X0405 TA-1/A 0000831495 XXXXXXXX 084-01640 false LIVE SEC DELAWARE SERVICE CO INC /PA/ /TA RODNEY SUB 3 CORP /TA 411116 100 Independence 610 Market Street Philadelphia PA 19106 N 2152552300 N Y Y BNY Mellon Investment Servicing (US) Inc. 084-01761 500 Ross Street 154-0520 Pittsburgh PA 15262 N Corporation Shawn Lytle 06/01/2015 CHIEF EXECUTIVE OFFICER NA true David F Connor 06/01/2015 General Counsel NA true Richard Salus 06/01/2015 GLOBAL HEAD OF FUND SERVICES NA true Marty Wolin 01/01/2024 CHIEF COMPLIANCE OFFICER NA true NOMURA ASSET MANAGEMENT INTERNATIONAL INC. 12/01/2025 PARENT OF REGISTRANT E true NOMURA HOLDING AMERICA INC. 12/01/2025 PARENT OF NAMI INC. E true NOMURA HOLDINGS, INC. 12/01/2025 PARENT OF NOMURA HOLDING AMERICA INC. E true EUGENE CHIULLI 12/01/2025 CHIEF FINANCIAL OFFICER NA true N N N N N N Y Delaware Service Company, Inc. "In the Matter of Delaware Service Company, Inc." 08/31/2006 U.S. Securities and Exchange Commission, Washington, D.C. Order instituting administrative and cease-and-desist proceedings pursuant to Section 9(b) and 9(f) of the 1940 Act, in connection with violations of Section 19(a), Rule 19a-1, promulgated thereunder, and Section 34(b). DSC must cease and desist from committing or causing any violations and any future violations of Section 34(b) and Section 19(a) of the Investment Company Act of 1940 and Rule 19a-1, promulgated thereunder Macquarie Investment Management Business Trust In the Matter of Macquarie Investment Management Business Trust 09/19/2024 U.S. Securities and Exchange Commission, Washington, D.C. The Registrant entered into a settlement order with the SEC alleging that, between January 1, 2017 and April 2021: (1) MIMBT valued certain collateralized mortgage-backed obligations ("CMOs") at inflated prices; (2) MIMBT executed dealer-interposed and internal cross trades of those CMOs between registered investment company clients and other clients at prices that deviated from market prices; (3) certain disclosures of MIMBT relating to performance, valuation, liquidity, and cross trading contained false and misleading statements and omissions; and (4) MIMBT failed to implement policies and procedures relating to valuation, conflicts of interest and cross trades. The Registrant must cease and desist from committing or causing any violations or future violations of Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act and Rules 206(4)-7 and 206(4)-8 thereunder, and sections 17(a)(1) and (a)(2) and 34(b) of the Investment Company Act and Rules 22c-1 and 38a-1 thereunder; pay disgorgement of $7,633,671 and prejudgment interest of $2,197,535; and pay a civil money penalty in the amount of $70,000,000. Y Delaware Service Company, Inc. "In the Matter of Delaware Service Company, Inc." 08/31/2006 U.S. Securities and Exchange Commission, Washington, D.C. Order instituting administrative and cease-and-desist proceedings pursuant to Section 9(b) and 9(f) of the 1940 Act, in connection with violations of Section 19(a), Rule 19a-1, promulgated thereunder, and Section 34(b). DSC must cease and desist from committing or causing any violations and any future violations of Section 34(b) and Section 19(a) of the Investment Company Act of 1940 and Rule 19a-1, promulgated thereunder. Macquarie Investment Management Business Trust In the Matter of Macquarie Investment Management Business Trust 09/19/2024 U.S. Securities and Exchange Commission, Washington, D.C. The Registrant entered into a settlement order with the SEC alleging that, between January 1, 2017 and April 2021: (1) MIMBT valued certain collateralized mortgage-backed obligations ("CMOs") at inflated prices; (2) MIMBT executed dealer-interposed and internal cross trades of those CMOs between registered investment company clients and other clients at prices that deviated from market prices; (3) certain disclosures of MIMBT relating to performance, valuation, liquidity, and cross trading contained false and misleading statements and omissions; and (4) MIMBT failed to implement policies and procedures relating to valuation, conflicts of interest and cross trades. The Registrant must cease and desist from committing or causing any violations or future violations of Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act and Rules 206(4)-7 and 206(4)-8 thereunder, and sections 17(a)(1) and (a)(2) and 34(b) of the Investment Company Act and Rules 22c-1 and 38a-1 thereunder; pay disgorgement of $7,633,671 and prejudgment interest of $2,197,535; and pay a civil money penalty in the amount of $70,000,000. N N N N N N N N N N N N N N N N Marty Wolin 215-252-3785 CHIEF COMPLIANCE OFFICER 04/02/2026