EX-99.77O RULE 10F-3 5 item77o.htm ITEM 77O item77o.htm - Generated by SEC Publisher for SEC Filing  

 

                                                                           Sub-Item 77O

 

Rule 10f-3 Transactions

 

 

DREYFUS INVESTMENT FUNDS

 

DREYFUS/STANDISH INTERMEDIATE TAX EXEMPT BOND FUND

 

 

On April 12, 2013, Dreyfus/Standish Intermediate Tax Exempt Bond Fund, a series of Dreyfus Investment Funds (the "Fund"), purchased 1,000 State of California Various Purpose General Obligation Bonds due 10/01/24 - CUSIP # 13063B4K5 (the "Bonds"). The Bonds were purchased from BofA Merrill Lynch, a member of the underwriting syndicate offering the Bonds, from their account. BNY Mellon Capital Markets, LLC, an affiliate of the Fund, was a member of the syndicate but received no benefit in connection with the transaction. BofA Merrill Lynch received a commission of 0.3750% per unit. No other member received any economic benefit. The following is a list of the syndicate's primary members:

 

 

Academy Securities, Inc.

Baird

Barclays Capital, Inc.

Backstrom McCarley Berry & Co., LLC

BNY Mellon Capital Markets, LLC

BofA Merrill Lynch

Citigroup

Comerica Securities

Drexel Hamilton LLC

De La Rosa & Co.

Edward D. Jones & Co., LP

Estrada Hinojosa & Company

Fidelity Capital Markets

Goldman, Sachs & Co.

J.P. Morgan

Lebenthal & Co., Inc.

M.R. Beal & Company

Morgan Stanley

O' Connor & Company Securities, Inc.

Oppenheimer & Co., Inc.

Raymond James

RBC Capital Markets

RH Investment Corp.

Siebert Brandford Shank & Co., LLC

Southwest Securities, Inc.

Stifel

US Bancorp Investments, Inc.

 


 
 

 

Wedbush Morgan Securities

Wells Fargo Securities

William Blair & Company

 

Accompanying this statement are materials made available to the Board of Trustees of the Fund, which ratified the purchase as in compliance with the Fund's Rule 10f-3 Procedures, at the Fund's Board meetings held on July 24-25, 2013. These materials include additional information about the terms of the transaction.