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Bank of New York Mellon/SBSD – ‘SBSE-A’ on 3/28/22

On:  Monday, 3/28/22, at 1:50pm ET   ·   Accession #:  1878049-22-3   ·   File #:  26-00213

Previous ‘SBSE-A’:  None   ·   Next:  ‘SBSE-A/A’ on 3/30/22   ·   Latest:  ‘SBSE-A/A’ on 1/23/24

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  As Of               Filer                 Filing    For·On·As Docs:Size

 3/28/22  Bank of New York Mellon/SBSD      SBSE-A                25:17M

Application for Registration by a Security-Based Swap Dealer or Major Security-Based Swap Participant that is Registered or Registering with the CFTC as a Swap Dealer or Major Swap Participant   —   Form SBSE-A

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: SBSE-A      Application for Registration by a Security-Based    HTML      7K 
                Swap Dealer or Major Security-Based Swap                         
                Participant that is Registered or Registering with               
                the CFTC as a Swap Dealer or Major Swap                          
                Participant -- primary_doc.xml                                   
13: EX-99.35 OTHER  10Fedrsvdkt7R -- 10FEDRSVDKT17016                PDF    410K 
14: EX-99.35 OTHER  11Sentinelmgt7R -- 11SENTINELMGT                 PDF    342K 
15: EX-99.35 OTHER  12Secjune1320167R -- 12SECJUNE132016             PDF    346K 
16: EX-99.35 OTHER  13Secars20077R -- 13SECARS2007                   PDF    349K 
17: EX-99.35 OTHER  14Secrls33105867R -- 14SECRLS3310586             PDF    524K 
19: EX-99.35 OTHER  16Supremectny7R -- 16SUPREMECTNY                 PDF    168K 
20: EX-99.35 OTHER  17Ukfca7R -- 17UKFCA                             PDF    341K 
21: EX-99.35 OTHER  18Usdol7R -- 18UKDOL                             PDF    338K 
22: EX-99.35 OTHER  19Usdc11069697R -- 19USDC1106969                 PDF    343K 
25: EX-99.35 OTHER  1Federalreserve7R -- 1FEDERALRESERVE             PDF    345K 
23: EX-99.35 OTHER  20Usdc163287R -- 20USDC16328                     PDF    340K 
24: EX-99.35 OTHER  21Usdc7R -- 21USDC                               PDF    277K 
 4: EX-99.35 OTHER  2Nyfed7R -- 2NYFED                               PDF    344K 
 6: EX-99.35 OTHER  3Russianfed7R -- 3207RUSSIANFEDERATON            PDF    344K 
 7: EX-99.35 OTHER  4Wstrndstrct7R -- 4WESTERNDISTRICT               PDF    344K 
 8: EX-99.35 OTHER  5Agstateny7R -- 5AGSTATEOFNY                     PDF    340K 
 9: EX-99.35 OTHER  6Boardofgov7R -- 6BOARDOFGOV                     PDF    342K 
10: EX-99.35 OTHER  7Bundesanstalt7R -- 7BUNDESANSTALT               PDF    169K 
11: EX-99.35 OTHER  8Nonpro20057R -- 8NONPRO2005                     PDF    345K 
18: EX-99.35 OTHER  Other Disclosure -- 15SEC                        PDF    342K 
12: EX-99.35 OTHER  Other Disclosure -- 9FEDERALCUSTOMS              PDF    343K 
 5: EX-99.35 OTHER  Other Disclosure -- QUESTION13AND14              PDF    482K 
 3: EX-99.36 Form 7-R  Form 7-R - Commodity Futures Trading          PDF      9K 
                Commission (CFTC) -- usregulators                                
 2: EX-99.36 Form 7-R  Sevenrversion2 -- sevenrcompleteadobe2        PDF   6.82M

‘SBSE-A’   —   Application for Registration by a Security-Based Swap Dealer or Major Security-Based Swap Participant that is Registered or Registering with the CFTC as a Swap Dealer or Major Swap Participant — primary_doc.xml



        

This ‘SBSE-A’ Document is an XML Data File that may be rendered in various formats:

  Form SBSE-A    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
SEC Info℠ rendering:  Application for Registration by a Security-Based Swap Dealer or Major Security-Based Swap Participant that is Registered or Registering with the CFTC as a Swap Dealer or Major Swap Participant
 
schema version:

SBSE-A: Filer Information

SBSE-A: Applicant Data - Page 1

WARNING: Failure to keep this form current and to file accurate supplementary information on a timely basis, or the failure to keep accurate books and records or otherwise to comply with the provisions of law applying to the conduct of business as an SBS Entity, would violate the Federal securities laws and may result in disciplinary, administrative, injunctive or criminal action.

INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACTS MAY CONSTITUTE FEDERAL CRIMINAL VIOLATIONS.

