EX-99.77O RULE 10F-3 3 rule18f3-dlf.htm TRANSACTIONS EFFECTED PURSUANT TO RULE 10F-3 rule18f3-dlf.htm - Generated by SEC Publisher for SEC Filing  

 

                                                                        Sub-Item 77O

Rule 10f-3 Transactions

 

THE DREYFUS/LAUREL FUNDS, INC.

DREYFUS OPPORTUNISTIC FIXED INCOME FUND

 

On April 22, 2014, Dreyfus Opportunistic Fixed Income Fund, a series of The Dreyfus/Laurel Funds, Inc. (the “Fund”), purchased 1,145 depository shares by Morgan Stanley & Co., LLC 5.45%, 12/29/49 - CUSIP # 61761JQK8 at a purchase price of $100 per depository share. The depository shares were purchased from Morgan Stanley & Co., LLC, a member of the underwriting syndicate offering the depository shares, 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. Morgan Stanley & Co. received a commission of 1.50% per depository share. No other member received any economic benefit. The following is a list of the syndicate’s primary members:

 

ABN AMRO

BB&T Capital Markets

BNY Mellon Capital Markets, LLC

Fifth Third Securities, Inc.

Lloyds Securities

RBS

Scotiabank

TD Securities

Morgan Stanley & Co.

Mitsubishi UFJ Securities

Banca IMI

BBVA

Capital One Southcoast

FTN Financial Securities

RB International Markets (USA)

Regions Securities LLC

Societe Generale

Barclays

BMO Capital Markets

Deutsche Bank Securities

Keybanc Capital Markets

RBC Capital Markets

Santander

Suntrust Robinson Humphrey

US Bancorp

 

Accompanying this statement are materials made available to the Board of Directors 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 23-24, 2014. These materials include additional information about the terms of the transaction.

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                                                                        Sub-Item 77O

Rule 10f-3 Transactions

 

THE DREYFUS/LAUREL FUNDS, INC.

DREYFUS DISCIPLINE STOCK FUND

 

On June 12, 2014, Dreyfus Discipline Stock Fund, a series of The Dreyfus/Laurel Funds, Inc. (the “Fund”), purchased 99,210 of common stock issued by Exelon Corporation EXC - CUSIP # 30161N101 at a purchase price of $35 per common stock. The common stock were purchased from Goldman, Sachs & Co., a member of the underwriting syndicate offering the common stock, 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 $1.05 per common stock. No other member received any economic benefit. The following is a list of the syndicate’s primary members:

 

BofA Merrill Lynch

Barclays

Blaylock Beal Van, LLC

BNP Paribas

BNY Mellon Capital Markets, LLC

CIBC

Citigroup

Credit Agricole CIB

Credit Suisse

Goldman, Sachs & Co.

J.P. Morgan

KeyBanc Capital Markets

Loop Capital Markets

Mitsubishi UFJ Securities

Mizuho Securities

Piper Jaffray

PNC Capital Markets LLC

Ramirez & Co., Inc.

RBC Capital Markets

RBS

Scotiabank

SMBC Nikko

TD Securities

The Huntington Investment Company

Wells Fargo Securities

 

Accompanying this statement are materials made available to the Board of Directors 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 23-24, 2014. These materials include additional information about the terms of the transaction.

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                                                                        Sub-Item 77O

Rule 10f-3 Transactions

 

 

THE DREYFUS/LAUREL FUNDS, INC.

DREYFUS OPPORTUNISTIC FIXED INCOME FUND

 

On September 3, 2014, Dreyfus Opportunistic Fixed Income Fund, a series of The Dreyfus/Laurel Funds, Inc. (the “Fund”), purchased 1,260 Morgan Stanley & Co., LLC 4.358% Notes, due on September 08, 2026 issued by Morgan Stanley & Co., LLC - CUSIP # 6174467Y9 (the “Notes”), at a purchase price of $99.824 per Note, including a commission spread of 0.450% per Note. The Notes were purchased from Morgan Stanley & Co., LLC, a member of the underwriting syndicate of which BNY Mellon Capital Markets, LLC, an affiliate of the Fund’s investment advisor, 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:

 

ABN AMRO Securities (USA) LLC

APTO Partners LLC

Banca IMI

BMO Capital Markets

BNY Mellon Capital Markets, LLC

Commerzbank

HSBC Securities (USA) Inc.

ING Financial Markets, Inc.

Keybanc Capital Markets, Inc.

Lloyds Securities, Inc.

Mischler Financial Group, Inc.

Natixis Securities Americas LLC

Scotia Bank (USA) Inc.

Societe Generale

Suntrust Robinson Humphrey

TD Securities (USA) LLC

US Bancorp Investments, Inc.

 

Accompanying this statement are materials made available to the Board of Directors 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 October 29-30, 2014. These materials include additional information about the terms of the transaction.

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                                                                        Sub-Item 77O

Rule 10f-3 Transactions

 

 

THE DREYFUS/LAUREL FUNDS, INC.

DREYFUS OPPORTUNISTIC FIXED INCOME FUND

 

On September 11, 2014, Dreyfus Opportunistic Fixed Income Fund, a series of The Dreyfus/Laurel Funds, Inc. (the “Fund”), purchased 640 California Resources Corporation 6.00% Senior Notes, due November 15, 2024 issued by California Resources Corporation - CUSIP # 13057QAE7 (the “Notes”) at a purchase price of $100 per Note. The Notes were purchased from Bank of America NA, 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. Bank of America NA received a commission of 1.00% per Note. No other member received any economic benefit. The following is a list of the syndicate’s primary members:

 

Banca IMI

BofA Merrill Lynch

BB&T Capital Markets

BBVA

BNY Mellon Capital Markets, LLC

Citigroup

DNB Markets

Goldman, Sachs & Co.

HSBC

J.P. Morgan Chase

KeyBanc Capital Markets

Mizuho Securities

Morgan Stanley

MUFG

PNC Capital Markets LLC

Scotiabank

SMBC Nikko

Societe Generale

US Bancorp

Wells Fargo Securities

 

Accompanying this statement are materials made available to the Board of Directors 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 October 29-30, 2014. These materials include additional information about the terms of the transaction.

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