EX-99.77O RULE 10F-3 3 lp1nsars6323.htm TRANSACTIONS EFFECTED PURSUANT TO RULE 10F-3 lp1nsars6323.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 December 16, 2013, Dreyfus/Standish Global Fixed Income Fund, a series of Dreyfus Investment Funds (the “Fund”), purchased 1,745 6.00% Subordinated Tier 2 Notes, due on December 19, 2023 issued by The Royal Bank of Scotland Group PLC (CUSIP # 780097AZ4) (the “Notes”), at a purchase price of $99.098 per Note, including an underwriting discount of 0.400%. The Notes were purchased from RBS Securities, Inc., a member of the underwriting syndicate of which BNY Mellon Capital Markets, LLC, an affiliate of the Fund’s investment adviser, was also a member. BNY Mellon Capital Markets, LLC received no benefit in connection with the transaction. The following is a list of the syndicate’s primary members:

 

BMO Capital Markets

BNY Mellon Capital Markets, LLC

Capital One Securities

CIBC

Citigroup

Credit Suisse

Danske Markets Inc.

J.P. Morgan Securities LLC

Mischler Financial Group, Inc.

Morgan Stanley & Co. LLC

RBC Capital Markets, LLC

RBS

TD Securities

Wells Fargo Securities, LLC

 

Accompanying this statement are materials presented to the Board of Trustees of the Fund, which ratified the purchase in compliance with the Fund’s Rule 10f-3 Procedures at the Fund’s Board meetings held on February 19-20, 2014. These materials include additional information about the terms of the transaction.