Pricing & Reference Data, LLC
5493000NQ9LYLDBCTL34
LEI Number
N
PricingDirect Inc.
549300WIC0TOJ7N7GD54
LEI Number
N
Refinitiv Global Markets Inc.
000109120
CRD
N
Bloomberg L.P.
549300B56MD0ZC402L06
LEI Number
N
ITG, Inc.
000029299
CRD
N
IHS Markit Group Holdings Ltd
2138005LTLTVZ4WMEX25
LEI Number
GB
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Y
NYLIM Service Company LLC
084-05844
SEC File Number
Y
N
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
Y
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
Y
New York Life Investment Management LLC
IGJ1X7QLRC5K7CY9GE11
Y
N
Y
NYLIFE Distributors LLC
8-46655
000035350
00000000000000000000
0.00000000
NYLIFE Securities LLC
8-15517
000005167
00000000000000000000
0.00000000
0.00000000
FNY Capital Management LP
N/A
N/A
549300PXOMC0L1OHLQ47
3367902.62000000
State Street Bank & Trust Co.
N/A
000000000
571474TGEMMWANRLN572
20113166.32999999
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
141845425.72000000
JANE STREET EXECUTION SERVICES LLC
8-69254
000167280
549300HXJLXCPDWAH070
1075199.97000000
Virtu Americas LLC
8-68193
000149823
549300RA02N3BNSWBV74
22428832.66000000
Jane Street Capital, LLC
8-52275
000103782
549300ZM16HMPEPNV857
9823019.02999999
BofA Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
7548.75000000
Citigroup Global Markets Inc.
8-08177
000007059
MBNUM2BPBDO7JBLYG310
5863.97000000
Merrill Lynch, Pierce, Fenner & Smith Inc.
8-07221
000007691
8NAV47T0Y26Q87Y0QP81
4726336.72000000
Citadel Securities LLC
8-53574
000116797
12UUJYTN7D3SW8KCSG25
17720561.16000000
221119566.94000000
N
460665542.00000000
Committed
600000000.00000000
N
Uncommitted
100000000.00000000
N
N
N
N
MainStay MacKay Total Return Bond Fund
S000028537
549300F3C2BWGPG60278
N
10
0
0
N/A
N
N
Y
N
N
JPMorgan Chase Bank NA
7H6GLXDRUGQFU57RNE97
N
N
Revenue sharing split
Cash collateral reinvestment fee
7012660.79999999
24535.00000000
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Y
N
N
N
New York Life Investment Management LLC
801-57396
000109591
IGJ1X7QLRC5K7CY9GE11
N
MacKay Shields LLC
801-5594
000107717
549300Y7LLCOFU7R8H16
Y
N
NYLIM Service Company LLC
084-05844
00000000000000000000
Y
N
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
Y
N
ICE Data Pricing & Reference Data, LLC
5493000NQ9LYLDBCTL34
LEI Number
N
IHS Markit Group Holdings Ltd
2138005LTLTVZ4WMEX25
LEI Number
GB
N
PricingDirect Inc.
549300WIC0TOJ7N7GD54
LEI Number
N
ITG, Inc.
000029299
CRD
N
Bloomberg L.P.
549300B56MD0ZC402L06
LEI Number
N
Refinitiv Global Markets Inc.
000109120
CRD
N
N
Citibank, N.A.
E57ODZWZ7FF32TWEFA76
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
J.P. Morgan Bank Luxembourg S.A.
7W1GMC6J4KGLBBUSYP52
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
DBS Bank Ltd
ATUEL7OJR5057F2PV266
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company (Edinburgh, GB, Branch)
571474TGEMMWANRLN572
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Deutsche Bank AG
7LTWFZYICNSX8D621K86
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
UniCredit Bank Austria AG
D1HEB8VEU6D9M8ZUXG17
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank (Thai) Public Company Limited
549300O1LQYCQ7G1IM57
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Standard Bank of South Africa Limited
QFC8ZCW3Q5PRXU1XTM60
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UBS Switzerland AG
549300WOIFUSNYH0FL22
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank, Sociedad Anonima Espanola
529900SICIK5OVMVY186
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Nacional de Mexico, S.A.
2SFFM4FUIE05S37WFU55
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Royal Bank of Canada
ES7IP3U3RHIGC71XBU11
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Mizuho Bank, Ltd.
RB0PEZSDGCO3JS6CEU02
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Trust Company Canada
549300L71XG2CTQ2V827
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Santander Securities Services, S.A.
95980020140005970915
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
FirstRand Bank Limited
ZAYQDKTCATIXF9OQY690
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
NYLIM Service Company LLC
084-05844
SEC File Number
Y
N
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
Y
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
Y
New York Life Investment Management LLC
IGJ1X7QLRC5K7CY9GE11
Y
N
Y
NYLIFE Securities LLC
8-15517
000005167
00000000000000000000
0.00000000
NYLIFE Distributors LLC
8-46655
000035350
00000000000000000000
0.00000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
50540.95000000
50540.95000000
Wells Fargo Securities, LLC
8-65876
000126292
VYVVCKR63DVZZN70PB21
83105993.50000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
1441083755.84000020
Citigroup Global Markets Inc.
8-08177
000007059
MBNUM2BPBDO7JBLYG310
237436420.42999998
BofA Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
85887424.84999999
Amherst Pierpont Securities LLC
8-68282
000150696
549300LGG2RLWD21SU97
163240929.97000000
Barclays Capital, Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
79213356.48999999
Goldman Sachs & Co. LLC
8-00129
000000361
FOR8UP27PHTHYVLBNG30
186873504.03000000
Citadel Securities LLC
8-53574
000116797
12UUJYTN7D3SW8KCSG25
455530138.18000001
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
53343112.21000000
Merrill Lynch, Pierce, Fenner & Smith Inc.
8-07221
000007691
8NAV47T0Y26Q87Y0QP81
962724839.53999996
4337013373.55000020
N
1468241751.00000000
Uncommitted
100000000.00000000
N
Committed
600000000.00000000
N
N
N
N
MainStay Epoch Capital Growth Fund
S000054257
5493007ZZLRL6VENV585
N
6
0
0
N/A
N
N
Y
N
N
JPMorgan Chase Bank NA
7H6GLXDRUGQFU57RNE97
N
N
Revenue sharing split
Cash collateral reinvestment fee
384904.26000000
2852.00000000
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Y
N
N
N
New York Life Investment Management LLC
801-57396
000109591
IGJ1X7QLRC5K7CY9GE11
N
Epoch Investment Partners, Inc.
801-63118
000131556
549300FT720Z0BVCWS87
N
N
NYLIM Service Company LLC
084-05844
00000000000000000000
Y
N
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
Y
N
Bloomberg L.P.
549300B56MD0ZC402L06
LEI Number
N
IHS Markit Group Holdings Ltd
2138005LTLTVZ4WMEX25
LEI Number
GB
N
Refinitiv Global Markets Inc.
000109120
CRD
N
PricingDirect Inc.
549300WIC0TOJ7N7GD54
LEI Number
N
ITG, Inc.
000029299
CRD
N
ICE Data Pricing & Reference Data, LLC
5493000NQ9LYLDBCTL34
LEI Number
N
N
Deutsche Bank AG
7LTWFZYICNSX8D621K86
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Mizuho Bank, Ltd.
RB0PEZSDGCO3JS6CEU02
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank Korea Limited
NUXTG47HHHM1K2L0SG39
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Standard Bank of South Africa Limited
QFC8ZCW3Q5PRXU1XTM60
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank (China) Company Limited
2CZOJRADNJXBLT55G526
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UBS Switzerland AG
549300WOIFUSNYH0FL22
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Nacional de Mexico, S.A.
2SFFM4FUIE05S37WFU55
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken A/S
F3JS33DEI6XQ4ZBPTN86
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Bank Hapoalim B.M.
B6ARUI4946ST4S7WOU88
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Santander Securities Services, S.A.
95980020140005970915
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG
7LTWFZYICNSX8D621K86
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Trust Company Canada
549300L71XG2CTQ2V827
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
DBS Bank Ltd
ATUEL7OJR5057F2PV266
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG
7LTWFZYICNSX8D621K86
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Nordea Bank Abp
529900ODI3047E2LIV03
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank (Taiwan) Limited
549300QJEO1B92LSHZ06
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
FirstRand Bank Limited
ZAYQDKTCATIXF9OQY690
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG
7LTWFZYICNSX8D621K86
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Societa per Azioni
529900SS7ZWCX82U3W60
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services S.C.A.
549300WCGB70D06XZS54
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Czech Republic and Slovakia, a.s.
KR6LSKV3BTSJRD41IF75
CZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, N.A.
E57ODZWZ7FF32TWEFA76
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG
7LTWFZYICNSX8D621K86
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC France Athens Branch
MP6I5ZYZBEU3UXPYFY54
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Royal Bank of Canada
ES7IP3U3RHIGC71XBU11
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
IN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
J.P. Morgan Bank Luxembourg S.A.
7W1GMC6J4KGLBBUSYP52
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank, Sociedad Anonima Espanola
529900SICIK5OVMVY186
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, N.A.
