Form N-CEN BNY Mellon Investment For: Sep 30

December 2, 2021 2:29 PM EST

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  X0404
  
    N-CEN
    
      LIVE
      
        
          0000799295
          XXXXXXXX
        
        811-04813
      
      
        false
        false
      
      N-1A
    
    
      
        
          S000011667
          
            C000032018
          
          
            C000130464
          
          
            C000075532
          
          
            C000075531
          
        
        
          S000011511
          
            C000031772
          
          
            C000130462
          
          
            C000062294
          
          
            C000062293
          
        
        
          S000011353
          
            C000031459
          
          
            C000075525
          
          
            C000075526
          
          
            C000136807
          
        
        
          S000011499
          
            C000031760
          
          
            C000130460
          
          
            C000075528
          
          
            C000075527
          
          
            C000193013
          
        
        
          S000011515
          
            C000031776
          
          
            C000130463
          
        
        
          S000011516
          
            C000031777
          
          
            C000171545
          
          
            C000123289
          
          
            C000171546
          
        
      
    
  
  
    
    
      BNY Mellon Investment Funds I
      811-04813
      0000799295
      5493000M3XIJVKIWWS65
      240 Greenwich Street
      New York
      10286-1048
      US-NY
      US
      212.922.6400
      
        
      
      
        
          BNY Mellon Investment Adviser, Inc.
          200 Park Avenue
          New York
          
          10166-0039
          212.922.6400
          Compliance policies and procedures and related items.
        
        
          BNY Mellon Investment Adviser, Inc.
          240 Greenwich Street
          New York
          
          10286-1048
          212.922.6400
          Organizational documents, board meeting minutes and materials, SEC filings and administration and accounting records.
        
        
          The Bank of New York Mellon
          103 Bellevue Parkway
          Wilmington
          
          19809-3701
          212.495.1784
          Administration and accounting records.
        
        
          The Bank of New York Mellon
          240 Greenwich Street
          New York
          
          10286-1048
          212.495.1784
          Records relating to custody of fund assets, and, for BNY Mellon Tax Sensitive Total Return Bond Fund, records relating to the servicing of certain loans.
        
        
          The Bank of New York Mellon
          One Mellon Bank Center
          Pittsburgh
          
          15258-0001
          212.495.1784
          Records relating to custody of fund assets, and, for BNY Mellon Tax Sensitive Total Return Bond Fund, records relating to the servicing of certain loans.
        
        
          BNY Mellon Securities Corporation
          240 Greenwich Street
          New York
          
          10286-1048
          212.922.6400
          Records relating to advertising and sales materials.
        
        
          BNY Mellon Transfer, Inc.
          240 Greenwich Street
          New York
          
          10286-1048
          212.922.6400
          Records relating to the record holders of fund shares and purchases and sales of fund shares.
        
        
          BNY Mellon Investment Servicing (US), Inc.
          4400 Computer Drive
          Westborough
          
          01581-1722
          800.441.9800
          Records relating to the record holders of fund shares and purchases and sales of fund shares.
        
        
          Newton Investment Management North America LLC
          BNY Mellon Center, One Boston Place
          Boston
          
          02108-4400
          617.722.7250
          With respect to BNY Mellon Diversified Emerging Markets Fund, BNY Mellon Small Cap Growth Fund, BNY Mellon Small Cap Value Fund and BNY Mellon Small/Mid Cap Growth Fund, records relating to decisions to buy/sell securities and the execution thereof.
        
        
          Insight North America LLC
          200 Park Avenue, 7th Floor
          New York
          
          10166-0005
          212.527.1800
          With respect to BNY Mellon Tax Sensitive Total Return Bond Fund, records relating to decisions to buy/sell securities and the execution thereof.
        
        
          Newton Investment Management Limited
          60 Queen Victoria Street
          London
          GB
          EC4V 4LA
          44.020.7163.9000
          With respect to BNY Mellon International Equity Fund, records relating to decisions to buy/sell securities and the execution thereof.
        
      
      N
      N
      
      N-1A
      7
      Y
      
        
          Stephen J. Lockwood
          N/A
          N
          
            
            
            
            
            
            
          
        
        
          Joseph S. DiMartino
          N/A
          N
          
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
          
        
        
          Benaree Pratt Wiley
          N/A
          N
          
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
          
        
        
          Andrew J. Donohue
          N/A
          N
          
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
          
        
        
          Bradley J. Skapyak
          002783620
          Y
          
            
            
            
            
            
            
          
        
        
          Kenneth A. Himmel
          N/A
          N
          
            
            
            
            
            
            
          
        
        
          Roslyn M. Watson
          N/A
          N
          
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
          
        
        
          Francine J. Bovich
          N/A
          N
          
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
            
          
        
      
      
        
          Joseph W. Connolly
          001144952
          200 Park Avenue
          New York
          
          10166-0039
          XXXXXX
          N
          
            
          
        
      
      N
      N
      N
      N
      
      N
      
        
        
      
      
        
          BNY Mellon Securities Corporation
          008-13801
          000000231
          N/A
          
          Y
        
      
      N
      
        
          KPMG LLP
          00185
          5493003PVCIGA21K0K42
          
        
      
      N
      N
      N
      N
      N
      N
      
        
        
        
      
    
    
      
        BNY Mellon Small Cap Value Fund
        S000011516
        549300FZO68JY5H1ES45
        N
        4
        0
        0
        
          
          
          
          
        
        N/A
        N
        N
        Y
        
          N
          N
        
        
          
            The Bank of New York Mellon
            HPFHU0OQ28E4N0NFVK49
            Y
            
              
                
              
              N
            
          
        
        
          
        
        
          Revenue sharing split
        
        19218260.26
        263606.09
        
          Rule 12d1-1 (17 CFR 270.12d1-1)
          Rule 22d-1 (17 CFR 270.22d-1)
          Rule 32a-4 (17 CFR 270.32a-4)
        
        Y
        N
        N
        N
        
          
            BNY Mellon Investment Adviser, Inc.
            801-8147
            000105642
            54930067A504FBYASH16
            
            N
          
        
        
          
            Newton Investment Management North America, LLC
            801-120501
            000312937
            549300USELNALQ9OYY51
            Y
            
            
          
        
        
          
            BNY Mellon Transfer, Inc.
            84-06102
            N/A
            
            Y
            N
          
          
            BNY Mellon Investment Servicing (US) Inc.
            84-01761
            549300CFZQLI9QMJ1Z03
            
            Y
            Y
          
        
        N
        
          
            ICE Data Pricing & Reference Data, LLC
            N/A
            TIN: 13-3668779
            
            N
          
        
        N
        
          
            The Bank of New York Mellon
            HPFHU0OQ28E4N0NFVK49
            
            Y
            N
            Self - rule 17f-2 (17 CFR 270.17f-2)
          
          
            Skandinaviska Enskilda Banken AB (Publ)
            F3JS33DEI6XQ4ZBPTN86
            DK
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Depository and Clearing Centre (DCC) Deutsche Bank AG, London Branch
            N/A
            GB
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Depository and Clearing Centre (DCC) Deutsche Bank AG, London Branch
            HPFHU0OQ28E4N0NFVK49
            GB
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            The Bank of New York Mellon
            N/A
            IE
            Y
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Skandinaviska Enskilda Banken AB (Publ)
            F3JS33DEI6XQ4ZBPTN86
            NO
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Citibank Europe Plc
            N1FBEDJ5J41VKZLO2475
            PT
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Skandinaviska Enskilda Banken AB (Publ)
            F3JS33DEI6XQ4ZBPTN86
            SE
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
        
        N
        
          
            BNY Mellon Transfer, Inc.
            84-06102
            
            Y
            N
          
        
        N
        
          
            BNY Mellon Investment Adviser, Inc.
            54930067A504FBYASH16
            
            Y
            N
          
          
            The Bank of New York Mellon
            HPFHU0OQ28E4N0NFVK49
            
            Y
            Y
          
        
        N
        
          
            BNY Mellon Capital Markets, LLC
            008-35255
            000017454
            VJW2DOOHGDT6PR0ZRO63
            