See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a)

1. Exact name, principal business address, mailing address, if different, and telephone number of the applicant:

A. Full name of the applicant
Bank of New York Mellon / SBSD
B. IRS Empl. Ident. No.:
13-5160382
C. Applicant's NFA ID #:
420990
Applicant's CIK #:
0001878049
Applicant’s UIC # (if any):
D. Applicant's Main Address: (Do not use a P.O. Box)
Street Address 1:
240 GREENWICH STREET
Street Address 2:
City:
NEW YORK
State/Province/Country:
NEW YORK
Zip/ Postal Code:
10286
E. Mailing Address, if different:
Street Address 1:
240 GREENWICH STREET
Street Address 2:
City:
NEW YORK
State/Province/Country:
NEW YORK
Zip/ Postal Code:
10286
F. Business Telephone Number:
212-815-3427
G. Website/URL:
H. Contact Employee:
Prefix:
First Name:
Richard
Middle Name:
Last Name:
Izzo
Suffix:
Title:
Director
Phone:
212-815-3427
Email Address:
richard.izzo@bnymellon.com
I. Chief Compliance Officer designated by the applicant in accordance with Exchange Act Section 15F(k):
Prefix:
First Name:
Donna
Middle Name:
Last Name:
Tumminio
Suffix:
Title:
Chief Compliance Officer
Phone:
212-815-3427
Email Address:
donna.tumminio@bnymellon.com

SBSE-A: EXECUTION

EXECUTION:

The applicant consents that service of any civil action brought by or notice of any proceeding before the Securities and Exchange Commission in connection with the applicant's security-based swap activities, unless the applicant is a nonresident SBS Entity, may be given by registered or certified mail or confirmed telegram to the applicant's contact employee at the main address, or mailing address if different, given in Items 1E and 1F. If the applicant is a nonresident SBS Entity, it must complete Schedule F to designate a U.S. agent for service of process.

The undersigned certifies that he/she has executed this form on behalf of, and with the authority of, said applicant. The undersigned and applicant represent that the information and statements contained herein, including schedules attached hereto, and other information filed herewith are current, true and complete. The undersigned and applicant further represent that to the extent any information previously submitted is not amended such information is currently accurate and complete.

Date
3/28/22
Name of Applicant
Bank of New York Mellon / SBSD
By: Signature
Richard Izzo
Name of Person Signing on Applicant's behalf
Richard Izzo
Title of Person Signing on Applicant's behalf
Director

SBSE-A: Applicant Data - Page 2

FORM SBSE-A

Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant

Applicant Name:  Bank of New York Mellon / SBSD
Date:     Applicant NFA No.:  420990

2.

A. The applicant is registering as a security-based swap dealer: Radio button checked Yes Radio button not checked No
B. The applicant is registering as a major security-based swap participant: Radio button not checked Yes Radio button checked No

3.

A. Is the applicant a foreign security-based swap dealer that intends to:
  • work with the Commission and its primary regulator to have the Commission determine whether the requirements of its primary regulator's regulatory system are comparable to the Commission's
Radio button not checked Yes Radio button checked No
  • avail itself of a previously granted substituted compliance determination
Radio button not checked Yes Radio button checked No
with respect to the requirements of Section 15F of the Exchange Act of 1934 and the rules and regulations thereunder?

4.

Does the applicant intend to compute capital or margin, or price customer or proprietary positions, using mathematical models? Radio button not checked Yes Radio button checked No

5.

A. The applicant is currently registered with the Commodity Futures Trading Commission as a: Radio button checked Swap Dealer  Radio button not checked Major Swap Participant
B. The applicant is registering with the Commodity Futures Trading Commission as a: Radio button not checked Swap Dealer  Radio button not checked Major Swap Participant

6.

Is the applicant a U.S. branch of a non-resident entity? Radio button not checked Yes Radio button checked No

7.

Briefly describe the applicant's business:
The BNY Mellon Security-Based Swap Dealer currently engages in dealing within its Markets Line of Business, in order to provide counterparties with a means to hedge their risk and free up capital for other expenditures.

8.

Is the applicant subject to regulation by a prudential regulator, as defined in Section 1a(39) of the Commodity Exchange Act. Radio button checked Yes Radio button not checked No
If "yes," identify the prudential regulator:
Checkbox checked The Federal Reserve Board
Checkbox not checked The Office of the Comptroller of the Currency
Checkbox checked The Federal Deposit Insurance Corporation
Checkbox not checked The Farm Credit Administration
Checkbox not checked The Federal Housing Finance Agency

9.

Is the applicant registered with the Commission as an investment adviser? Radio button not checked Yes Radio button checked No

10.

A. Is the applicant registered with the Commodity Futures Trading Commission in any capacity other than as a swap dealer or major swap participant? Radio button not checked Yes Radio button checked No

11.