E57ODZWZ7FF32TWEFA76
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG
7LTWFZYICNSX8D621K86
IN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
J.P. Morgan S.A. DTVM
5493001LS7J56NZZ3G07
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Deutsche Bank (Malaysia) Berhad
529900DLWFR8HK7DR278
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Austria AG
D1HEB8VEU6D9M8ZUXG17
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Leumi le-Israel B.M.
7JDSZWRGUQY2DSTWCR57
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services S.C.A.
549300WCGB70D06XZS54
PT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services S.C.A.
549300WCGB70D06XZS54
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank Malaysia Berhad
P3RPN9OJFCXUPJWB1Q09
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank International GmbH
ZMHGNT7ZPKZ3UFZ8EO46
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
J.P. Morgan Bank Luxembourg S.A.
7W1GMC6J4KGLBBUSYP52
FR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Handlowy w. Warszawie S.A.
XLEZHWWOI4HFQDGL4793
PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company (Edinburgh, GB, Branch)
571474TGEMMWANRLN572
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
PT Bank HSBC Indonesia
213800HW5IDIRLWH1203
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
J.P. Morgan Bank Luxembourg S.A.
7W1GMC6J4KGLBBUSYP52
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank (Thai) Public Company Limited
549300O1LQYCQ7G1IM57
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
NYLIM Service Company LLC
084-05844
SEC File Number
Y
N
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
Y
New York Life Investment Management LLC
IGJ1X7QLRC5K7CY9GE11
Y
N
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
Y
Y
NYLIFE Distributors LLC
8-46655
000035350
00000000000000000000
0.00000000
NYLIFE Securities LLC
8-15517
000005167
00000000000000000000
0.00000000
Credit Agricole Securities (USA) Inc.
8-13753
000000190
549300WO2DKF0Q3YMV43
830.09000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
957.05000000
HSBC Securities (USA) Inc.
8-41562
000019585
CYYGQCGNHMHPSMRL3R97
4154.18000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
6187.13000000
Mizuho Securities USA LLC
8-37710
000019647
7TK5RJIZDFROZCA6XF66
1086.30000000
Goldman Sachs & Co. LLC
8-00129
000000361
FOR8UP27PHTHYVLBNG30
1292.30000000
CITIC Securities International USA, LLC
8-68887
000158266
N/A
7099.96000000
Macquarie Group Limited
N/A
N/A
ACMHD8HWFMFUIQQ8Y590
AU
989.17000000
Macquarie Capital (USA) Inc.
8-47198
000036368
549300670K07JRB5UQ40
2452.00000000
Sanford C. Bernstein & Co., LLC
8-52942
000104474
549300I7JYZHT7D5CO04
3408.47000000
33732.03000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
112819960.48999999
State Street Bank & Trust Co.
N/A
000000000
571474TGEMMWANRLN572
1488619.61000000
114308580.09999999
Y
69486913.00000000
Uncommitted
100000000.00000000
N
Committed
600000000.00000000
N
N
N
N
MainStay MacKay High Yield Municipal Bond Fund
S000028227
549300QXVF3SZ2KO6339
N
6
0
0
N/A
N
N
Y
N
JPMorgan Chase Bank NA
7H6GLXDRUGQFU57RNE97
N
N
Cash collateral reinvestment fee
Revenue sharing split
0.00000000
0.00000000
Rule 17a-7 (17 CFR 270.17a-7)
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Y
N
N
N
New York Life Investment Management LLC
801-57396
000109591
IGJ1X7QLRC5K7CY9GE11
N
MacKay Shields LLC
801-5594
000107717
549300Y7LLCOFU7R8H16
Y
N
NYLIM Service Company LLC
084-05844
00000000000000000000
Y
N
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
Y
N
IHS Markit Group Holdings Ltd
2138005LTLTVZ4WMEX25
LEI Number
GB
N
ITG, Inc.
000029299
CRD
N
Bloomberg L.P.
549300B56MD0ZC402L06
LEI Number
N
ICE Data Pricing & Reference Data, LLC
5493000NQ9LYLDBCTL34
LEI Number
N
Refinitiv Global Markets Inc.
000109120
CRD
N
PricingDirect Inc.
549300WIC0TOJ7N7GD54
LEI Number
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Y
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
NYLIM Service Company LLC
084-05844
SEC File Number
Y
N
N
New York Life Investment Management LLC
IGJ1X7QLRC5K7CY9GE11
Y
N
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
Y
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
Y
Y
NYLIFE Securities LLC
8-15517
000005167
00000000000000000000
0.00000000
NYLIFE Distributors LLC
8-46655
000035350
00000000000000000000
0.00000000
Goldman Sachs & Co. LLC
8-00129
000000361
FOR8UP27PHTHYVLBNG30
6252.78000000
Wells Fargo Securities, LLC
8-65876
000126292
VYVVCKR63DVZZN70PB21
2.94000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
4700.00000000
10955.72000000
Jefferies LLC
8-15074
000002347
58PU97L1C0WSRCWADL48
220059059.25000000
Barclays Capital, Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
568723149.39999998
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
7213982869.29000000
Wells Fargo Securities, LLC
8-65876
000126292
VYVVCKR63DVZZN70PB21
186589462.90000001
RBC Capital Markets, LLC
8-45411
000031194
549300LCO2FLSSVFFR64
128942714.73000000
Citigroup Global Markets Inc.
8-08177
000007059
MBNUM2BPBDO7JBLYG310
890872460.47000003
Goldman Sachs & Co. LLC
8-00129
000000361
FOR8UP27PHTHYVLBNG30
296669714.00000000
Merrill Lynch, Pierce, Fenner & Smith Inc.
8-07221
000007691
8NAV47T0Y26Q87Y0QP81
621070561.08000004
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
287402391.83999997
Industrial and Commercial Bank of China Financial Services LLC
8-66471
000131487
5493003O0P1GJ0O8CI80
125582562.50000000
11539845966.28000100
N
10805875233.00000000
Committed
600000000.00000000
N
Uncommitted
100000000.00000000
N
N
N
N
MainStay Moderate Allocation Fund
S000028533
549300T35QNI41ZM6997
N
10
0
0
Fund of Funds
N
N
Y
N
JPMorgan Chase Bank NA
7H6GLXDRUGQFU57RNE97
N
N
Cash collateral reinvestment fee
Revenue sharing split
0.00000000
0.00000000
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Y
N
N
N
New York Life Investment Management LLC
801-57396
000109591
IGJ1X7QLRC5K7CY9GE11
N
NYLIM Service Company LLC
084-05844
00000000000000000000
Y
N
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
Y
N
ICE Data Pricing & Reference Data, LLC
5493000NQ9LYLDBCTL34
LEI Number
N
PricingDirect Inc.
549300WIC0TOJ7N7GD54
LEI Number
N
Refinitiv Global Markets Inc.
000109120
CRD
N
ITG, Inc.
000029299
CRD
N
Bloomberg L.P.
549300B56MD0ZC402L06
LEI Number
N
IHS Markit Group Holdings Ltd
2138005LTLTVZ4WMEX25
LEI Number
GB
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Y
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
NYLIM Service Company LLC
084-05844
SEC File Number
Y
N
N
New York Life Investment Management LLC
IGJ1X7QLRC5K7CY9GE11
Y
N
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
Y
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
Y
Y
NYLIFE Distributors LLC
8-46655
000035350
00000000000000000000
0.00000000
NYLIFE Securities LLC
8-15517
000005167
00000000000000000000
0.00000000
0.00000000
Merrill Lynch, Pierce, Fenner & Smith Inc.
8-07221
000007691
8NAV47T0Y26Q87Y0QP81
4016800.87000000
Mischler Financial Group, Inc.
8-48067
000037818
2549004IPXPSM9EJFC92
35107.80000000
Citigroup Global Markets Inc.
8-08177
000007059
MBNUM2BPBDO7JBLYG310
1988939.98000000
Virtu Americas LLC
8-68193
000149823
549300RA02N3BNSWBV74
17596344.82000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
256982909.58000001
JANE STREET EXECUTION SERVICES LLC
8-69254
000167280
549300HXJLXCPDWAH070
1382851.85999999
Citadel Securities LLC
8-53574
000116797
12UUJYTN7D3SW8KCSG25
14249958.10000000
State Street Bank & Trust Co.
N/A
000000000
571474TGEMMWANRLN572
44521848.11000000
Jane Street Capital, LLC
8-52275
000103782
549300ZM16HMPEPNV857
8793723.01999999
FNY Capital Management LP
N/A
N/A
549300PXOMC0L1OHLQ47
11749897.77999999
361336626.84999996
N
851001570.00000000
Committed
600000000.00000000
N
Uncommitted
100000000.00000000
N
N
N
N
MainStay WMC International Research Equity Fund
S000028542
549300PQST4ZGMIXWU52
N
6
0
0
N/A
N
N
Y
N
N
JPMorgan Chase Bank NA
7H6GLXDRUGQFU57RNE97
N
N
Revenue sharing split
Cash collateral reinvestment fee
4329680.28000000
160353.00000000
Rule 17a-7 (17 CFR 270.17a-7)
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Y
N
N
N
New York Life Investment Management LLC
801-57396
000109591
IGJ1X7QLRC5K7CY9GE11
N
Wellington Management Company LLP
801-15908
000106595
549300YHP12TEZNLCX41
N
MacKay Shields LLC
801-5594
000107717
549300Y7LLCOFU7R8H16
2021-03-04
NYLIM Service Company LLC
084-05844
00000000000000000000
Y
N
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
Y
N
IHS Markit Group Holdings Ltd
2138005LTLTVZ4WMEX25
LEI Number
GB
N
Bloomberg L.P.