            0.00
          
          
            Hedgemark Securities, LLC
            008-69106
            000164503
            N/A
            
            0.00
          
          
            BNY Mellon Securities Corporation
            008-13801
            000000231
            N/A
            
            0.00
          
          
            Pershing Advisor Solutions LLC
            008-47425
            000036671
            549300KTC63JRN36GZ84
            
            0.00
          
          
            Pershing LLC
            008-17574
            000007560
            ZI8Q1A8EI8LQFJNM0D94
            
            0.00
          
          
            BNY Mellon Asset Management Canada Ltd.
            008-00000
            N/A
            N/A
            CA
            0.00
          
          
            BNY Mellon Capital Markets EMEA Limited
            008-00000
            N/A
            213800O5FBGOWU89LN14
            GB
            0.00
          
          
            BNY Mellon Investment Management Australia Limited
            008-00000
            N/A
            2ZQTMYGDRJZ57CRSPU33
            AU
            0.00
          
          
            BNY Mellon Investment Management EMEA Limited
            008-00000
            N/A
            213800X5NCNIAF9USD75
            GB
            0.00
          
          
            BNY Mellon Investment Management Hong Kong Limited
            008-00000
            000169689
            N/A
            HK
            0.00
          
          
            BNY MELLON SERVICOS FINACEIROS DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS (DTVM) S.A
            008-00000
            N/A
            N/A
            BR
            0.00
          
          
            BNY Mellon Wealth Management, Advisory Services, Inc.
            008-00000
            N/A
            N/A
            CA
            0.00
          
          
            Pershing (Channel Islands) Limited
            008-00000
            N/A
            2138009CM5DCI2OQW132
            GB
            0.00
          
          
            Pershing Limited
            008-00000
            N/A
            213800R6YVGU4VP7XK84
            GB
            0.00
          
          
            Pershing Securities Australia Pty Limited
            008-00000
            N/A
            5493008201YNLL3CPG58
            AU
            0.00
          
          
            Pershing Securities Canada Limited
            008-00000
            N/A
            5493000WV47FDC28QG89
            CA
            0.00
          
          
            Pershing Securities International Limited
            008-00000
            N/A
            549300PPJGN9E26TI110
            IE
            0.00
          
          
            Pershing Securities Limited
            008-00000
            N/A
            549300NC3GURN0AEZU06
            GB
            0.00
          
          
            The Bank of New York Mellon Securities Company Japan Limited
            008-00000
            N/A
            N/A
            JP
            0.00
          
          
            The Bank of New York Mellon, S.A., Institucion de Banca Multiple
            008-00000
            N/A
            N/A
            MX
            0.00
          
          
            BNY Mellon Fund Management (Luxemboug), S.A.
            008-00000
            000283267
            5N2ES2M2WGR2TO0Q5G40
            LU
            0.00
          
          
            Pershing Securities Singapore Private Limited
            008-00000
            N/A
            N/A
            SG
            0.00
          
        
        
          
            RBC CAPITAL MARKETS, LLC
            008-45411
            000031194
            549300LCO2FLSSVFFR64
            
            24462.17
          
          
            STIFEL, NICOLAUS & COMPANY, INCORPORATED
            008-01447
            000000793
            5WUVMA08EYG4KEUPW589
            
            24078.75
          
          
            PIPER JAFFRAY & CO.
            008-15204
            000000665
            QUQDBTUSOAKFEVMRMF78
            
            21597.83
          
          
            RAYMOND JAMES & ASSOCIATES, INC.
            008-10999
            000000705
            U4ONQX15J3RO8XCKE979
            
            20952.81
          
          
            KEYBANC CAPITAL MARKETS INC.
            008-30177
            000000566
            2EQWV0180Z211YVAD813
            
            14470.45
          
          
            NATIONAL FINANCIAL SERVICES LLC
            008-26740
            000013041
            549300JRHF1MHHWUAW04
            
            14248.44
          
          
            WELLS FARGO SECURITIES, LLC
            008-65876
            000126292
            VYVVCKR63DVZZN70PB21
            
            11348.26
          
          
            JEFFERIES LLC
            008-15074
            000002347
            58PU97L1C0WSRCWADL48
            
            9594.72
          
          
            J.P. MORGAN SECURITIES LLC
            008-35008
            000000079
            ZBUT11V806EZRVTWT807
            
            9095.18
          
          
            MORGAN STANLEY & CO. LLC
            008-15869
            000008209
            9R7GPTSO7KV3UQJZQ078
            
            9063.49
          
        
        203311.52
        
          
            PIPER JAFFRAY & CO.
            008-15204
            000000665
            QUQDBTUSOAKFEVMRMF78
            
            35247580.68
          
          
            STIFEL, NICOLAUS & COMPANY, INCORPORATED
            008-01447
            000000793
            5WUVMA08EYG4KEUPW589
            
            27120405.38
          
          
            JEFFERIES LLC
            008-15074
            000002347
            58PU97L1C0WSRCWADL48
            
            22765001.13
          
          
            RAYMOND JAMES & ASSOCIATES, INC.
            008-10999
            000000705
            U4ONQX15J3RO8XCKE979
            
            20726613.98
          
          
            NATIONAL FINANCIAL SERVICES LLC
            008-26740
            000013041
            549300JRHF1MHHWUAW04
            
            17794276.20
          
          
            SUSQUEHANNA FINANCIAL GROUP, LLLP
            008-44325
            000035865
            549300E8QX0ZMRDC2M81
            
            13173824.74
          
          
            MORGAN STANLEY & CO. LLC
            008-15869
            000008209
            9R7GPTSO7KV3UQJZQ078
            
            11554055.65
          
          
            RBC CAPITAL MARKETS, LLC
            008-45411
            000031194
            549300LCO2FLSSVFFR64
            
            9959634.86
          
          
            GOLDMAN SACHS & CO. LLC
            008-00129
            000000361
            FOR8UP27PHTHYVLBNG30
            
            9662108.81
          
          
            KEYBANC CAPITAL MARKETS INC.
            008-30177
            000000566
            2EQWV0180Z211YVAD813
            
            9651686.95
          
        
        232858694.49
        Y
        193654827.00
        
          
            
              Committed
              688500000.00
              
                
              
              
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
              
              
            
            
              Uncommitted
              300000000.00
              
                
              
              
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
              
              N
            
          
        
        N
        N
        N
      
      
        BNY Mellon Small Cap Growth Fund
        S000011515
        5493002GYK735UZMNA56
        N
        2
        0
        0
        
          
          
        
        N/A
        N
        N
        Y
        
          N
          N
        
        
          
            The Bank of New York Mellon
            HPFHU0OQ28E4N0NFVK49
            Y
            
              
                
              
              N
            
          
        
        
          
        
        
          Revenue sharing split
        
        8433375.80
        80343.55
        
          Rule 12d1-1 (17 CFR 270.12d1-1)
          Rule 32a-4 (17 CFR 270.32a-4)
        
        Y
        Y
        N
        N
        
          
            BNY Mellon Investment Adviser, Inc.
            801-8147
            000105642
            54930067A504FBYASH16
            
            N
          
        
        
          
            Newton Investment Management North America, LLC
            801-120501
            000312937
            549300USELNALQ9OYY51
            Y
            
            
          
        
        
          
            BNY Mellon Transfer, Inc.
            84-06102
            N/A
            
            Y
            N
          
          
            BNY Mellon Investment Servicing (US) Inc.
            84-01761
            549300CFZQLI9QMJ1Z03
            
            Y
            Y
          
        
        N
        
          
            ICE Data Pricing & Reference Data, LLC
            N/A
            TIN: 13-3668779
            
            N
          
        
        N
        
          
            The Bank of New York Mellon
            HPFHU0OQ28E4N0NFVK49
            
            Y
            N
            Self - rule 17f-2 (17 CFR 270.17f-2)
          