Does applicant engage in any other non-securities, financial services industry-related business? Radio button checked Yes Radio button not checked No

If "yes," describe each other business briefly on Schedule B, Section I.

12.

Does the applicant hold or maintain any funds or securities to collateralize counterparty transactions? Radio button checked Yes Radio button not checked No

SBSE-A: Applicant Data - Page 3

FORM SBSE-A

Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant

Applicant Name:  Bank of New York Mellon / SBSD
Date:     Applicant NFA No.:  420990

13.

Does the applicant have any arrangement:
A. With any other person, firm, or organization under which any books or records of the applicant are kept, maintained, or audited by such other person, firm or organization? Radio button checked Yes Radio button not checked No
B. Under which such other person, firm or organization executes, trades, custodies, clears or settles on behalf of the applicant (including any SRO in which the applicant is a member)? Radio button checked Yes Radio button not checked No

If "yes" to any part of Item 13, complete appropriate items on Schedule B, Section II.

14.

Does any person directly or indirectly control the management or policies of the applicant through agreement or otherwise? Radio button checked Yes Radio button not checked No

If "yes," complete appropriate item on Schedule B, Section II.

15.

Does any person directly or indirectly finance (wholly or partially) the business of the applicant? Do not answer "Yes" to Item 15 if the person finances the business of the applicant through: 1) a public offering of securities made pursuant to the Securities Act of 1933; or 2) credit extended in the ordinary course of business by suppliers, banks, and others.Radio button not checked Yes Radio button checked No

If "yes," complete appropriate item on Schedule B, Section II.

16.

Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? Radio button not checked Yes Radio button checked No

If "yes," complete appropriate items on Schedule B, Section Ill.

17.

Is the applicant registered with a foreign financial regulatory authority? Radio button not checked Yes Radio button checked No

If "yes," list all such registrations on Schedule F, Page 1, Section II.

18.

The applicant has ___ principals who are individuals.
21

Please list all principals who are individuals on Schedule A.

19.

Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 18 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? Radio button not checked Yes Radio button checked No

If "yes," complete appropriate item on Schedule B, Section IV.

SBSE-A: Schedule A of FORM SBSE-A

FORM SBSE-A

Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant

Applicant Name:  Bank of New York Mellon / SBSD
Date:     Applicant NFA No.:  420990

PRINCIPALS THAT ARE INDIVIDUALS (Answer for Form SBSE-A Item 18)

Use Schedule A to identify all principals of the applicant who are individuals.

Complete the "Title or Status" column by entering board/management titles; status as partner, trustee, sole proprietor, or shareholder; and for shareholders, the class of securities owned (if more than one is issued).

Ownership Codes are:

NA - less than 5%
A - 5% but less than 10%
B - 10% but less than 25%
C - 25% but less than 50%
D - 50% but less than 75%
E - 75% or more

FULL LEGAL NAME

Prefix
Individuals: Last Name
Gibbons
Individuals: First Name
Thomas
Individuals: Middle Name
Patrick
Suffix
Title or Status
Chief Executive Officer
Date Title or Status Acquired(MM/YYYY)
01/2013
Date Individual began working for applicant (MM/YYYY)
06/1986
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
455025
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Lynch
Individuals: First Name
Robert
Individuals: Middle Name
Edward
Suffix
Title or Status
Head of a Business Unit, Division or Function
Date Title or Status Acquired(MM/YYYY)
04/2020
Date Individual began working for applicant (MM/YYYY)
11/2013
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
494793
CRD No.
002981333
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Portney
Individuals: First Name
Emily
Individuals: Middle Name
Hope
Suffix
Title or Status
Chief Financial Officer
Date Title or Status Acquired(MM/YYYY)
11/2020
Date Individual began working for applicant (MM/YYYY)
10/2018
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
277661
CRD No.
002866295
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Vos
Individuals: First Name
Adam
Individuals: Middle Name
Edward
Suffix
Title or Status
Head of a Business Unit, Division or Function
Date Title or Status Acquired(MM/YYYY)
12/2016
Date Individual began working for applicant (MM/YYYY)
07/2016
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
501559
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Santhana Krishnan
Individuals: First Name
Senthilkumar
Individuals: Middle Name
Suffix
Title or Status
Head of a Business Unit, Division or Function
Date Title or Status Acquired(MM/YYYY)
07/2019
Date Individual began working for applicant (MM/YYYY)
07/2019
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
523660
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Tumminio
Individuals: First Name
Donna
Individuals: Middle Name
Suffix
Title or Status
Chief Compliance Officer
Date Title or Status Acquired(MM/YYYY)
07/2021
Date Individual began working for applicant (MM/YYYY)
07/2021
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
TBD