549300B56MD0ZC402L06
LEI Number
N
Refinitiv Global Markets Inc.
000109120
CRD
N
ITG, Inc.
000029299
CRD
N
ICE Data Pricing & Reference Data, LLC
5493000NQ9LYLDBCTL34
LEI Number
N
PricingDirect Inc.
549300WIC0TOJ7N7GD54
LEI Number
N
N
Deutsche Bank AG
7LTWFZYICNSX8D621K86
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank (China) Company Limited
2CZOJRADNJXBLT55G526
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
FirstRand Bank Limited
ZAYQDKTCATIXF9OQY690
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company (Edinburgh, GB, Branch)
571474TGEMMWANRLN572
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Santander Securities Services, S.A.
95980020140005970915
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, N.A.
E57ODZWZ7FF32TWEFA76
EG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Nacional de Mexico, S.A.
2SFFM4FUIE05S37WFU55
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Czech Republic and Slovakia, a.s.
KR6LSKV3BTSJRD41IF75
CZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank Middle East Limited
549300F99IL9YJDWH369
AE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
HSBC Bank (Vietnam) Ltd.
213800H95OG9OHRT4Y78
VN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
J.P. Morgan S.A. DTVM
5493001LS7J56NZZ3G07
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Hapoalim B.M.
B6ARUI4946ST4S7WOU88
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Santander Chile
3YJP8HORPAEXJ80D6368
CL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
J.P. Morgan Bank Luxembourg S.A.
7W1GMC6J4KGLBBUSYP52
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank (Thai) Public Company Limited
549300O1LQYCQ7G1IM57
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Societa per Azioni
529900SS7ZWCX82U3W60
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
IN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Anonim Sirketi
789000N5SE3LWDK7OI11
TR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
J.P. Morgan Bank Luxembourg S.A.
7W1GMC6J4KGLBBUSYP52
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, N.A.
E57ODZWZ7FF32TWEFA76
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG
7LTWFZYICNSX8D621K86
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank, Sociedad Anonima Espanola
529900SICIK5OVMVY186
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank Korea Limited
NUXTG47HHHM1K2L0SG39
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank Malaysia Berhad
P3RPN9OJFCXUPJWB1Q09
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services S.C.A.
549300WCGB70D06XZS54
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services S.C.A.
549300WCGB70D06XZS54
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Cititrust Colombia S.A.
549300242J3IJCOSGI49
CO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Nordea Bank Abp
529900ODI3047E2LIV03
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Trust Company Canada
549300L71XG2CTQ2V827
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
J.P. Morgan Bank Luxembourg S.A.
7W1GMC6J4KGLBBUSYP52
FR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Handlowy w. Warszawie S.A.
XLEZHWWOI4HFQDGL4793
PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Standard Bank of South Africa Limited
QFC8ZCW3Q5PRXU1XTM60
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank International GmbH
ZMHGNT7ZPKZ3UFZ8EO46
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UBS Switzerland AG
549300WOIFUSNYH0FL22
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear
549300OZ46BRLZ8Y6F65
IE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Royal Bank of Canada
ES7IP3U3RHIGC71XBU11
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank (Malaysia) Berhad
529900DLWFR8HK7DR278
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
PT Bank HSBC Indonesia
213800HW5IDIRLWH1203
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
AS SEB Pank
549300ND1MQ8SNNYMJ22
EE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG
7LTWFZYICNSX8D621K86
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Mizuho Bank, Ltd.
RB0PEZSDGCO3JS6CEU02
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, N.A.
E57ODZWZ7FF32TWEFA76
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Leumi le-Israel B.M.
7JDSZWRGUQY2DSTWCR57
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Austria AG
D1HEB8VEU6D9M8ZUXG17
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG
7LTWFZYICNSX8D621K86
IN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC France Athens Branch
MP6I5ZYZBEU3UXPYFY54
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
DBS Bank Ltd
ATUEL7OJR5057F2PV266
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco de Chile
8B4EZFY8IHJC44TT2K84
CL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Europe plc
N1FBEDJ5J41VKZLO2475
HU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG
7LTWFZYICNSX8D621K86
HU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken A/S
F3JS33DEI6XQ4ZBPTN86
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG
7LTWFZYICNSX8D621K86
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank Middle East Limited
549300F99IL9YJDWH369
QA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Maghreb S.A
5493003FVWLMBFTISI11
MA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services S.C.A.
549300WCGB70D06XZS54
PT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank A.S.
CWZ8NZDH5SKY12Q4US31
TR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Societe Generale Marocaine de Banques
549300WHIMVBNIDQWK21
MA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
J.P. Morgan Bank International (Limited Liability Company)**
549300B831LSRSI6RA15
RU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank del Peru S.A.
MYTK5NHHP1G8TVFGT193
PE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
NYLIM Service Company LLC
084-05844
SEC File Number
Y
N
N
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
Y
New York Life Investment Management LLC
IGJ1X7QLRC5K7CY9GE11
Y
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
Y
Y
NYLIFE Distributors LLC
8-46655
000035350
00000000000000000000
0.00000000
NYLIFE Securities LLC
8-15517
000005167
00000000000000000000
0.00000000
Merrill Lynch, Pierce, Fenner & Smith Inc.
8-07221
000007691
8NAV47T0Y26Q87Y0QP81
9470.50000000
CLSA Americas, LLC
8-69166
000165533
213800M2DXATWY7JMS07
8485.40000000
Citigroup Global Markets Inc.
8-08177
000007059
MBNUM2BPBDO7JBLYG310
128284.96000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
7309.11000000
Siebert Williams Shank & Co., LLC
8-49877
000042568
254900VTARX8RAY9QK77
7543.64000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
12437.73000000
Jefferies LLC
8-15074
000002347
58PU97L1C0WSRCWADL48
9865.10000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
29173.45000000
Societe Generale
N/A
N/A
O2RNE8IBXP4R0TD8PU41
FR
75744.45000000
Instinet Europe Limited
N/A
N/A
213800MXAKR2LA1VBM44
GB
12581.64000000
346690.15000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
499818.88000000
Virtu Americas LLC
8-68193
000149823
549300RA02N3BNSWBV74
9316829.09999999
RBC Capital Markets, LLC
8-45411
000031194
549300LCO2FLSSVFFR64
287411.34999999
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
274995149.18000001
Guggenheim Securities, LLC
8-49107
000040638
5493005G25VHYWLYJU59
68144.75999999
State Street Bank & Trust Co.
N/A
000000000
571474TGEMMWANRLN572
21011671.48999999
Citigroup Global Markets Inc.
8-08177
000007059
MBNUM2BPBDO7JBLYG310
63555003.20000000
Credit Suisse Securities (USA) LLC
8-00422
000000816
1V8Y6QCX6YMJ2OELII46
13.21000000
369734041.16999996
Y
243168170.00000000
Committed
600000000.00000000
N
Uncommitted
100000000.00000000
N
N
N
N
MainStay WMC Small Companies Fund
S000036715
549300X2531TDNVCHR44
N
10
0
0
N/A
N
N
Y
N
N
JPMorgan Chase Bank NA
7H6GLXDRUGQFU57RNE97
N
N
Cash collateral reinvestment fee
Revenue sharing split
13105426.15000000
99578.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 17a-7 (17 CFR 270.17a-7)
Y
Y
N
N
New York Life Investment Management LLC
801-57396
000109591
IGJ1X7QLRC5K7CY9GE11
N
Wellington Management Company LLP
801-15908
000106595
549300YHP12TEZNLCX41
N
MacKay Shields LLC
801-5594
000107717
549300Y7LLCOFU7R8H16
2021-03-04
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
Y
NYLIM Service Company LLC
084-05844
00000000000000000000
Y
N
N
Refinitiv Global Markets Inc.
000109120
CRD
N
Bloomberg L.P.
549300B56MD0ZC402L06
LEI Number
N
ICE Data Pricing & Reference Data, LLC
5493000NQ9LYLDBCTL34
LEI Number
N
ITG, Inc.
000029299
CRD
N
IHS Markit Group Holdings Ltd
2138005LTLTVZ4WMEX25
LEI Number
GB
N
PricingDirect Inc.
549300WIC0TOJ7N7GD54
LEI Number
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Royal Bank of Canada
ES7IP3U3RHIGC71XBU11
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Y
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
NYLIM Service Company LLC
084-05844
SEC File Number
Y
N
N
New York Life Investment Management LLC
IGJ1X7QLRC5K7CY9GE11
Y
N
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
Y
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
Y
Y
NYLIFE Securities LLC
8-15517
000005167
00000000000000000000
0.00000000
NYLIFE Distributors LLC
8-46655
000035350
00000000000000000000
0.00000000
Keybanc Capital Markets Inc.
8-30177
000000566
2EQWV0180Z211YVAD813
15955.71000000
Jefferies LLC
8-15074
000002347
58PU97L1C0WSRCWADL48
26478.35000000
Citigroup Global Markets Inc.