          
            Skandinaviska Enskilda Banken AB (Publ)
            F3JS33DEI6XQ4ZBPTN86
            DK
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Depository and Clearing Centre (DCC) Deutsche Bank AG, London Branch
            N/A
            GB
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Depository and Clearing Centre (DCC) Deutsche Bank AG, London Branch
            HPFHU0OQ28E4N0NFVK49
            GB
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            The Bank of New York Mellon
            N/A
            IE
            Y
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Skandinaviska Enskilda Banken AB (Publ)
            F3JS33DEI6XQ4ZBPTN86
            NO
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Citibank Europe Plc
            N1FBEDJ5J41VKZLO2475
            PT
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Skandinaviska Enskilda Banken AB (Publ)
            F3JS33DEI6XQ4ZBPTN86
            SE
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
        
        N
        
          
            BNY Mellon Transfer, Inc.
            84-06102
            
            Y
            N
          
        
        N
        
          
            BNY Mellon Investment Adviser, Inc.
            54930067A504FBYASH16
            
            Y
            N
          
          
            The Bank of New York Mellon
            HPFHU0OQ28E4N0NFVK49
            
            Y
            Y
          
        
        N
        
          
            BNY Mellon Capital Markets, LLC
            008-35255
            000017454
            VJW2DOOHGDT6PR0ZRO63
            
            0.00
          
          
            Hedgemark Securities, LLC
            008-69106
            000164503
            N/A
            
            0.00
          
          
            BNY Mellon Securities Corporation
            008-13801
            000000231
            N/A
            
            0.00
          
          
            Pershing Advisor Solutions LLC
            008-47425
            000036671
            549300KTC63JRN36GZ84
            
            0.00
          
          
            Pershing LLC
            008-17574
            000007560
            ZI8Q1A8EI8LQFJNM0D94
            
            0.00
          
          
            BNY Mellon Asset Management Canada Ltd.
            008-00000
            N/A
            N/A
            CA
            0.00
          
          
            BNY Mellon Capital Markets EMEA Limited
            008-00000
            N/A
            213800O5FBGOWU89LN14
            GB
            0.00
          
          
            BNY Mellon Investment Management Australia Limited
            008-00000
            N/A
            2ZQTMYGDRJZ57CRSPU33
            AU
            0.00
          
          
            BNY Mellon Investment Management EMEA Limited
            008-00000
            N/A
            213800X5NCNIAF9USD75
            GB
            0.00
          
          
            BNY Mellon Investment Management Hong Kong Limited
            008-00000
            000169689
            N/A
            HK
            0.00
          
          
            BNY MELLON SERVICOS FINACEIROS DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS (DTVM) S.A
            008-00000
            N/A
            N/A
            BR
            0.00
          
          
            BNY Mellon Wealth Management, Advisory Services, Inc.
            008-00000
            N/A
            N/A
            CA
            0.00
          
          
            Pershing (Channel Islands) Limited
            008-00000
            N/A
            2138009CM5DCI2OQW132
            GB
            0.00
          
          
            Pershing Limited
            008-00000
            N/A
            213800R6YVGU4VP7XK84
            GB
            0.00
          
          
            Pershing Securities Australia Pty Limited
            008-00000
            N/A
            5493008201YNLL3CPG58
            AU
            0.00
          
          
            Pershing Securities Canada Limited
            008-00000
            N/A
            5493000WV47FDC28QG89
            CA
            0.00
          
          
            Pershing Securities International Limited
            008-00000
            N/A
            549300PPJGN9E26TI110
            IE
            0.00
          
          
            Pershing Securities Limited
            008-00000
            N/A
            549300NC3GURN0AEZU06
            GB
            0.00
          
          
            The Bank of New York Mellon Securities Company Japan Limited
            008-00000
            N/A
            N/A
            JP
            0.00
          
          
            The Bank of New York Mellon, S.A., Institucion de Banca Multiple
            008-00000
            N/A
            N/A
            MX
            0.00
          
          
            BNY Mellon Fund Management (Luxemboug), S.A.
            008-00000
            000283267
            5N2ES2M2WGR2TO0Q5G40
            LU
            0.00
          
          
            Pershing Securities Singapore Private Limited
            008-00000
            N/A
            N/A
            SG
            0.00
          
        
        
          
            PIPER JAFFRAY & CO.
            008-15204
            000000665
            QUQDBTUSOAKFEVMRMF78
            
            8488.00
          
          
            NATIONAL FINANCIAL SERVICES LLC
            008-26740
            000013041
            549300JRHF1MHHWUAW04
            
            2813.00
          
          
            RAYMOND JAMES & ASSOCIATES, INC.
            008-10999
            000000705
            U4ONQX15J3RO8XCKE979
            
            1850.00
          
          
            MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
            008-07221
            000007691
            8NAV47T0Y26Q87Y0QP81
            
            1567.00
          
          
            GOLDMAN SACHS & CO. LLC
            008-00129
            000000361
            FOR8UP27PHTHYVLBNG30
            
            1311.00
          
          
            J.P. MORGAN SECURITIES LLC
            008-35008
            000000079
            ZBUT11V806EZRVTWT807
            
            1188.00
          
          
            JEFFERIES LLC
            008-15074
            000002347
            58PU97L1C0WSRCWADL48
            
            1100.00
          
          
            STIFEL, NICOLAUS & COMPANY, INCORPORATED
            008-01447
            000000793
            5WUVMA08EYG4KEUPW589
            
            898.00
          
          
            LEERINK PARTNERS LLC
            008-48535
            000039011
            549300AAH7U76CEUBI94
            
            700.00
          
          
            KEYBANC CAPITAL MARKETS INC.
            008-30177
            000000566
            2EQWV0180Z211YVAD813
            
            595.00
          
        
        24155.00
        
          
            PIPER JAFFRAY & CO.
            008-15204
            000000665
            QUQDBTUSOAKFEVMRMF78
            
            23883122.00
          
          
            MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
            008-07221
            000007691
            8NAV47T0Y26Q87Y0QP81
            
            4629664.00
          
          
            NATIONAL FINANCIAL SERVICES LLC
            008-26740
            000013041
            549300JRHF1MHHWUAW04
            
            3756306.00
          
          
            JEFFERIES LLC
            008-15074
            000002347
            58PU97L1C0WSRCWADL48
            
            2405607.00
          
          
            RAYMOND JAMES & ASSOCIATES, INC.
            008-10999
            000000705
            U4ONQX15J3RO8XCKE979
            
            2043058.00
          
          
            J.P. MORGAN SECURITIES LLC
            008-35008
            000000079
            ZBUT11V806EZRVTWT807
            
            1445384.00
          
          
            STIFEL, NICOLAUS & COMPANY, INCORPORATED
            008-01447
            000000793
            5WUVMA08EYG4KEUPW589
            
            1188451.00
          
          
            GOLDMAN SACHS & CO. LLC
            008-00129
            000000361
            FOR8UP27PHTHYVLBNG30
            
            1157994.00
          
          
            ROBERT W. BAIRD & CO. INCORPORATED
            008-00497
            000008158
            549300772UJAHRD6LO53
            
            1130339.00
          
          
            KEYBANC CAPITAL MARKETS INC.
            008-30177
            000000566
            2EQWV0180Z211YVAD813
            
            972412.00
          
        
        47939063.00
        Y
        36033339.00
        
          
            
              Committed
              688500000.00
              
                
              
              
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
              
              N
            
            
              Uncommitted
              300000000.00
              
                
              
              
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
              
              N
            
          
        
        N
        N
        N
      
      
        BNY Mellon Tax Sensitive Total Return Bond Fund
        S000011667
        OS8N1FO3Z7NH4943QF88
        N
        4
        0
        0
        
          
          
          
          
        
        N/A
        N
        N
        Y
        N
        
          
            The Bank of New York Mellon
            HPFHU0OQ28E4N0NFVK49
            Y
            
              
                
              
              N
            
          
        
        
          
        
        
          Revenue sharing split
        
        0.00
        0.00
        
          Rule 12d1-1 (17 CFR 270.12d1-1)
          Rule 22d-1 (17 CFR 270.22d-1)
          Rule 32a-4 (17 CFR 270.32a-4)
        