FULL LEGAL NAME

Prefix
Individuals: Last Name
Robinson
Individuals: First Name
Elizabeth
Individuals: Middle Name
Erin
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
02/2017
Date Individual began working for applicant (MM/YYYY)
12/2016
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
453767
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Scott
Individuals: First Name
Samuel
Individuals: Middle Name
C
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
04/2013
Date Individual began working for applicant (MM/YYYY)
12/2012
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
455287
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Terrell
Individuals: First Name
Frederick
Individuals: Middle Name
O
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
09/2020
Date Individual began working for applicant (MM/YYYY)
08/2020
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
532424
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Zollar
Individuals: First Name
Alfred
Individuals: Middle Name
Warren
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
05/2019
Date Individual began working for applicant (MM/YYYY)
05/2019
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
522369
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Cook
Individuals: First Name
Linda
Individuals: Middle Name
Zarda
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
03/2017
Date Individual began working for applicant (MM/YYYY)
02/2017
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
469982
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Echevarria
Individuals: First Name
Joseph
Individuals: Middle Name
James
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
05/2015
Date Individual began working for applicant (MM/YYYY)
02/2015
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
485375
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Gilliland
Individuals: First Name
Marguerite
Individuals: Middle Name
Amy
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
05/2021
Date Individual began working for applicant (MM/YYYY)
04/2021
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
539222
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Goldstein
Individuals: First Name
Jeffrey
Individuals: Middle Name
Alan
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
05/2014
Date Individual began working for applicant (MM/YYYY)
05/2014
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
365537
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Gowrappan
Individuals: First Name
Kumara
Individuals: Middle Name
Guru
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
05/2021
Date Individual began working for applicant (MM/YYYY)
04/2021
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
539299
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Izzo
Individuals: First Name
Ralph
Individuals: Middle Name
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
09/2020
Date Individual began working for applicant (MM/YYYY)
09/2020
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
533109
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Kelly
Individuals: First Name
Edmund
Individuals: Middle Name
Francis
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
04/2013
Date Individual began working for applicant (MM/YYYY)
12/2012
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
216625
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Engle
Individuals: First Name
Bridget
Individuals: Middle Name
Suffix
Title or Status
Chief Operating Officer
Date Title or Status Acquired(MM/YYYY)
09/2021
Date Individual began working for applicant (MM/YYYY)
06/2017
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
542838
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Vitale
Individuals: First Name
Jason
Individuals: Middle Name
Dominick
Suffix
Title or Status
Head of a Business Unit, Division or Function
Date Title or Status Acquired(MM/YYYY)
04/2020
Date Individual began working for applicant (MM/YYYY)
03/2017
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
529504
CRD No.
005049351
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Vince
Individuals: First Name
Robin
Individuals: Middle Name
Antony
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
03/2022
Date Individual began working for applicant (MM/YYYY)
10/2020
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
453798
CRD No.
002651916
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
OConnor
Individuals: First Name
Sandra
Individuals: Middle Name
Elizabeth
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
03/2022
Date Individual began working for applicant (MM/YYYY)
02/2022
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
430690
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

SBSE-A: Schedule B of FORM SBSE-A

FORM SBSE-A

Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant

Applicant Name:  Bank of New York Mellon / SBSD
Date:     Applicant NFA No.:  420990

Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information.

This is an INITIAL / AMENDED detail filing for the Form SBSE-A items checked below: Radio button checked Initial   Radio button not checked Amended

Section I

Other Business

Item 11: Does applicant engage in any other non-securities, financial services industry-related business?

UIC (if any), or other Unique Identification Number(s):
Assigning Regulator(s)/Entity(s):
Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged:
BNYM is a New York state chartered Bank which houses the Investment Services businesses including Asset Servicing, Issuer Servicing, Treasury Services, Clearance and Collateral Management. The firm has $37.1 trillion in assets under custody and administration, and some $1.9 trillion in assets under management. BNY Mellon operates its investment Services which is 60 percent of its revenue and Investment Management which is 25 percent of its revenue along with Other Segment which is 15 percent of its revenue.

Section II

Record Maintenance Arrangements I Business Arrangements I Control Persons I Financings

(Check one)Radio button checked Item 13A   Radio button not checked Item 13B   Radio button not checked Item 14   Radio button not checked Item 15

Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Individual? Radio button not checked Firm   Radio button not checked Individual
Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15).
(Check one)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked Item 15

Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Individual? Radio button not checked Firm   Radio button not checked Individual
Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15).
(Check one)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked Item 15

Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Individual? Radio button not checked Firm   Radio button not checked Individual
Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15).
(Check one)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked Item 15

Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Individual? Radio button not checked Firm   Radio button not checked Individual
Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15).
(Check one)Radio button not checked Item 13A   Radio button not checked Item 13B   Radio button checked Item 14   Radio button not checked Item 15

Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Individual? Radio button not checked Firm   Radio button not checked Individual
Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15).

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