8-08177
000007059
MBNUM2BPBDO7JBLYG310
131252.51000000
Virtu Americas LLC
8-68193
000149823
549300RA02N3BNSWBV74
41851.23000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
21230.51000000
Goldman Sachs & Co. LLC
8-00129
000000361
FOR8UP27PHTHYVLBNG30
21732.48999999
Cowen and Company
8-22522
000007616
549300WR155U7DVMIW58
17145.74000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
60806.89000000
Instinet, LLC
8-23669
000007897
549300MGMN3RKMU8FT57
42771.11000000
BTIG, LLC
8-65473
000122225
549300GTG9PL6WO3EC51
64137.66000000
550534.31000000
Societe Generale
N/A
N/A
O2RNE8IBXP4R0TD8PU41
FR
53374997.49000000
Citigroup Global Markets Inc.
8-08177
000007059
MBNUM2BPBDO7JBLYG310
15457806.53999999
Capital Guardian, LLC
8-67133
000137919
N/A
20193665.29000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
3197400.00000000
Virtu Americas LLC
8-68193
000149823
549300RA02N3BNSWBV74
47832.66000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
1349415.90000000
SG Americas Securities, LLC
8-66125
000128351
549300F35UE0BOM1WJ55
47819221.25999999
State Street Bank & Trust Co.
N/A
000000000
571474TGEMMWANRLN572
691577.45000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
262871672.68000001
Instinet, LLC
8-23669
000007897
549300MGMN3RKMU8FT57
1594211.76000000
408266924.37000000
Y
379940511.00000000
Uncommitted
100000000.00000000
N
Committed
600000000.00000000
N
N
N
N
MainStay Floating Rate Fund
S000028529
549300TKK2EWM1KEEX83
N
8
0
0
N/A
N
N
Y
N
JPMorgan Chase Bank NA
7H6GLXDRUGQFU57RNE97
N
N
Cash collateral reinvestment fee
Revenue sharing split
0.00000000
0.00000000
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Y
N
N
N
New York Life Investment Management LLC
801-57396
000109591
IGJ1X7QLRC5K7CY9GE11
N
NYL Investors LLC
801-78759
000169553
5493000EG09WOQURS721
Y
N
NYLIM Service Company LLC
084-05844
00000000000000000000
Y
N
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
Y
N
PricingDirect Inc.
549300WIC0TOJ7N7GD54
LEI Number
N
ITG, Inc.
000029299
CRD
N
Bloomberg L.P.
549300B56MD0ZC402L06
LEI Number
N
Refinitiv Global Markets Inc.
000109120
CRD
N
ICE Data Pricing & Reference Data, LLC
5493000NQ9LYLDBCTL34
LEI Number
N
IHS Markit Group Holdings Ltd
2138005LTLTVZ4WMEX25
LEI Number
GB
N
N
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
State Street Bank and Trust Company (Edinburgh, GB, Branch)
571474TGEMMWANRLN572
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
NYLIM Service Company LLC
084-05844
SEC File Number
Y
N
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
N
New York Life Investment Management LLC
IGJ1X7QLRC5K7CY9GE11
Y
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
Y
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
Y
Y
NYLIFE Securities LLC
8-15517
000005167
00000000000000000000
0.00000000
NYLIFE Distributors LLC
8-46655
000035350
00000000000000000000
0.00000000
0.00000000
Barclays Capital, Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
660359280.80999994
Wells Fargo Securities, LLC
8-65876
000126292
VYVVCKR63DVZZN70PB21
79022340.40000000
RBC Capital Markets, LLC
8-45411
000031194
549300LCO2FLSSVFFR64
80775442.14000000
Citigroup Global Markets Inc.
8-08177
000007059
MBNUM2BPBDO7JBLYG310
168445335.56000000
Goldman Sachs & Co. LLC
8-00129
000000361
FOR8UP27PHTHYVLBNG30
424275402.48000002
Merrill Lynch, Pierce, Fenner & Smith Inc.
8-07221
000007691
8NAV47T0Y26Q87Y0QP81
50443315.92000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
120888667.01000001
Nomura Securities International, Inc.
8-15255
000004297
OXTKY6Q8X53C9ILVV871
233596618.43000001
BofA Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
569881817.71000004
BNP Paribas Securities Corp.
8-32682
000015794
RCNB6OTYUAMMP879YW96
83402704.92000000
2532918321.11000010
N
1492658477.00000000
Committed
600000000.00000000
N
Uncommitted
100000000.00000000
N
N
N
N
MainStay U.S. Government Liquidity Fund
S000063122
549300Y3ZLEL13IJCK58
N
1
0
0
Money Market Fund
N
N
N
N
N/A
0.00000000
0.00000000
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Y
N
N
N
New York Life Investment Management LLC
801-57396
000109591
IGJ1X7QLRC5K7CY9GE11
N
NYL Investors LLC
801-78759
000169553
5493000EG09WOQURS721
Y
N
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
Y
NYLIM Service Company LLC
084-05844
00000000000000000000
Y
N
N
Refinitiv Global Markets Inc.
000109120
CRD
N
PricingDirect Inc.
549300WIC0TOJ7N7GD54
LEI Number
N
ICE Data Pricing & Reference Data, LLC
5493000NQ9LYLDBCTL34
LEI Number
N
ITG, Inc.
000029299
CRD
N
IHS Markit Group Holdings Ltd
2138005LTLTVZ4WMEX25
LEI Number
GB
N
Bloomberg L.P.
549300B56MD0ZC402L06
LEI Number
N
N
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Y
NYLIM Service Company LLC
084-05844
SEC File Number
Y
N
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
N
New York Life Investment Management LLC
IGJ1X7QLRC5K7CY9GE11
Y
N
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
Y
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
Y
Y
NYLIFE Securities LLC
8-15517
000005167
00000000000000000000
0.00000000
NYLIFE Distributors LLC
8-46655
000035350
00000000000000000000
0.00000000
0.00000000
Goldman Sachs & Co. LLC
8-00129
000000361
FOR8UP27PHTHYVLBNG30
3067422626.33999970
RBC Capital Markets, LLC
8-45411
000031194
549300LCO2FLSSVFFR64
998092948.75999999
Citigroup Global Markets Inc.
8-08177
000007059
MBNUM2BPBDO7JBLYG310
1027900231.18999990
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
1188898622.66000010
Mizuho Securities USA LLC
8-37710
000019647
7TK5RJIZDFROZCA6XF66
813703477.66999996
BNP Paribas Securities Corp.
8-32682
000015794
RCNB6OTYUAMMP879YW96
643475650.15999997
Nomura Securities International, Inc.
8-15255
000004297
OXTKY6Q8X53C9ILVV871
2235077504.40999980
Wells Fargo Securities, LLC
8-65876
000126292
VYVVCKR63DVZZN70PB21
504732193.85000002
Barclays Capital, Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
3641250758.15000010
BofA Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
2117908029.72000000
16833218675.11000100
N
1276389960.00000000
N
N
N
MainStay Conservative Allocation Fund
S000028532
549300GI3BTC5N4VFN57
N
10
0
0
Fund of Funds
N
N
Y
N
JPMorgan Chase Bank NA
7H6GLXDRUGQFU57RNE97
N
N
Cash collateral reinvestment fee
Revenue sharing split
0.00000000
0.00000000
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
N
N
New York Life Investment Management LLC
801-57396
000109591
IGJ1X7QLRC5K7CY9GE11
N
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
Y
NYLIM Service Company LLC
084-05844
00000000000000000000
Y
N
N
Refinitiv Global Markets Inc.
000109120
CRD
N
IHS Markit Group Holdings Ltd
2138005LTLTVZ4WMEX25
LEI Number
GB
N
Bloomberg L.P.
549300B56MD0ZC402L06
LEI Number
N
ICE Data Pricing & Reference Data, LLC
5493000NQ9LYLDBCTL34
LEI Number
N
ITG, Inc.
000029299
CRD
N
PricingDirect Inc.
549300WIC0TOJ7N7GD54
LEI Number
N
N
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Y
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
NYLIM Service Company LLC
084-05844
SEC File Number
Y
N
N
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
Y
New York Life Investment Management LLC
IGJ1X7QLRC5K7CY9GE11
Y
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
Y
Y
NYLIFE Distributors LLC
8-46655
000035350
00000000000000000000
0.00000000
NYLIFE Securities LLC
8-15517
000005167
00000000000000000000
0.00000000
0.00000000
JANE STREET EXECUTION SERVICES LLC
8-69254
000167280
549300HXJLXCPDWAH070
449073.13999999
Virtu Americas LLC
8-68193
000149823
549300RA02N3BNSWBV74
7224949.04000000
Citadel Securities LLC
8-53574
000116797
12UUJYTN7D3SW8KCSG25
6892426.20000000
FNY Capital Management LP
N/A
N/A
549300PXOMC0L1OHLQ47
7343246.58999999
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
151877893.11000001
State Street Bank & Trust Co.
N/A
000000000
571474TGEMMWANRLN572
17295332.45999999
Jane Street Capital, LLC
8-52275
000103782
549300ZM16HMPEPNV857
6928054.07000000
Citigroup Global Markets Inc.