        Y
        Y
        N
        N
        
          
            BNY Mellon Investment Adviser, Inc.
            801-8147
            000105642
            54930067A504FBYASH16
            
            N
          
        
        
          
            Insight North America, LLC
            801-69964
            000145995
            213800YYX7MQCCEN9439
            Y
            
            
          
        
        
          
            Mellon Investments Corporation
            801-19785
            000105764
            YP72O3NKHJPQEEM7IG98
            
            2021-08-31
          
        
        
          
            BNY Mellon Transfer, Inc.
            84-06102
            N/A
            
            Y
            N
          
          
            BNY Mellon Investment Servicing (US) Inc.
            84-01761
            549300CFZQLI9QMJ1Z03
            
            Y
            Y
          
        
        N
        
          
            ICE Data Pricing & Reference Data, LLC
            N/A
            TIN: 13-3668779
            
            N
          
        
        N
        
          
            The Bank of New York Mellon
            HPFHU0OQ28E4N0NFVK49
            
            Y
            N
            Self - rule 17f-2 (17 CFR 270.17f-2)
          
          
            Skandinaviska Enskilda Banken AB (Publ)
            F3JS33DEI6XQ4ZBPTN86
            DK
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Depository and Clearing Centre (DCC) Deutsche Bank AG, London Branch
            N/A
            GB
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Depository and Clearing Centre (DCC) Deutsche Bank AG, London Branch
            HPFHU0OQ28E4N0NFVK49
            GB
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            The Bank of New York Mellon
            N/A
            IE
            Y
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Skandinaviska Enskilda Banken AB (Publ)
            F3JS33DEI6XQ4ZBPTN86
            NO
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Citibank Europe Plc
            N1FBEDJ5J41VKZLO2475
            PT
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Skandinaviska Enskilda Banken AB (Publ)
            F3JS33DEI6XQ4ZBPTN86
            SE
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
        
        N
        
          
            BNY Mellon Transfer, Inc.
            84-06102
            
            Y
            N
          
        
        N
        
          
            BNY Mellon Investment Adviser, Inc.
            54930067A504FBYASH16
            
            Y
            N
          
          
            The Bank of New York Mellon
            HPFHU0OQ28E4N0NFVK49
            
            Y
            Y
          
        
        N
        
          
            BNY Mellon Capital Markets, LLC
            008-35255
            000017454
            VJW2DOOHGDT6PR0ZRO63
            
            0.00
          
          
            Hedgemark Securities, LLC
            008-69106
            000164503
            N/A
            
            0.00
          
          
            BNY Mellon Securities Corporation
            008-13801
            000000231
            N/A
            
            0.00
          
          
            Pershing Advisor Solutions LLC
            008-47425
            000036671
            549300KTC63JRN36GZ84
            
            0.00
          
          
            Pershing LLC
            008-17574
            000007560
            ZI8Q1A8EI8LQFJNM0D94
            
            0.00
          
          
            BNY Mellon Asset Management Canada Ltd.
            008-00000
            N/A
            N/A
            CA
            0.00
          
          
            BNY Mellon Capital Markets EMEA Limited
            008-00000
            N/A
            213800O5FBGOWU89LN14
            GB
            0.00
          
          
            BNY Mellon Investment Management Australia Limited
            008-00000
            N/A
            2ZQTMYGDRJZ57CRSPU33
            AU
            0.00
          
          
            BNY Mellon Investment Management EMEA Limited
            008-00000
            N/A
            213800X5NCNIAF9USD75
            GB
            0.00
          
          
            BNY Mellon Investment Management Hong Kong Limited
            008-00000
            000169689
            N/A
            HK
            0.00
          
          
            BNY MELLON SERVICOS FINACEIROS DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS (DTVM) S.A
            008-00000
            N/A
            N/A
            BR
            0.00
          
          
            BNY Mellon Wealth Management, Advisory Services, Inc.
            008-00000
            N/A
            N/A
            CA
            0.00
          
          
            Pershing (Channel Islands) Limited
            008-00000
            N/A
            2138009CM5DCI2OQW132
            GB
            0.00
          
          
            Pershing Limited
            008-00000
            N/A
            213800R6YVGU4VP7XK84
            GB
            0.00
          
          
            Pershing Securities Australia Pty Limited
            008-00000
            N/A
            5493008201YNLL3CPG58
            AU
            0.00
          
          
            Pershing Securities Canada Limited
            008-00000
            N/A
            5493000WV47FDC28QG89
            CA
            0.00
          
          
            Pershing Securities International Limited
            008-00000
            N/A
            549300PPJGN9E26TI110
            IE
            0.00
          
          
            Pershing Securities Limited
            008-00000
            N/A
            549300NC3GURN0AEZU06
            GB
            0.00
          
          
            The Bank of New York Mellon Securities Company Japan Limited
            008-00000
            N/A
            N/A
            JP
            0.00
          
          
            The Bank of New York Mellon, S.A., Institucion de Banca Multiple
            008-00000
            N/A
            N/A
            MX
            0.00
          
          
            BNY Mellon Fund Management (Luxemboug), S.A.
            008-00000
            000283267
            5N2ES2M2WGR2TO0Q5G40
            LU
            0.00
          
          
            Pershing Securities Singapore Private Limited
            008-00000
            N/A
            N/A
            SG
            0.00
          
        
        0.00
        
          
            BARCLAYS CAPITAL INC.
            008-41342
            000019714
            AC28XWWI3WIBK2824319
            
            9667602.00
          
          
            CITIGROUP GLOBAL MARKETS INC.
            008-08177
            000007059
            MBNUM2BPBDO7JBLYG310
            
            8417647.00
          
          
            STIFEL, NICOLAUS & COMPANY, INCORPORATED
            008-01447
            000000793
            5WUVMA08EYG4KEUPW589
            
            7503930.00
          
          
            MORGAN STANLEY & CO. LLC
            008-15869
            000008209
            9R7GPTSO7KV3UQJZQ078
            
            6098987.00
          
          
            J.P. MORGAN SECURITIES LLC
            008-35008
            000000079
            ZBUT11V806EZRVTWT807
            
            5875141.00
          
          
            SIEBERT CISNEROS SHANK & CO., L.L.C.
            008-49877
            000042568
            254900VTARX8RAY9QK77
            
            4118763.00
          
          
            MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
            008-07221
            000007691
            8NAV47T0Y26Q87Y0QP81
            
            3482337.00
          
          
            RBC CAPITAL MARKETS, LLC
            008-45411
            000031194
            549300LCO2FLSSVFFR64
            
            2424849.00
          
          
            RAYMOND JAMES & ASSOCIATES, INC.
            008-10999
            000000705
            U4ONQX15J3RO8XCKE979
            
            2323419.00
          
          
            MESIROW FINANCIAL, INC.
            008-28816
            000002764
            549300BIV46SUHPOFE54
            
            1754845.00
          
        
        70663895.00
        N
        96354204.00
        
          
            
              Committed
              688500000.00
              
                
              
              
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
              
              N
            
            
              Uncommitted
              300000000.00
              
                
              
              
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
              
              N
            
          
        
        N
        N
        N
      
      
        BNY Mellon International Equity Fund
        S000011511
        549300WQE56OLIWHGM40
        N
        4
        0
        0
        
          
          
          
          
        
        N/A
        N
        N
        Y
        
          N
          N
        
        
          
            The Bank of New York Mellon
            HPFHU0OQ28E4N0NFVK49
            Y
            
              
                
              
              N
            
          
        
        
          
        
        
          Revenue sharing split
        
        642957.50
        2436.53
        
          Rule 12d1-1 (17 CFR 270.12d1-1)
          Rule 22d-1 (17 CFR 270.22d-1)
          Rule 32a-4 (17 CFR 270.32a-4)
        
        Y
        Y
        N
        N
        
          
            BNY Mellon Investment Adviser, Inc.
            801-8147
            000105642
            54930067A504FBYASH16
            
            N
          
        
        
          
            Newton Investment Management Limited
            801-42114
            000111208
            VMMM74BJK67DIRDE9J26
            Y
            GB
            N
          
        
        
