EX-99.77O RULE 10F-3 3 rule103.htm RULE 10F-3 rule103.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 16, 2015, Dreyfus Opportunistic Fixed Income Fund, a series of The Dreyfus/Laurel Funds, Inc. (the “Fund”), purchased 2,350 4.75% notes, due April 21, 2045, issued by Bank of America Corp. (CUSIP #06051GFQ7) (the “Notes”), at a purchase price of $99.873 per Note, including a commission of 0.875% per Note. The Notes were purchased from BofA Merrill Lynch, 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:

 

ABN AMRO

ANZ Securities

Apto Partners, LLC

Banca IMI

Barclays

BBVA

Blaylock Beal Van, LLC

BNY Mellon Capital Markets, LLC

BofA Merrill Lynch

Capital One Securities

CIBC

Commerzbank

Danske Markets Inc.

Deutsche Bank Securities

Drexel Hamilton

ING

Lloyds Securities

Mizuho Securities

MUFG

nabSecurities, LLC

Natixis

Nykredit Markets

Rabo Securities

RB International Markets (USA)

Santander

Scotiabank

Societe Generale

Standard Chartered Bank

UniCredit Capital Markets

Ramirez & Co., Inc.  

 


 
 

 

 

Accompanying this statement are materials presented to the Board of Directors 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 July 29-30, 2015. These materials include additional information about the terms of the transaction.

 


 



 



 
 

 

                            Sub-Item 77O

Rule 10f-3 Transactions

 

THE DREYFUS/LAUREL FUNDS, INC.

 

Dreyfus Opportunistic Fixed Income Fund

 

On May 19, 2015, Dreyfus Opportunistic Fixed Income Fund, a series of The Dreyfus/Laurel Funds, Inc. (the “Fund”), purchased 1,205 5.15% notes, due May 22, 2045, issued by The Goldman Sachs Group, Inc. (CUSIP #38148LAF3) (the “Notes”), at a purchase price of $99.35 per Note, including an underwriting discount of 0.875% per Note. The Notes were purchased from Goldman, Sachs & Co., 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:

 

ABN AMRO

Banca IMI

BB&T Capital Markets

BBVA

BNY Mellon Capital Markets, LLC

 Capital One Securities

Drexel Hamilton

Fifth Third Securities

Goldman, Sachs & Co.

ING

KeyBanc Capital Markets

Lloyds Securities Inc.

Loop Capital Markets

Mischler Financial Group, Inc.

Mizuho Securities

Natixis

PNC Capital Markets LLC

RBC Capital Markets

Santander

Scotiabank

SMBC Nikko

SunTrust Robinson Humphrey

TD Securities

The Williams Capital Group, L.P.

UniCredit Capital Markets

US Bancorp

 

Accompanying this statement are materials presented to the Board of Directors 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 July 29-30, 2015. These materials include additional information about the terms of the transaction.

 


 



 



 
 

 

                                                                          Sub-Item 77O

 

Rule 10f-3 Transactions

 

THE DREYFUS/LAUREL FUNDS, INC.

 

Dreyfus Opportunistic Fixed Income Fund

 

On June 9, 2015, Dreyfus Opportunistic Fixed Income Fund, a series of The Dreyfus/Laurel Funds, Inc. (the “Fund”), purchased 1,400 5.85% notes, due August 15, 2045, issued by Reynolds American, Inc. (CUSIP #761713BB1) (the “Notes”), at a purchase price of $99.476 per Note, including an underwriting discount of 0.875% per Note. The Notes were purchased from Citigroup, 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:

 

BNY Mellon Capital Markets, LLC

Citigroup

Credit Suisse

Fifth Third Securities

Goldman, Sachs & Co.

J.P. Morgan

Mizuho Securities

PNC Capital Markets LLC

RBC Capital Markets

Scotiabank

The Williams Capital Group, L.P.

Wells Fargo Securities

 

Accompanying this statement are materials presented to the Board of Directors 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 July 29-30, 2015. These materials include additional information about the terms of the transaction.