8-08177
000007059
MBNUM2BPBDO7JBLYG310
961213.58000000
BofA Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
372522.08000000
Merrill Lynch, Pierce, Fenner & Smith Inc.
8-07221
000007691
8NAV47T0Y26Q87Y0QP81
3284381.72000000
202629091.98999998
N
498011812.00000000
Uncommitted
100000000.00000000
N
Committed
600000000.00000000
N
N
N
N
MainStay MacKay S&P 500 Index Fund
S000028525
5493003KCMU84KHQDX98
N
5
0
0
N
N
0.010000000
-0.35000000
0.15000000
0.15000000
N
N
Y
N
N
JPMorgan Chase Bank NA
7H6GLXDRUGQFU57RNE97
N
N
Cash collateral reinvestment fee
Revenue sharing split
1014573.95000000
21564.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Y
N
N
N
New York Life Investment Management LLC
801-57396
000109591
IGJ1X7QLRC5K7CY9GE11
N
MacKay Shields LLC
801-5594
000107717
549300Y7LLCOFU7R8H16
Y
N
NYLIM Service Company LLC
084-05844
00000000000000000000
Y
N
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
Y
N
ICE Data Pricing & Reference Data, LLC
5493000NQ9LYLDBCTL34
LEI Number
N
PricingDirect Inc.
549300WIC0TOJ7N7GD54
LEI Number
N
Bloomberg L.P.
549300B56MD0ZC402L06
LEI Number
N
Refinitiv Global Markets Inc.
000109120
CRD
N
ITG, Inc.
000029299
CRD
N
IHS Markit Group Holdings Ltd
2138005LTLTVZ4WMEX25
LEI Number
GB
N
N
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Deutsche Bank AG
7LTWFZYICNSX8D621K86
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
J.P. Morgan Bank Luxembourg S.A.
7W1GMC6J4KGLBBUSYP52
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
NYLIM Service Company LLC
084-05844
SEC File Number
Y
N
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
N
New York Life Investment Management LLC
IGJ1X7QLRC5K7CY9GE11
Y
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
Y
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
Y
Y
NYLIFE Distributors LLC
8-46655
000035350
00000000000000000000
0.00000000
NYLIFE Securities LLC
8-15517
000005167
00000000000000000000
0.00000000
Wells Fargo Securities, LLC
8-65876
000126292
VYVVCKR63DVZZN70PB21
401.89000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
11359.39000000
Jefferies LLC
8-15074
000002347
58PU97L1C0WSRCWADL48
1856.87000000
Goldman Sachs & Co. LLC
8-00129
000000361
FOR8UP27PHTHYVLBNG30
10069.78000000
Cowen and Company
8-22522
000007616
549300WR155U7DVMIW58
189.10000000
BTIG, LLC
8-65473
000122225
549300GTG9PL6WO3EC51
96.17000000
Citigroup Global Markets Inc.
8-08177
000007059
MBNUM2BPBDO7JBLYG310
951.29000000
Virtu Americas LLC
8-68193
000149823
549300RA02N3BNSWBV74
1592.51000000
Siebert Williams Shank & Co., LLC
8-49877
000042568
254900VTARX8RAY9QK77
1202.50000000
Citadel Securities LLC
8-53574
000116797
12UUJYTN7D3SW8KCSG25
250.06000000
28072.38000000
Merrill Lynch, Pierce, Fenner & Smith Inc.
8-07221
000007691
8NAV47T0Y26Q87Y0QP81
19498531.21999999
Citigroup Global Markets Inc.
8-08177
000007059
MBNUM2BPBDO7JBLYG310
121987458.59000000
Bank of New York Mellon Corp.
N/A
N/A
WFLLPEPC7FZXENRZV188
9299295.51999999
State Street Bank & Trust Co.
N/A
000000000
571474TGEMMWANRLN572
29631208.64000000
BofA Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
49041960.63000000
Jefferies LLC
8-15074
000002347
58PU97L1C0WSRCWADL48
3875571.91000000
Wells Fargo Securities, LLC
8-65876
000126292
VYVVCKR63DVZZN70PB21
80949234.85999999
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
37794513.32999999
Societe Generale
N/A
N/A
O2RNE8IBXP4R0TD8PU41
FR
11174828.85000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
194727614.62000000
572244452.93000007
N
1348391984.00000000
Committed
600000000.00000000
N
Uncommitted
100000000.00000000
N
N
N
N
MainStay Short Term Bond Fund
S000028536
549300O98OR0VH1HJ155
N
5
0
0
N/A
N
N
Y
N
JPMorgan Chase Bank NA
7H6GLXDRUGQFU57RNE97
N
N
Cash collateral reinvestment fee
Revenue sharing split
0.00000000
0.00000000
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Y
N
N
N
New York Life Investment Management LLC
801-57396
000109591
IGJ1X7QLRC5K7CY9GE11
N
NYL Investors LLC
801-78759
000169553
5493000EG09WOQURS721
Y
N
NYLIM Service Company LLC
084-05844
00000000000000000000
Y
N
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
Y
N
Refinitiv Global Markets Inc.
000109120
CRD
N
IHS Markit Group Holdings Ltd
2138005LTLTVZ4WMEX25
LEI Number
GB
N
Bloomberg L.P.
549300B56MD0ZC402L06
LEI Number
N
ITG, Inc.
000029299
CRD
N
ICE Data Pricing & Reference Data, LLC
5493000NQ9LYLDBCTL34
LEI Number
N
PricingDirect Inc.
549300WIC0TOJ7N7GD54
LEI Number
N
Y
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Y
NYLIM Service Company LLC
084-05844
SEC File Number
Y
N
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
Y
New York Life Investment Management LLC
IGJ1X7QLRC5K7CY9GE11
Y
N
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
Y
Y
NYLIFE Distributors LLC
8-46655
000035350
00000000000000000000
0.00000000
NYLIFE Securities LLC
8-15517
000005167
00000000000000000000
0.00000000
RBC Capital Markets, LLC
8-45411
000031194
549300LCO2FLSSVFFR64
5263.77000000
5263.77000000
Wells Fargo Securities, LLC
8-65876
000126292
VYVVCKR63DVZZN70PB21
104416824.56000000
Nomura Securities International, Inc.
8-15255
000004297
OXTKY6Q8X53C9ILVV871
15726782.78999999
BofA Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
21153726.46999999
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
20193683.25000000
SG Americas Securities, LLC
8-66125
000128351
549300F35UE0BOM1WJ55
25718433.57999999
Citigroup Global Markets Inc.
8-08177
000007059
MBNUM2BPBDO7JBLYG310
39340015.83000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
175501607.68000001
Goldman Sachs & Co. LLC
8-00129
000000361
FOR8UP27PHTHYVLBNG30
16369591.02999999
State Street Bank & Trust Co.
N/A
000000000
571474TGEMMWANRLN572
27265838.21999999
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
75619299.95999999
630478143.14999998
N
99155832.00000000
Uncommitted
100000000.00000000
N
Committed
600000000.00000000
N
N
N
N
MainStay Epoch International Choice Fund
S000028522
549300FPTWJRAID17352
N
9
0
0
N/A
N
N
Y
N
N
JPMorgan Chase Bank NA
7H6GLXDRUGQFU57RNE97
N
N
Revenue sharing split
Cash collateral reinvestment fee
13690641.96000000
55914.00000000
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
N
N
New York Life Investment Management LLC
801-57396
000109591
IGJ1X7QLRC5K7CY9GE11
N
Epoch Investment Partners, Inc.
801-63118
000131556
549300FT720Z0BVCWS87
N
N
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
Y
NYLIM Service Company LLC
084-05844
00000000000000000000
Y
N
N
ITG, Inc.
000029299
CRD
N
IHS Markit Group Holdings Ltd
2138005LTLTVZ4WMEX25
LEI Number
GB
N
Refinitiv Global Markets Inc.
000109120
CRD
N
PricingDirect Inc.
549300WIC0TOJ7N7GD54
LEI Number
N
Bloomberg L.P.
549300B56MD0ZC402L06
LEI Number
N
ICE Data Pricing & Reference Data, LLC
5493000NQ9LYLDBCTL34
LEI Number
N
N
Bank Handlowy w. Warszawie S.A.
XLEZHWWOI4HFQDGL4793
PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
FirstRand Bank Limited
ZAYQDKTCATIXF9OQY690
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
HSBC Bank Malaysia Berhad
P3RPN9OJFCXUPJWB1Q09
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
DBS Bank Ltd
ATUEL7OJR5057F2PV266
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG
7LTWFZYICNSX8D621K86
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG
7LTWFZYICNSX8D621K86
IN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
J.P. Morgan S.A. DTVM
5493001LS7J56NZZ3G07
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG
7LTWFZYICNSX8D621K86
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Leumi le-Israel B.M.
7JDSZWRGUQY2DSTWCR57
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
PT Bank HSBC Indonesia
213800HW5IDIRLWH1203
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services S.C.A.
549300WCGB70D06XZS54
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Societa per Azioni
529900SS7ZWCX82U3W60
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Austria AG
D1HEB8VEU6D9M8ZUXG17
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Nordea Bank Abp
529900ODI3047E2LIV03
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
J.P. Morgan Bank Luxembourg S.A.