          
            BNY Mellon Transfer, Inc.
            84-06102
            N/A
            
            Y
            N
          
          
            BNY Mellon Investment Servicing (US) Inc.
            84-01761
            549300CFZQLI9QMJ1Z03
            
            Y
            Y
          
        
        N
        
          
            ICE Data Pricing & Reference Data, LLC
            N/A
            TIN: 13-3668779
            
            N
          
          
            ITG Analytics, Inc.
            N/A
            TIN: 76-0809350
            
            N
          
        
        N
        
          
            The Bank of New York Mellon
            HPFHU0OQ28E4N0NFVK49
            
            Y
            N
            Self - rule 17f-2 (17 CFR 270.17f-2)
          
          
            Citibank N.A., Brazil
            6SHGI4ZSSLCXXQSBB395
            BR
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Banco de Chile
            8B4EZFY8IHJC44TT2K84
            CL
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Skandinaviska Enskilda Banken AB (Publ)
            F3JS33DEI6XQ4ZBPTN86
            DK
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Depository and Clearing Centre (DCC) Deutsche Bank AG, London Branch
            N/A
            GB
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Depository and Clearing Centre (DCC) Deutsche Bank AG, London Branch
            HPFHU0OQ28E4N0NFVK49
            GB
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            BNP Paribas Securities Services
            R0MUWSFPU8MPRO8K5P83
            GR
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Deutsche Bank AG
            7LTWFZYICNSX8D621K86
            ID
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Bank Hapoalim B.M.
            B6ARUI4946ST4S7WOU88
            IL
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Deutsche Bank AG
            7LTWFZYICNSX8D621K86
            IN
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            The Hongkong and Shanghai Banking CorporationLimited
            7LTWFZYICNSX8D621K86
            KR
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Deutsche Bank (Malaysia) Berhad
            529900DLWFR8HK7DR278
            MY
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Skandinaviska Enskilda Banken AB (Publ)
            F3JS33DEI6XQ4ZBPTN86
            NO
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Deutsche Bank AG
            7LTWFZYICNSX8D621K86
            PH
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Bank Polska Kasa Opieki S.A.
            5493000LKS7B3UTF7H35
            PL
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Citibank Europe Plc
            N1FBEDJ5J41VKZLO2475
            PT
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Skandinaviska Enskilda Banken AB (Publ)
            F3JS33DEI6XQ4ZBPTN86
            SE
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            The Hongkong and Shanghai Banking CorporationLimited
            MLU0ZO3ML4LN2LL2TL39
            TH
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            HSBC Bank (Taiwan) Limited
            549300SG184IVNYDMN03
            TW
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
        
        N
        
          
            BNY Mellon Transfer, Inc.
            84-06102
            
            Y
            N
          
        
        N
        
          
            BNY Mellon Investment Adviser, Inc.
            54930067A504FBYASH16
            
            Y
            N
          
          
            The Bank of New York Mellon
            HPFHU0OQ28E4N0NFVK49
            
            Y
            Y
          
        
        N
        
          
            BNY Mellon Capital Markets, LLC
            008-35255
            000017454
            VJW2DOOHGDT6PR0ZRO63
            
            0.00
          
          
            Hedgemark Securities, LLC
            008-69106
            000164503
            N/A
            
            0.00
          
          
            BNY Mellon Securities Corporation
            008-13801
            000000231
            N/A
            
            0.00
          
          
            Pershing Advisor Solutions LLC
            008-47425
            000036671
            549300KTC63JRN36GZ84
            
            0.00
          
          
            Pershing LLC
            008-17574
            000007560
            ZI8Q1A8EI8LQFJNM0D94
            
            0.00
          
          
            BNY Mellon Asset Management Canada Ltd.
            008-00000
            N/A
            N/A
            CA
            0.00
          
          
            BNY Mellon Capital Markets EMEA Limited
            008-00000
            N/A
            213800O5FBGOWU89LN14
            GB
            0.00
          
          
            BNY Mellon Investment Management Australia Limited
            008-00000
            N/A
            2ZQTMYGDRJZ57CRSPU33
            AU
            0.00
          
          
            BNY Mellon Investment Management EMEA Limited
            008-00000
            N/A
            213800X5NCNIAF9USD75
            GB
            0.00
          
          
            BNY Mellon Investment Management Hong Kong Limited
            008-00000
            000169689
            N/A
            HK
            0.00
          
          
            BNY MELLON SERVICOS FINACEIROS DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS (DTVM) S.A
            008-00000
            N/A
            N/A
            BR
            0.00
          
          
            BNY Mellon Wealth Management, Advisory Services, Inc.
            008-00000
            N/A
            N/A
            CA
            0.00
          
          
            Pershing (Channel Islands) Limited
            008-00000
            N/A
            2138009CM5DCI2OQW132
            GB
            0.00
          
          
            Pershing Limited
            008-00000
            N/A
            213800R6YVGU4VP7XK84
            GB
            0.00
          
          
            Pershing Securities Australia Pty Limited
            008-00000
            N/A
            5493008201YNLL3CPG58
            AU
            0.00
          
          
            Pershing Securities Canada Limited
            008-00000
            N/A
            5493000WV47FDC28QG89
            CA
            0.00
          
          
            Pershing Securities International Limited
            008-00000
            N/A
            549300PPJGN9E26TI110
            IE
            0.00
          
          
            Pershing Securities Limited
            008-00000
            N/A
            549300NC3GURN0AEZU06
            GB
            0.00
          
          
            The Bank of New York Mellon Securities Company Japan Limited
            008-00000
            N/A
            N/A
            JP
            0.00
          
          
            The Bank of New York Mellon, S.A., Institucion de Banca Multiple
            008-00000
            N/A
            N/A
            MX
            0.00
          
          
            BNY Mellon Fund Management (Luxemboug), S.A.
            008-00000
            000283267
            5N2ES2M2WGR2TO0Q5G40
            LU
            0.00
          
          
            Pershing Securities Singapore Private Limited
            008-00000
            N/A
            N/A
            SG
            0.00
          
        
        
          
            MORGAN STANLEY & CO. LLC
            008-15869
            000008209
            9R7GPTSO7KV3UQJZQ078
            
            36338.00
          
          
            UBS SECURITIES LLC
            008-22651
            000007654
            T6FIZBDPKLYJKFCRVK44
            
            30700.00
          
          
            J.P. MORGAN SECURITIES LLC
            008-35008
            000000079
            ZBUT11V806EZRVTWT807
            
            20169.00
          
          
            MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.
            008-48233
            000038108
            549300PSNQDKPURVCF76
            CA
            17738.00
          
          
            EXANE, INC.
            008-49569
            000041784
            6SDWK6FV8H98XAGSYS75
            
            17630.00
          
          
            MIZUHO SECURITIES USA LLC
            008-37710
            000019647
            7TK5RJIZDFROZCA6XF66
            
            16872.00
          
          
            HSBC SECURITIES (USA) INC.
            008-41562
            000019585
            CYYGQCGNHMHPSMRL3R97
            
            10614.00
          
          
            CITIGROUP GLOBAL MARKETS INC.
            008-08177
            000007059
            MBNUM2BPBDO7JBLYG310
            
            5491.00
          
          
            BARCLAYS CAPITAL INC.
            008-41342
            000019714
            AC28XWWI3WIBK2824319
            
            5374.00
          
          
            INSTINET, LLC
            008-23669
            000007897
            549300MGMN3RKMU8FT57
            
            4345.00
          
        
        188379.00
        
          
            MORGAN STANLEY & CO. LLC
            008-15869
            000008209
            9R7GPTSO7KV3UQJZQ078
            
            88295112.00
          
          
            UBS SECURITIES LLC
            008-22651
            000007654
            T6FIZBDPKLYJKFCRVK44
            
            88143688.00
          
          
            J.P. MORGAN SECURITIES LLC
            008-35008
            000000079
            ZBUT11V806EZRVTWT807
            
            56494915.00
          
          
            EXANE, INC.
            008-49569
            000041784
            6SDWK6FV8H98XAGSYS75
            
            52660810.00
          
          
            MIZUHO SECURITIES USA LLC
            008-37710
            000019647
            7TK5RJIZDFROZCA6XF66
            
            28125717.00
          
          
            CITIGROUP GLOBAL MARKETS INC.
            008-08177
            000007059
            MBNUM2BPBDO7JBLYG310
            
            23959439.00
          
          
            HSBC SECURITIES (USA) INC.
            008-41562
            000019585
            CYYGQCGNHMHPSMRL3R97
            
            14398118.00
          
          
            MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.
            008-48233
            000038108
            549300PSNQDKPURVCF76
            CA
            13996763.00
          
