EX-99 4 lp110f3_feb2014-nsar6923.htm TRANSACTIONS EFFECTED PURSUANT TO RULE 10F-3 lp1.htm - Generated by SEC Publisher for SEC Filing

 

                                                                           Sub-Item 77O

 

Rule 10f-3 Transactions

 

 

DREYFUS INVESTMENT FUNDS

 

DREYFUS/STANDISH GLOBAL FIXED INCOME FUND

 

 

On August 1, 2013, Dreyfus/Standish Global Fixed Income Fund, a series of Dreyfus Investment Funds (the "Fund"), purchased 690 Credit Suisse AG, 6.50% Tier 2 Capital Notes due 8/8/23 – CUSIP # 22546DAA4 (the "Capital Notes"). The Capital Notes were purchased from Credit Suisse, a member of the underwriting syndicate offering the Capital Notes, from their account. BNY Capital Markets, LLC, an affiliate of the Fund, was a member of the syndicate but received no benefit in connection with the transaction. Credit Suisse received a commission of 1.50% per Capital Note. No other member received any economic benefit. The following is a list of the syndicate’s primary members:

members:

 

 

ABN AMRO

Banca IMI

Banco Bilbao Vizcaya Argentaria, S.A.

Barclays

BB Securities

BMO Capital Markets

BNY Mellon Capital Markets, LLC

BofA Merrill Lynch

Capital One Securities

CIBC

Citigroup

Commerzbank

Commonwealth Bank of Australia

Credit Suisse

Danske Bank

Deutsche Bank Securities

Morgan Stanley

NabSecurities, LLC

Rabobank International

RBC Capital Markets

Santander

Scotiabank

Societe Generale

SunTrust Robinson Humphrey

 


 

 

Swedbank AB

TD Securities

UniCredit Bank

US Bancorp

Wells Fargo Securities

 

 

 

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 October 30-31, 2013. These materials include additional information about the terms of the transaction.

 




 

 

                                                                           Sub-Item 77O

 

Rule 10f-3 Transactions

 

 

DREYFUS INVESTMENT FUNDS

 

DREYFUS/STANDISH GLOBAL FIXED INCOME FUND

 

 

On July 16, 2013, Dreyfus/Standish Global Fixed Income Fund, a series of Dreyfus Investment Funds (the "Fund"), purchased 1,100 The Goldman Sachs Group, Inc. Notes due 07/19/18 - CUSIP # 38147MAA3 (the "Notes"). The Notes were purchased 99.917% per note from Goldman, Sachs & Co., a member of the underwriting syndicate offering the Notes, 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. Goldman, Sachs & Co., received a commission of 0.350% per unit. No other member received any economic benefit. The following is a list of the syndicate's primary members:

 

 

ABN AMRO

ANZ Investment Bank

Banca IMI

Barclays

BB&T Capital Markets

BBVA Securities

BMO Capital Markets

BNY Mellon Capital Markets, LLC

Credit Agricole Securities (USA) Inc.

DBS Bank

Fifth Third Securities, Inc.

Goldman, Sachs & Co

Lloyds Securities Inc.

Mizuho Securities USA Inc.

RBC Capital Markets

SMBC Nikko

Standard Chartered Bank

SunTrust Robinson Humphrey

US Bancorp

UniCredit Capital Markets

Wells Fargo Securities

CastleOak Securities, L.P.

Drexel Hamilton

Mischler Financial Group, Inc.

Ramirez & Co., Inc.

 


 

 

 

 

 

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 October 30-31, 2013. These materials include additional information about the terms of the transaction.

 




 

 

                                                                           Sub-Item 77O

 

Rule 10f-3 Transactions

 

 

DREYFUS INVESTMENT FUNDS

 

DREYFUS/STANDISH GLOBAL FIXED INCOME FUND

 

 

On June 4, 2013, Dreyfus/Standish Global Fixed Income Fund, a series of Dreyfus Investment Funds (the "Fund"), purchased 1,520 The Allstate Corporation, 3.15% Senior Notes due 6/15/23 – CUSIP # 020002AZ4 (the "Senior Notes"). The Senior Notes were purchased from Wells Fargo Securities, a member of the underwriting syndicate offering the Senior Notes, from its account. BNY Capital Markets, LLC, an affiliate of the Fund, was a member of the syndicate but received no benefit in connection with the transaction. Wells Fargo Securities received a commission of .650% per Senior Note. No other member received any economic benefit. The following is a list of the syndicate’s primary members:

 

 

BofA Merrill Lynch

Barclays

BNY Mellon Capital Markets, LLC

Citigroup

Credit Suisse

Goldman, Sachs & Co.

Deutsche Bank Securities

J.P. Morgan

Loop Capital Markets

Morgan Stanley

PNC Capital Markets LLC

US Bancorp

Wells Fargo Securities

 

 

 

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 October 30-31, 2013. These materials include additional information about the terms of the transaction.