7W1GMC6J4KGLBBUSYP52
FR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG
7LTWFZYICNSX8D621K86
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services S.C.A.
549300WCGB70D06XZS54
PT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Santander Securities Services, S.A.
95980020140005970915
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, N.A.
E57ODZWZ7FF32TWEFA76
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services S.C.A.
549300WCGB70D06XZS54
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Czech Republic and Slovakia, a.s.
KR6LSKV3BTSJRD41IF75
CZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG
7LTWFZYICNSX8D621K86
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UBS Switzerland AG
549300WOIFUSNYH0FL22
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Trust Company Canada
549300L71XG2CTQ2V827
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Ceskoslovenska obchodni banka, a. s.
Q5BP2UEQ48R75BOTCB92
CZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank (Thai) Public Company Limited
549300O1LQYCQ7G1IM57
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken A/S
F3JS33DEI6XQ4ZBPTN86
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Hapoalim B.M.
B6ARUI4946ST4S7WOU88
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
State Street Bank and Trust Company (Edinburgh, GB, Branch)
571474TGEMMWANRLN572
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank (China) Company Limited
2CZOJRADNJXBLT55G526
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Royal Bank of Canada
ES7IP3U3RHIGC71XBU11
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
J.P. Morgan Bank Luxembourg S.A.
7W1GMC6J4KGLBBUSYP52
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
IN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank International GmbH
ZMHGNT7ZPKZ3UFZ8EO46
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Nacional de Mexico, S.A.
2SFFM4FUIE05S37WFU55
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC France Athens Branch
MP6I5ZYZBEU3UXPYFY54
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Mizuho Bank, Ltd.
RB0PEZSDGCO3JS6CEU02
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank, Sociedad Anonima Espanola
529900SICIK5OVMVY186
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Standard Bank of South Africa Limited
QFC8ZCW3Q5PRXU1XTM60
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, N.A.
E57ODZWZ7FF32TWEFA76
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
J.P. Morgan Bank Luxembourg S.A.
7W1GMC6J4KGLBBUSYP52
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank (Malaysia) Berhad
529900DLWFR8HK7DR278
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
NYLIM Service Company LLC
084-05844
SEC File Number
Y
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
Y
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
Y
New York Life Investment Management LLC
IGJ1X7QLRC5K7CY9GE11
Y
N
Y
NYLIFE Securities LLC
8-15517
000005167
00000000000000000000
0.00000000
NYLIFE Distributors LLC
8-46655
000035350
00000000000000000000
0.00000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
9112.59000000
Sanford C. Bernstein & Co., LLC
8-52942
000104474
549300I7JYZHT7D5CO04
31138.67000000
Mizuho Securities USA LLC
8-37710
000019647
7TK5RJIZDFROZCA6XF66
13004.90000000
Credit Agricole Securities (USA) Inc.
8-13753
000000190
549300WO2DKF0Q3YMV43
4778.10999999
Daiwa Capital Markets America Inc.
8-12242
000001576
M67H5PRC0NQKM73ZAS82
5667.51000000
Jefferies LLC
8-15074
000002347
58PU97L1C0WSRCWADL48
24932.37000000
Exane, Inc.
8-49569
000041784
6SDWK6FV8H98XAGSYS75
47335.15000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
30798.00000000
Merrill Lynch, Pierce, Fenner & Smith Inc.
8-07221
000007691
8NAV47T0Y26Q87Y0QP81
7537.06000000
Berenberg Capital Markets LLC
8-68821
000156757
5493007EG0CYRKKG9L11
8651.27000000
204040.88000000
State Street Bank & Trust Co.
N/A
000000000
571474TGEMMWANRLN572
24661170.56000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
172720627.38000000
197381797.94000000
Y
316077238.00000000
Committed
600000000.00000000
N
Uncommitted
100000000.00000000
N
N
N
N
MainStay Epoch U.S. Equity Yield Fund
S000026784
549300VUF2DM62SGU537
N
10
0
0
N/A
N
N
Y
N
N
JPMorgan Chase Bank NA
7H6GLXDRUGQFU57RNE97
N
N
Cash collateral reinvestment fee
Revenue sharing split
8313679.59999999
2597.00000000
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
N
N
New York Life Investment Management LLC
801-57396
000109591
IGJ1X7QLRC5K7CY9GE11
N
Epoch Investment Partners, Inc.
801-63118
000131556
549300FT720Z0BVCWS87
N
N
NYLIM Service Company LLC
084-05844
00000000000000000000
Y
N
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
Y
N
ICE Data Pricing & Reference Data, LLC
5493000NQ9LYLDBCTL34
LEI Number
N
PricingDirect Inc.
549300WIC0TOJ7N7GD54
LEI Number
N
Bloomberg L.P.
549300B56MD0ZC402L06
LEI Number
N
Refinitiv Global Markets Inc.
000109120
CRD
N
ITG, Inc.
000029299
CRD
N
IHS Markit Group Holdings Ltd
2138005LTLTVZ4WMEX25
LEI Number
GB
N
N
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Y
NYLIM Service Company LLC
084-05844
SEC File Number
Y
N
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
Y
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
Y
New York Life Investment Management LLC
IGJ1X7QLRC5K7CY9GE11
Y
N
Y
NYLIFE Distributors LLC
8-46655
000035350
00000000000000000000
0.00000000
NYLIFE Securities LLC
8-15517
000005167
00000000000000000000
0.00000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
4294.10999999
Barclays Capital, Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
5143.79000000
Goldman Sachs & Co. LLC
8-00129
000000361
FOR8UP27PHTHYVLBNG30
5723.30000000
Merrill Lynch, Pierce, Fenner & Smith Inc.
8-07221
000007691
8NAV47T0Y26Q87Y0QP81
4383.93000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
30347.22000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
3309.11000000
Citigroup Global Markets Inc.
8-08177
000007059
MBNUM2BPBDO7JBLYG310
2048.25000000
Stifel, Nicolaus & Company, Incorporated
8-01447
000000793
5WUVMA08EYG4KEUPW589
1067.58000000
Sanford C. Bernstein & Co., LLC
8-52942
000104474
549300I7JYZHT7D5CO04
12196.79000000
Jefferies LLC
8-15074
000002347
58PU97L1C0WSRCWADL48
1603.71000000
72701.23000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
285123755.33999997
State Street Bank & Trust Co.
N/A
000000000
571474TGEMMWANRLN572
28517072.47999999
313640827.81999999
Y
1033462586.00000000
Uncommitted
100000000.00000000
N
Committed
600000000.00000000
N
N
N
N
MainStay Balanced Fund
S000036714
549300DL5ZTPAWGC6G97
N
10
0
0
N/A
N
N
Y
N
N
JPMorgan Chase Bank NA
7H6GLXDRUGQFU57RNE97
N
N
Cash collateral reinvestment fee
Revenue sharing split
5276386.20000000
92502.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Y
Y
N
N
New York Life Investment Management LLC
801-57396
000109591
IGJ1X7QLRC5K7CY9GE11
N
NYL Investors LLC
801-78759
000169553
5493000EG09WOQURS721
Y
N
Wellington Management Company LLP
801-15908
000106595
549300YHP12TEZNLCX41
N
MacKay Shields LLC
801-5594
000107717
549300Y7LLCOFU7R8H16
2021-03-04
NYLIM Service Company LLC
084-05844
00000000000000000000
Y
N
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
Y
N
PricingDirect Inc.
549300WIC0TOJ7N7GD54
LEI Number
N
IHS Markit Group Holdings Ltd
2138005LTLTVZ4WMEX25
LEI Number
GB
N
Refinitiv Global Markets Inc.
000109120
CRD
N
ITG, Inc.
000029299
CRD
N
Bloomberg L.P.
549300B56MD0ZC402L06
LEI Number
N
ICE Data Pricing & Reference Data, LLC
5493000NQ9LYLDBCTL34
LEI Number
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Euroclear
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
UBS Switzerland AG
549300WOIFUSNYH0FL22
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Royal Bank of Canada
ES7IP3U3RHIGC71XBU11
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
NYLIM Service Company LLC
084-05844
SEC File Number
Y
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
Y
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
Y
New York Life Investment Management LLC
IGJ1X7QLRC5K7CY9GE11
Y
N
Y
NYLIFE Distributors LLC
8-46655
000035350
00000000000000000000
0.00000000
NYLIFE Securities LLC
8-15517
000005167
00000000000000000000
0.00000000
Credit Suisse Securities (USA) LLC
8-00422
000000816
1V8Y6QCX6YMJ2OELII46
4498.81000000
Societe Generale
N/A
N/A
O2RNE8IBXP4R0TD8PU41
FR
12948.76000000
Cowen and Company
8-22522
000007616
549300WR155U7DVMIW58
15665.99000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
5554.77000000
FNY Capital Management LP
N/A
N/A
549300PXOMC0L1OHLQ47
9476.64000000
Citigroup Global Markets Inc.