          
            LIQUIDNET, INC.
            008-52461
            000103987
            213800HSKBBO1GCVRG79
            
            12636006.00
          
          
            GOLDMAN SACHS & CO. LLC
            008-00129
            000000361
            FOR8UP27PHTHYVLBNG30
            
            12109069.00
          
        
        442530517.00
        N
        739895726.00
        
          
            
              Committed
              688500000.00
              
                
              
              
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
              
              
            
            
              Uncommitted
              300000000.00
              
                
              
              
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
              
              N
            
          
        
        N
        N
        N
      
      
        BNY Mellon Diversified Emerging Markets Fund
        S000011353
        5493007BTN5QWQ3JI645
        N
        4
        0
        0
        
          
          
          
          
        
        
          Fund of Funds
        
        N
        N
        Y
        
          N
          N
        
        
          
            The Bank of New York Mellon
            HPFHU0OQ28E4N0NFVK49
            Y
            
              
                
              
              N
            
          
        
        
          
        
        
          Revenue sharing split
        
        1346469.82
        5925.04
        
          Rule 12d1-1 (17 CFR 270.12d1-1)
          Rule 22d-1 (17 CFR 270.22d-1)
          Rule 32a-4 (17 CFR 270.32a-4)
        
        Y
        Y
        N
        N
        
          
            BNY Mellon Investment Adviser, Inc.
            801-8147
            000105642
            54930067A504FBYASH16
            
            N
          
        
        
          
            Newton Investment Management North America, LLC
            801-120501
            000312937
            549300USELNALQ9OYY51
            Y
            
            
          
        
        
          
            Mellon Investments Corporation
            801-19785
            000105764
            YP72O3NKHJPQEEM7IG98
            
            2021-08-31
          
        
        
          
            BNY Mellon Transfer, Inc.
            84-06102
            N/A
            
            Y
            N
          
          
            BNY Mellon Investment Servicing (US) Inc.
            84-01761
            549300CFZQLI9QMJ1Z03
            
            Y
            Y
          
        
        N
        
          
            ICE Data Pricing & Reference Data, LLC
            N/A
            TIN: 13-3668779
            
            N
          
          
            ITG Analytics, Inc.
            N/A
            TIN: 76-0809350
            
            N
          
        
        N
        
          
            The Bank of New York Mellon
            HPFHU0OQ28E4N0NFVK49
            
            Y
            N
            Self - rule 17f-2 (17 CFR 270.17f-2)
          
          
            Citibank N.A., Brazil
            6SHGI4ZSSLCXXQSBB395
            BR
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Banco de Chile
            8B4EZFY8IHJC44TT2K84
            CL
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            HSBC Bank (China) Company Limited
            2CZOJRADNJXBLT55G526
            CN
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Cititrust Colombia S.A. Sociedad Fiduciaria
            6SHGI4ZSSLCXXQSBB395
            CO
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            HSBC Bank Egypt S.A.E.
            2138001Q77JDLESS4Y50
            EG
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Depository and Clearing Centre (DCC) Deutsche Bank AG, London Branch
            N/A
            GB
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Depository and Clearing Centre (DCC) Deutsche Bank AG, London Branch
            HPFHU0OQ28E4N0NFVK49
            GB
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Citibank Europe plc. Hungarian Branch Office
            6SHGI4ZSSLCXXQSBB395
            HU
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Deutsche Bank AG
            7LTWFZYICNSX8D621K86
            ID
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Bank Hapoalim B.M.
            B6ARUI4946ST4S7WOU88
            IL
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Deutsche Bank AG
            7LTWFZYICNSX8D621K86
            IN
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            The Hongkong and Shanghai Banking CorporationLimited
            7LTWFZYICNSX8D621K86
            KR
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Deutsche Bank (Malaysia) Berhad
            529900DLWFR8HK7DR278
            MY
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Skandinaviska Enskilda Banken AB (Publ)
            F3JS33DEI6XQ4ZBPTN86
            NO
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Deutsche Bank AG
            7LTWFZYICNSX8D621K86
            PH
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Bank Polska Kasa Opieki S.A.
            5493000LKS7B3UTF7H35
            PL
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            AO Citibank
            HOXMZG026UQNRK6J0C60
            RU
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            The Hongkong and Shanghai Banking CorporationLimited
            MLU0ZO3ML4LN2LL2TL39
            TH
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Deutsche Bank A.S.
            789000N5SE3LWDK7OI11
            TR
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            HSBC Bank (Taiwan) Limited
            549300SG184IVNYDMN03
            TW
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            HSBC Bank Middle East Limited (HBME)
            N/A
            AE
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            HSBC Bank Middle East Limited (HBME)
            MLU0ZO3ML4LN2LL2TL39
            AE
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            The Branch of Citibank, N.A. in the Republic of, Argentina
            579100KKDGKCFFKKF005
            AR
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Citibank Europe plc, organizacni slozka
            6SHGI4ZSSLCXXQSBB395
            CZ
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            BNP Paribas Securities Services
            R0MUWSFPU8MPRO8K5P83
            GR
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Citibank N.A. Hong Kong
            N/A
            HK
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            The Bank of New York Mellon
            N/A
            IE
            Y
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            HSBC Bank Middle East Limited, Kuwait
            MLU0ZO3ML4LN2LL2TL39
            KW
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Deutsche Bank AG
            7LTWFZYICNSX8D621K86
            PK
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Qatar National Bank
            MLU0ZO3ML4LN2LL2TL39
            QA
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            HSBC Saudi Arabia
            558600TQS0WENZUC5190
            SA
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            HSBC Bank (Vietnam) Ltd
            213800H95OG9OHRT4Y78
            VN
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Citibank Maghreb S.A.
            6SHGI4ZSSLCXXQSBB395
            MA
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Citibank del Peru S.A.
            MYTK5NHHP1G8TVFGT193
            PE
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
        
        N
        
          
            BNY Mellon Transfer, Inc.
            84-06102
            
            Y
            N
          
        
        N
        
          
            BNY Mellon Investment Adviser, Inc.
            54930067A504FBYASH16
            
            Y
            N
          
          
            The Bank of New York Mellon
            HPFHU0OQ28E4N0NFVK49
            
            Y
            Y
          
        
        N
        
          
            BNY Mellon Capital Markets, LLC
            008-35255
            000017454
            VJW2DOOHGDT6PR0ZRO63
            
            0.00
          
          
            Hedgemark Securities, LLC
            008-69106
            000164503
            N/A
            
            0.00
          
          
            BNY Mellon Securities Corporation
            008-13801
            000000231
            N/A
            
            0.00
          
          
            Pershing Advisor Solutions LLC
            008-47425
            000036671
            549300KTC63JRN36GZ84
            
            0.00
          
          
            Pershing LLC
            008-17574
            000007560
            ZI8Q1A8EI8LQFJNM0D94
            
            0.00
          
          
            BNY Mellon Asset Management Canada Ltd.
            008-00000
            N/A
            N/A
            CA
            0.00
          
          
            BNY Mellon Capital Markets EMEA Limited
            008-00000
            N/A
            213800O5FBGOWU89LN14
            GB
            0.00
          
          
            BNY Mellon Investment Management Australia Limited
            008-00000
            N/A
            2ZQTMYGDRJZ57CRSPU33
            AU
            0.00
          
          
            BNY Mellon Investment Management EMEA Limited
            008-00000
            N/A
            213800X5NCNIAF9USD75
            GB
            0.00
          
