EX-99.77O RULE 10F-3 4 rule10f-3.htm RULE 10F-3 rule10f-3.htm - Generated by SEC Publisher for SEC Filing  

Sub-Item 77O

 

Rule 10f-3 Transactions

 

DREYFUS PREMIER SHORT-INTERMEDIATE MUNICIPAL BOND FUND

 

Dreyfus Short-Intermediate Municipal Bond Fund

 

On December 10, 2015, Dreyfus Short-Term Intermediate Municipal Bond Fund (the "Fund"), a series of Dreyfus Premier Short-Intermediate Municipal Bond Fund, purchased 1500 units of Transportation Revenue Refunding Bonds, Series 2015F,  issued by Metropolitan Transportation Authority (CUSIP No. 59261AAD9) (the "Notes") at a purchase price of $116.613 per Note, including underwriter compensation of 0.375%.  The Notes were purchased from Merrill Lynch Pierce Fenner & Smith Incorporated, a member of the underwriting syndicate of which BNY Mellon Capital Markets, LLC, an affiliate of the Fund's investment adviser, was also a member.  BNY Mellon Capital Markets, LLC received no benefit in connection with the transaction.  The following is a list of the syndicate's members:

Academy Securities, Inc.

Barclays

BofA Merrill Lynch

BNY Mellon Capital Markets, LLC

Cabrera Capital Markets, LLC

Citigroup

Drexel Hamilton, LLC

Duncan –Williams, Inc.

Estrada Hinojosa & Company, Inc.

Fidelity Capital Markets, LLC

Goldman, Sachs, & Co.

Janney Montgomery Scott

Jeffries

J.P. Morgan

KeyBanc Capital Markets, Inc.

Loop Capital Markets

M&T Securities, Inc.

Mesirow Financial, Inc.

Oppenheimer & Co.

Piper Jaffray & Co.

PNC Capital Markets LLC

Ramirez & Co., Inc.

Raymond James

RBC Capital Markets

Rice Financial Products Company

Roosevelt & Cross, Incorporated


 

Siebert Brandford Shank & Co., LLC

Stifel

TD Securities

The Williams Capital Group, LP

US Bancorp
Wells Fargo Securities

US Bancorp Investments, Inc.

UBS Securities LLC

 

Accompanying this statement are materials provided to the Board of Trustees for the Fund, which ratified the purchase as being in compliance with the Fund's Rule 10f-3 Procedures at a Board meeting held on February 25, 2016.  These materials include additional information about the terms of the transaction.

 





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