8-08177
000007059
MBNUM2BPBDO7JBLYG310
57088.84000000
Wells Fargo Securities, LLC
8-65876
000126292
VYVVCKR63DVZZN70PB21
17897.49000000
Virtu Americas LLC
8-68193
000149823
549300RA02N3BNSWBV74
31921.16000000
RBC Capital Markets, LLC
8-45411
000031194
549300LCO2FLSSVFFR64
5336.87000000
BTIG, LLC
8-65473
000122225
549300GTG9PL6WO3EC51
12735.64000000
197458.33000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
90743070.20000000
SG Americas Securities, LLC
8-66125
000128351
549300F35UE0BOM1WJ55
95644955.39000000
BofA Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
129223263.59000000
RBC Capital Markets, LLC
8-45411
000031194
549300LCO2FLSSVFFR64
86231520.12000000
Natwest Markets Securities Inc.
8-37135
000011707
ZE2ZWJ5BTIQJ8M0C6K34
72250643.28000000
Citigroup Global Markets Inc.
8-08177
000007059
MBNUM2BPBDO7JBLYG310
98629966.92000000
Goldman Sachs & Co. LLC
8-00129
000000361
FOR8UP27PHTHYVLBNG30
91640010.59000000
Wells Fargo Securities, LLC
8-65876
000126292
VYVVCKR63DVZZN70PB21
266178755.91000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
265449135.38000003
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
166183896.47999999
1690650907.64999990
Y
517440813.00000000
Committed
600000000.00000000
N
Uncommitted
100000000.00000000
N
N
N
N
MainStay Growth Allocation Fund
S000028534
549300VXKHL3MH2IL746
N
10
0
0
Fund of Funds
N
N
Y
N
JPMorgan Chase Bank NA
7H6GLXDRUGQFU57RNE97
N
N
Revenue sharing split
Cash collateral reinvestment fee
0.00000000
0.00000000
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Y
N
N
N
New York Life Investment Management LLC
801-57396
000109591
IGJ1X7QLRC5K7CY9GE11
N
NYLIM Service Company LLC
084-05844
00000000000000000000
Y
N
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
Y
N
ICE Data Pricing & Reference Data, LLC
5493000NQ9LYLDBCTL34
LEI Number
N
PricingDirect Inc.
549300WIC0TOJ7N7GD54
LEI Number
N
ITG, Inc.
000029299
CRD
N
IHS Markit Group Holdings Ltd
2138005LTLTVZ4WMEX25
LEI Number
GB
N
Bloomberg L.P.
549300B56MD0ZC402L06
LEI Number
N
Refinitiv Global Markets Inc.
000109120
CRD
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Y
NYLIM Service Company LLC
084-05844
SEC File Number
Y
N
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
N
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
Y
New York Life Investment Management LLC
IGJ1X7QLRC5K7CY9GE11
Y
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
Y
Y
NYLIFE Securities LLC
8-15517
000005167
00000000000000000000
0.00000000
NYLIFE Distributors LLC
8-46655
000035350
00000000000000000000
0.00000000
0.00000000
Citadel Securities LLC
8-53574
000116797
12UUJYTN7D3SW8KCSG25
10606484.03999999
JANE STREET EXECUTION SERVICES LLC
8-69254
000167280
549300HXJLXCPDWAH070
1336019.64999999
Jane Street Capital, LLC
8-52275
000103782
549300ZM16HMPEPNV857
10865331.53999999
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
306113467.00999999
State Street Bank & Trust Co.
N/A
000000000
571474TGEMMWANRLN572
52955270.34000000
FNY Capital Management LP
N/A
N/A
549300PXOMC0L1OHLQ47
11503969.63000000
Virtu Americas LLC
8-68193
000149823
549300RA02N3BNSWBV74
19345200.02000000
Citigroup Global Markets Inc.
8-08177
000007059
MBNUM2BPBDO7JBLYG310
100737.36000000
Merrill Lynch, Pierce, Fenner & Smith Inc.
8-07221
000007691
8NAV47T0Y26Q87Y0QP81
4354883.28000000
Mischler Financial Group, Inc.
8-48067
000037818
2549004IPXPSM9EJFC92
20917.80000000
417210319.47000003
N
876776410.00000000
Committed
600000000.00000000
N
Uncommitted
100000000.00000000
N
N
N
N
MainStay Epoch Global Equity Yield Fund
S000026786
549300AP2JN3R7T55E64
N
8
0
0
N/A
N
N
Y
N
N
JPMorgan Chase Bank NA
7H6GLXDRUGQFU57RNE97
N
N
Revenue sharing split
Cash collateral reinvestment fee
11238022.60000000
178707.00000000
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Y
N
N
N
New York Life Investment Management LLC
801-57396
000109591
IGJ1X7QLRC5K7CY9GE11
N
Epoch Investment Partners, Inc.
801-63118
000131556
549300FT720Z0BVCWS87
N
N
NYLIM Service Company LLC
084-05844
00000000000000000000
Y
N
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
Y
N
ITG, Inc.
000029299
CRD
N
ICE Data Pricing & Reference Data, LLC
5493000NQ9LYLDBCTL34
LEI Number
N
Refinitiv Global Markets Inc.
000109120
CRD
N
IHS Markit Group Holdings Ltd
2138005LTLTVZ4WMEX25
LEI Number
GB
N
PricingDirect Inc.
549300WIC0TOJ7N7GD54
LEI Number
N
Bloomberg L.P.
549300B56MD0ZC402L06
LEI Number
N
N
Skandinaviska Enskilda Banken A/S
F3JS33DEI6XQ4ZBPTN86
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Santander Securities Services, S.A.
95980020140005970915
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
J.P. Morgan Bank Luxembourg S.A.
7W1GMC6J4KGLBBUSYP52
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, N.A.
E57ODZWZ7FF32TWEFA76
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Royal Bank of Canada
ES7IP3U3RHIGC71XBU11
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank International GmbH
ZMHGNT7ZPKZ3UFZ8EO46
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Hapoalim B.M.
B6ARUI4946ST4S7WOU88
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
FirstRand Bank Limited
ZAYQDKTCATIXF9OQY690
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank (Malaysia) Berhad
529900DLWFR8HK7DR278
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Standard Bank of South Africa Limited
QFC8ZCW3Q5PRXU1XTM60
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Mizuho Bank, Ltd.
RB0PEZSDGCO3JS6CEU02
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank del Peru S.A.
MYTK5NHHP1G8TVFGT193
PE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Trust Company Canada
549300L71XG2CTQ2V827
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Santander Chile
3YJP8HORPAEXJ80D6368
CL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Europe plc
N1FBEDJ5J41VKZLO2475
RO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Europe plc
N1FBEDJ5J41VKZLO2475
HU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC France Athens Branch
MP6I5ZYZBEU3UXPYFY54
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
J.P. Morgan S.A. DTVM
5493001LS7J56NZZ3G07
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Nordea Bank Abp
529900ODI3047E2LIV03
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, N.A.
E57ODZWZ7FF32TWEFA76
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Czech Republic and Slovakia, a.s.
KR6LSKV3BTSJRD41IF75
CZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company (Edinburgh, GB, Branch)
571474TGEMMWANRLN572
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Nacional de Mexico, S.A.
2SFFM4FUIE05S37WFU55
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG
7LTWFZYICNSX8D621K86
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco de Chile
8B4EZFY8IHJC44TT2K84
CL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG
7LTWFZYICNSX8D621K86
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services S.C.A.
549300WCGB70D06XZS54
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
J.P. Morgan Bank Luxembourg S.A.
7W1GMC6J4KGLBBUSYP52
FR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank Korea Limited
NUXTG47HHHM1K2L0SG39
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Handlowy w. Warszawie S.A.
XLEZHWWOI4HFQDGL4793
PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank A.S.
CWZ8NZDH5SKY12Q4US31
TR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
DBS Bank Ltd
ATUEL7OJR5057F2PV266
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank Malaysia Berhad
P3RPN9OJFCXUPJWB1Q09
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, N.A.
E57ODZWZ7FF32TWEFA76
EG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Anonim Sirketi
789000N5SE3LWDK7OI11
TR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Austria AG
D1HEB8VEU6D9M8ZUXG17
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Leumi le-Israel B.M.
7JDSZWRGUQY2DSTWCR57
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank (Thai) Public Company Limited
549300O1LQYCQ7G1IM57
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG
7LTWFZYICNSX8D621K86
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Deutsche Bank, Sociedad Anonima Espanola
529900SICIK5OVMVY186
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Societa per Azioni
529900SS7ZWCX82U3W60
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
HSBC Bank (China) Company Limited
2CZOJRADNJXBLT55G526
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UBS Switzerland AG
549300WOIFUSNYH0FL22
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG
7LTWFZYICNSX8D621K86
HU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
J.P. Morgan Bank Luxembourg S.A.
7W1GMC6J4KGLBBUSYP52
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services S.C.A.
549300WCGB70D06XZS54
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
NYLIM Service Company LLC
084-05844
SEC File Number
Y
N
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
Y
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
Y
New York Life Investment Management LLC
IGJ1X7QLRC5K7CY9GE11
Y
N
Y
NYLIFE Distributors LLC
8-46655
000035350
00000000000000000000
0.00000000
NYLIFE Securities LLC
8-15517
000005167
00000000000000000000
0.00000000
Goldman Sachs & Co. LLC
8-00129
000000361
FOR8UP27PHTHYVLBNG30
8700.43999999
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
37322.65999999
CLSA Americas, LLC
8-69166
000165533
213800M2DXATWY7JMS07
15120.45000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
10396.35000000
RBC Capital Markets, LLC
8-45411
000031194
549300LCO2FLSSVFFR64
8074.86000000
Sanford C. Bernstein & Co., LLC
8-52942
000104474
549300I7JYZHT7D5CO04
54221.24000000
CITIC Securities International USA, LLC
8-68887
000158266
N/A
15251.29000000
Merrill Lynch, Pierce, Fenner & Smith Inc.