          
            BNY Mellon Investment Management Hong Kong Limited
            008-00000
            000169689
            N/A
            HK
            0.00
          
          
            BNY MELLON SERVICOS FINACEIROS DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS (DTVM) S.A
            008-00000
            N/A
            N/A
            BR
            0.00
          
          
            BNY Mellon Wealth Management, Advisory Services, Inc.
            008-00000
            N/A
            N/A
            CA
            0.00
          
          
            Pershing (Channel Islands) Limited
            008-00000
            N/A
            2138009CM5DCI2OQW132
            GB
            0.00
          
          
            Pershing Limited
            008-00000
            N/A
            213800R6YVGU4VP7XK84
            GB
            0.00
          
          
            Pershing Securities Australia Pty Limited
            008-00000
            N/A
            5493008201YNLL3CPG58
            AU
            0.00
          
          
            Pershing Securities Canada Limited
            008-00000
            N/A
            5493000WV47FDC28QG89
            CA
            0.00
          
          
            Pershing Securities International Limited
            008-00000
            N/A
            549300PPJGN9E26TI110
            IE
            0.00
          
          
            Pershing Securities Limited
            008-00000
            N/A
            549300NC3GURN0AEZU06
            GB
            0.00
          
          
            The Bank of New York Mellon Securities Company Japan Limited
            008-00000
            N/A
            N/A
            JP
            0.00
          
          
            The Bank of New York Mellon, S.A., Institucion de Banca Multiple
            008-00000
            N/A
            N/A
            MX
            0.00
          
          
            BNY Mellon Fund Management (Luxemboug), S.A.
            008-00000
            000283267
            5N2ES2M2WGR2TO0Q5G40
            LU
            0.00
          
          
            Pershing Securities Singapore Private Limited
            008-00000
            N/A
            N/A
            SG
            0.00
          
        
        
          
            J.P. MORGAN SECURITIES LLC
            008-35008
            000000079
            ZBUT11V806EZRVTWT807
            
            89577.00
          
          
            MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
            008-07221
            000007691
            8NAV47T0Y26Q87Y0QP81
            
            39085.00
          
          
            CREDIT SUISSE SECURITIES (USA) LLC
            008-00422
            000000816
            1V8Y6QCX6YMJ2OELII46
            
            11058.00
          
          
            HSBC SECURITIES (USA) INC.
            008-41562
            000019585
            CYYGQCGNHMHPSMRL3R97
            
            8781.00
          
          
            SUSQUEHANNA FINANCIAL GROUP, LLLP
            008-44325
            000035865
            549300E8QX0ZMRDC2M81
            
            6906.00
          
          
            MORGAN STANLEY & CO. LLC
            008-15869
            000008209
            9R7GPTSO7KV3UQJZQ078
            
            3524.00
          
          
            GOLDMAN SACHS & CO. LLC
            008-00129
            000000361
            FOR8UP27PHTHYVLBNG30
            
            3414.00
          
          
            UBS SECURITIES LLC
            008-22651
            000007654
            T6FIZBDPKLYJKFCRVK44
            
            2413.00
          
          
            JEFFERIES LLC
            008-15074
            000002347
            58PU97L1C0WSRCWADL48
            
            1666.00
          
          
            CITIGROUP GLOBAL MARKETS INC.
            008-08177
            000007059
            MBNUM2BPBDO7JBLYG310
            
            1383.00
          
        
        174596.00
        
          
            J.P. MORGAN SECURITIES LLC
            008-35008
            000000079
            ZBUT11V806EZRVTWT807
            
            97384090.00
          
          
            MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
            008-07221
            000007691
            8NAV47T0Y26Q87Y0QP81
            
            40913049.00
          
          
            SUSQUEHANNA FINANCIAL GROUP, LLLP
            008-44325
            000035865
            549300E8QX0ZMRDC2M81
            
            24368406.00
          
          
            HSBC SECURITIES (USA) INC.
            008-41562
            000019585
            CYYGQCGNHMHPSMRL3R97
            
            9308102.00
          
          
            CREDIT SUISSE SECURITIES (USA) LLC
            008-00422
            000000816
            1V8Y6QCX6YMJ2OELII46
            
            9244650.00
          
          
            GOLDMAN SACHS & CO. LLC
            008-00129
            000000361
            FOR8UP27PHTHYVLBNG30
            
            2583527.00
          
          
            MORGAN STANLEY & CO. LLC
            008-15869
            000008209
            9R7GPTSO7KV3UQJZQ078
            
            1796487.00
          
          
            JEFFERIES LLC
            008-15074
            000002347
            58PU97L1C0WSRCWADL48
            
            1700684.00
          
          
            NATIONAL FINANCIAL SERVICES LLC
            008-26740
            000013041
            549300JRHF1MHHWUAW04
            
            1544864.00
          
          
            DAIWA CAPITAL MARKETS AMERICA INC.
            008-12242
            000001576
            M67H5PRC0NQKM73ZAS82
            
            733913.00
          
        
        194012113.00
        Y
        206830984.00
        
          
            
              Committed
              688500000.00
              
                
              
              
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
              
              N
            
            
              Uncommitted
              300000000.00
              
                
              
              
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
              
              N
            
          
        
        N
        N
        N
      
      
        BNY Mellon Small/Mid Cap Growth Fund
        S000011499
        549300DP427BBILWFN87
        N
        5
        0
        0
        
          
          
          
          
          
        
        N/A
        N
        N
        Y
        
          N
          N
        
        
          
            The Bank of New York Mellon
            HPFHU0OQ28E4N0NFVK49
            Y
            
              
                
              
              N
            
          
        
        
          
        
        
          Revenue sharing split
        
        709309801.39
        2149697.07
        
          Rule 12d1-1 (17 CFR 270.12d1-1)
          Rule 22d-1 (17 CFR 270.22d-1)
          Rule 32a-4 (17 CFR 270.32a-4)
        
        N
        N
        N
        N
        
          
            BNY Mellon Investment Adviser, Inc.
            801-8147
            000105642
            54930067A504FBYASH16
            
            N
          
        
        
          
            Newton Investment Management North America, LLC
            801-120501
            000312937
            549300USELNALQ9OYY51
            Y
            
            
          
        
        
          
            Mellon Investments Corporation
            801-19785
            000105764
            YP72O3NKHJPQEEM7IG98
            
            2021-08-31
          
        
        
          
            BNY Mellon Transfer, Inc.
            84-06102
            N/A
            
            Y
            N
          
          
            BNY Mellon Investment Servicing (US) Inc.
            84-01761
            549300CFZQLI9QMJ1Z03
            
            Y
            Y
          
        
        N
        
          
            ICE Data Pricing & Reference Data, LLC
            N/A
            TIN: 13-3668779
            
            N
          
        
        N
        
          
            The Bank of New York Mellon
            HPFHU0OQ28E4N0NFVK49
            
            Y
            N
            Self - rule 17f-2 (17 CFR 270.17f-2)
          
          
            Skandinaviska Enskilda Banken AB (Publ)
            F3JS33DEI6XQ4ZBPTN86
            DK
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Depository and Clearing Centre (DCC) Deutsche Bank AG, London Branch
            N/A
            GB
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Depository and Clearing Centre (DCC) Deutsche Bank AG, London Branch
            HPFHU0OQ28E4N0NFVK49
            GB
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            The Bank of New York Mellon
            N/A
            IE
            Y
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Skandinaviska Enskilda Banken AB (Publ)
            F3JS33DEI6XQ4ZBPTN86
            NO
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Citibank Europe Plc
            N1FBEDJ5J41VKZLO2475
            PT
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
          
            Skandinaviska Enskilda Banken AB (Publ)
            F3JS33DEI6XQ4ZBPTN86
            SE
            N
            Y
            Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
          
        
        N
        
          
            BNY Mellon Transfer, Inc.
            84-06102
            
            Y
            N
          
        
        N
        
          
            BNY Mellon Investment Adviser, Inc.
            54930067A504FBYASH16
            
            Y
            N
          
          
            The Bank of New York Mellon
            HPFHU0OQ28E4N0NFVK49
            
            Y
            Y
          
        
        N
        
          
            BNY Mellon Capital Markets, LLC
            008-35255
            000017454
            VJW2DOOHGDT6PR0ZRO63
            