8-07221
000007691
8NAV47T0Y26Q87Y0QP81
36756.44999999
Barclays Capital, Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
10748.34000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
26306.82000000
260747.16999999
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
584768675.99000001
State Street Bank & Trust Co.
N/A
000000000
571474TGEMMWANRLN572
109113678.44000000
693882354.43000007
Y
1204701476.00000000
Uncommitted
100000000.00000000
Committed
600000000.00000000
N
N
N
N
MainStay MacKay New York Tax Free Opportunities Fund
S000036992
5493000QL2DGK8JJHL76
N
7
0
0
N/A
N
N
Y
N
JPMorgan Chase Bank NA
7H6GLXDRUGQFU57RNE97
N
N
Revenue sharing split
Cash collateral reinvestment fee
0.00000000
0.00000000
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 17a-7 (17 CFR 270.17a-7)
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
N
N
New York Life Investment Management LLC
801-57396
000109591
IGJ1X7QLRC5K7CY9GE11
N
MacKay Shields LLC
801-5594
000107717
549300Y7LLCOFU7R8H16
Y
N
NYLIM Service Company LLC
084-05844
00000000000000000000
Y
N
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
Y
N
Refinitiv Global Markets Inc.
000109120
CRD
N
ICE Data Pricing & Reference Data, LLC
5493000NQ9LYLDBCTL34
LEI Number
N
PricingDirect Inc.
549300WIC0TOJ7N7GD54
LEI Number
N
Bloomberg L.P.
549300B56MD0ZC402L06
LEI Number
N
IHS Markit Group Holdings Ltd
2138005LTLTVZ4WMEX25
LEI Number
GB
N
ITG, Inc.
000029299
CRD
N
N
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Y
NYLIM Service Company LLC
084-05844
SEC File Number
Y
N
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
N
New York Life Investment Management LLC
IGJ1X7QLRC5K7CY9GE11
Y
N
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
Y
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
Y
Y
NYLIFE Distributors LLC
8-46655
000035350
00000000000000000000
0.00000000
NYLIFE Securities LLC
8-15517
000005167
00000000000000000000
0.00000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
263.20000000
Goldman Sachs & Co. LLC
8-00129
000000361
FOR8UP27PHTHYVLBNG30
529.41999999
792.62000000
Roosevelt & Cross, Incorporated
8-19363
000006964
N/A
18177427.05000000
Citigroup Global Markets Inc.
8-08177
000007059
MBNUM2BPBDO7JBLYG310
110421540.25000000
Barclays Capital, Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
27338760.00000000
Merrill Lynch, Pierce, Fenner & Smith Inc.
8-07221
000007691
8NAV47T0Y26Q87Y0QP81
23030544.50000000
Industrial and Commercial Bank of China Financial Services LLC
8-66471
000131487
5493003O0P1GJ0O8CI80
12300000.00000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
791729775.36000001
Jefferies LLC
8-15074
000002347
58PU97L1C0WSRCWADL48
19296221.39999999
Goldman Sachs & Co. LLC
8-00129
000000361
FOR8UP27PHTHYVLBNG30
52171648.25000000
Loop Capital Markets LLC
8-50140
000043098
254900FPPM2WN90D4786
22607656.80000000
Mesirow Financial, Inc.
8-28816
000002764
549300BIV46SUHPOFE54
14684125.00000000
1216370423.80999990
N
1259257179.00000000
Uncommitted
100000000.00000000
N
Committed
600000000.00000000
N
N
N
N
MainStay MacKay Short Duration High Yield Fund
S000039301
549300WEGNK3CPOQ1307
N
8
0
0
N/A
N
N
Y
N
N
JPMorgan Chase Bank NA
7H6GLXDRUGQFU57RNE97
N
N
Revenue sharing split
Cash collateral reinvestment fee
0.00000000
60.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 17a-7 (17 CFR 270.17a-7)
Y
N
N
N
New York Life Investment Management LLC
801-57396
000109591
IGJ1X7QLRC5K7CY9GE11
N
MacKay Shields LLC
801-5594
000107717
549300Y7LLCOFU7R8H16
Y
N
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
Y
NYLIM Service Company LLC
084-05844
00000000000000000000
Y
N
N
IHS Markit Group Holdings Ltd
2138005LTLTVZ4WMEX25
LEI Number
GB
N
ICE Data Pricing & Reference Data, LLC
5493000NQ9LYLDBCTL34
LEI Number
N
Bloomberg L.P.
549300B56MD0ZC402L06
LEI Number
N
Dixon Hughes Goodman LLP
56-0747981
Tax ID
N
ITG, Inc.
000029299
CRD
N
PricingDirect Inc.
549300WIC0TOJ7N7GD54
LEI Number
N
Refinitiv Global Markets Inc.
000109120
CRD
N
N
Euroclear
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
State Street Bank and Trust Company (Edinburgh, GB, Branch)
571474TGEMMWANRLN572
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
NYLIM Service Company LLC
084-05844
SEC File Number
Y
N
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
N
JPMorgan Chase Bank, N.A.
7H6GLXDRUGQFU57RNE97
N
Y
New York Life Investment Management LLC
IGJ1X7QLRC5K7CY9GE11
Y
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
Y
Y
NYLIFE Securities LLC
8-15517
000005167
00000000000000000000
0.00000000
NYLIFE Distributors LLC
8-46655
000035350
00000000000000000000
0.00000000
Jefferies LLC
8-15074
000002347
58PU97L1C0WSRCWADL48
32.38000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
232.98000000
265.36000000
Merrill Lynch, Pierce, Fenner & Smith Inc.
8-07221
000007691
8NAV47T0Y26Q87Y0QP81
74055684.00000000
Credit Suisse Securities (USA) LLC
8-00422
000000816
1V8Y6QCX6YMJ2OELII46
30213352.05999999
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
122024105.19000000
Citigroup Global Markets Inc.
8-08177
000007059
MBNUM2BPBDO7JBLYG310
37139880.00000000
Wells Fargo Securities, LLC
8-65876
000126292
VYVVCKR63DVZZN70PB21
39791150.93000000
Barclays Capital, Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
54159418.00000000
State Street Bank & Trust Co.
N/A
000000000
571474TGEMMWANRLN572
49590748.91000000
Goldman Sachs & Co. LLC
8-00129
000000361
FOR8UP27PHTHYVLBNG30
65982236.25000000
Deutsche Bank Securities Inc.
8-17822
000002525
9J6MBOOO7BECTDTUZW19
45561026.25000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
44948576.24000000
692454920.80999994
N
1520320730.00000000
Uncommitted
100000000.00000000
N
Committed
600000000.00000000
N
N
N
N
false
false
false
false
false
false
INTERNAL CONTROL RPT
2
MS_Funds_Trust.txt
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
Report of Independent Registered Public Accounting Firm
To the Shareholders of the Funds and Board of Trustees of MainStay
Funds Trust:
In planning and performing our audits of the financial statements
of MainStay Balanced Fund, MainStay MacKay California Tax Free
Opportunities Fund, MainStay Conservative Allocation Fund, MainStay
WMC Growth Fund (formerly MainStay MacKay Growth Fund), MainStay
Epoch Capital Growth Fund, MainStay Epoch Global Equity Yield Fund,
MainStay Epoch International Choice Fund, MainStay Epoch U.S.
Equity Yield Fund, MainStay WMC Small Companies Fund (formerly
MainStay MacKay Small Cap Core Fund), MainStay Floating Rate Fund,
MainStay Growth Allocation Fund, MainStay MacKay High Yield
Municipal Bond Fund, MainStay Short Term Bond Fund, MainStay WMC
International Research Equity Fund (formerly MainStay MacKay
International Opportunities Fund), MainStay Moderate Allocation
Fund, MainStay Equity Allocation Fund, MainStay MacKay New York
Tax Free Opportunities Fund, MainStay MacKay S&P 500 Index Fund,
MainStay MacKay Short Duration High Yield Fund, MainStay MacKay
Total Return Bond Fund, MainStay Candriam Emerging Markets Equity
Fund, and MainStay U.S. Government Liquidity Fund, twenty-two of
the funds comprising MainStay Funds Trust (the Funds), as of and
for the year ended October 31, 2021, in accordance with the
standards of the Public Company Accounting Oversight Board (United
States), we considered the Funds' 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-CEN, but not for the purpose of
expressing an opinion on the effectiveness of the Funds' internal
control over financial reporting. Accordingly, we express no such
opinion.
Management of the Funds 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 the
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 Funds'
annual or interim financial statements will not be prevented or
detected on a timely basis.
Our consideration of the Funds' 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 Funds' 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 October 31, 2021.
This report is intended solely for the information and use of management
and the Board of Trustees of MainStay Funds Trust 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/ KPMG LLP
Philadelphia, Pennsylvania
December 23, 2021