            0.00
          
          
            Hedgemark Securities, LLC
            008-69106
            000164503
            N/A
            
            0.00
          
          
            BNY Mellon Securities Corporation
            008-13801
            000000231
            N/A
            
            0.00
          
          
            Pershing Advisor Solutions LLC
            008-47425
            000036671
            549300KTC63JRN36GZ84
            
            0.00
          
          
            Pershing LLC
            008-17574
            000007560
            ZI8Q1A8EI8LQFJNM0D94
            
            0.00
          
          
            BNY Mellon Asset Management Canada Ltd.
            008-00000
            N/A
            N/A
            CA
            0.00
          
          
            BNY Mellon Capital Markets EMEA Limited
            008-00000
            N/A
            213800O5FBGOWU89LN14
            GB
            0.00
          
          
            BNY Mellon Investment Management Australia Limited
            008-00000
            N/A
            2ZQTMYGDRJZ57CRSPU33
            AU
            0.00
          
          
            BNY Mellon Investment Management EMEA Limited
            008-00000
            N/A
            213800X5NCNIAF9USD75
            GB
            0.00
          
          
            BNY Mellon Investment Management Hong Kong Limited
            008-00000
            000169689
            N/A
            HK
            0.00
          
          
            BNY MELLON SERVICOS FINACEIROS DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS (DTVM) S.A
            008-00000
            N/A
            N/A
            BR
            0.00
          
          
            BNY Mellon Wealth Management, Advisory Services, Inc.
            008-00000
            N/A
            N/A
            CA
            0.00
          
          
            Pershing (Channel Islands) Limited
            008-00000
            N/A
            2138009CM5DCI2OQW132
            GB
            0.00
          
          
            Pershing Limited
            008-00000
            N/A
            213800R6YVGU4VP7XK84
            GB
            0.00
          
          
            Pershing Securities Australia Pty Limited
            008-00000
            N/A
            5493008201YNLL3CPG58
            AU
            0.00
          
          
            Pershing Securities Canada Limited
            008-00000
            N/A
            5493000WV47FDC28QG89
            CA
            0.00
          
          
            Pershing Securities International Limited
            008-00000
            N/A
            549300PPJGN9E26TI110
            IE
            0.00
          
          
            Pershing Securities Limited
            008-00000
            N/A
            549300NC3GURN0AEZU06
            GB
            0.00
          
          
            The Bank of New York Mellon Securities Company Japan Limited
            008-00000
            N/A
            N/A
            JP
            0.00
          
          
            The Bank of New York Mellon, S.A., Institucion de Banca Multiple
            008-00000
            N/A
            N/A
            MX
            0.00
          
          
            BNY Mellon Fund Management (Luxemboug), S.A.
            008-00000
            000283267
            5N2ES2M2WGR2TO0Q5G40
            LU
            0.00
          
          
            Pershing Securities Singapore Private Limited
            008-00000
            N/A
            N/A
            SG
            0.00
          
        
        
          
            PIPER JAFFRAY & CO.
            008-15204
            000000665
            QUQDBTUSOAKFEVMRMF78
            
            192120.00
          
          
            RAYMOND JAMES & ASSOCIATES, INC.
            008-10999
            000000705
            U4ONQX15J3RO8XCKE979
            
            135839.00
          
          
            MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
            008-07221
            000007691
            8NAV47T0Y26Q87Y0QP81
            
            131741.00
          
          
            GOLDMAN SACHS & CO. LLC
            008-00129
            000000361
            FOR8UP27PHTHYVLBNG30
            
            123107.00
          
          
            KEYBANC CAPITAL MARKETS INC.
            008-30177
            000000566
            2EQWV0180Z211YVAD813
            
            114961.00
          
          
            JEFFERIES LLC
            008-15074
            000002347
            58PU97L1C0WSRCWADL48
            
            101660.00
          
          
            NATIONAL FINANCIAL SERVICES LLC
            008-26740
            000013041
            549300JRHF1MHHWUAW04
            
            97891.00
          
          
            ROBERT W. BAIRD & CO. INCORPORATED
            008-00497
            000008158
            549300772UJAHRD6LO53
            
            92476.00
          
          
            STIFEL, NICOLAUS & COMPANY, INCORPORATED
            008-01447
            000000793
            5WUVMA08EYG4KEUPW589
            
            90447.00
          
          
            J.P. MORGAN SECURITIES LLC
            008-35008
            000000079
            ZBUT11V806EZRVTWT807
            
            66390.00
          
        
        1571768.00
        
          
            PIPER JAFFRAY & CO.
            008-15204
            000000665
            QUQDBTUSOAKFEVMRMF78
            
            629809445.00
          
          
            MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
            008-07221
            000007691
            8NAV47T0Y26Q87Y0QP81
            
            459929770.00
          
          
            JEFFERIES LLC
            008-15074
            000002347
            58PU97L1C0WSRCWADL48
            
            361065908.00
          
          
            NATIONAL FINANCIAL SERVICES LLC
            008-26740
            000013041
            549300JRHF1MHHWUAW04
            
            345862280.00
          
          
            RAYMOND JAMES & ASSOCIATES, INC.
            008-10999
            000000705
            U4ONQX15J3RO8XCKE979
            
            293781217.00
          
          
            GOLDMAN SACHS & CO. LLC
            008-00129
            000000361
            FOR8UP27PHTHYVLBNG30
            
            249644774.00
          
          
            KEYBANC CAPITAL MARKETS INC.
            008-30177
            000000566
            2EQWV0180Z211YVAD813
            
            227267268.00
          
          
            ROBERT W. BAIRD & CO. INCORPORATED
            008-00497
            000008158
            549300772UJAHRD6LO53
            
            224697062.00
          
          
            STIFEL, NICOLAUS & COMPANY, INCORPORATED
            008-01447
            000000793
            5WUVMA08EYG4KEUPW589
            
            154425909.00
          
          
            MORGAN STANLEY & CO. LLC
            008-15869
            000008209
            9R7GPTSO7KV3UQJZQ078
            
            151924651.00
          
        
        4023257632.00
        Y
        4802337646.00
        
          
            
              Committed
              688500000.00
              
                
              
              
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
              
              
            
            
              Uncommitted
              300000000.00
              
                
              
              
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
                
              
              N
            
          
        
        N
        N
        N
      
    
    
      true
    
    
  



 

 

Report of Independent Registered Public Accounting Firm

 

To the Shareholders of the Funds and Board of Trustees of

BNY Mellon Investment Funds I:

 

In planning and performing our audits of the financial statements of BNY Mellon Diversified Emerging Markets Fund, BNY Mellon Small Cap Growth Fund, BNY Mellon Small Cap Value Fund, BNY Mellon Small/Mid Cap Growth Fund, BNY Mellon Tax Sensitive Total Return Bond Fund and BNY Mellon International Equity Fund (collectively, the “Funds”), each a series of BNY Mellon Investment Funds I, as of and for the year ended September 30, 2021, in accordance with the standards of the Public Company Accounting Oversight Board (United States) (PCAOB), we considered the Funds’ internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-CEN, but not for the purpose of expressing an opinion on the effectiveness of the Funds’ internal control over financial reporting. Accordingly, we express no such opinion.

 

Management of the Funds is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A fund’s internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles (GAAP). A fund’s internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the fund; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with GAAP, and that receipts and expenditures of the fund are being made only in accordance with authorizations of management and trustees of the fund; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use, or disposition of a fund’s assets that could have a material effect on the financial statements.

 

Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate.

 

A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the Funds’ annual or interim financial statements will not be prevented or detected on a timely basis.

 
 

 

Our consideration of the Funds’ internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the PCAOB. However, we noted no deficiencies in the Funds’ internal control over financial reporting and its operation, including controls over safeguarding securities that we consider to be a material weakness as defined above as of September 30, 2021.

 

This report is intended solely for the information and use of management and the Board of Trustees of BNY Mellon Investment Funds I and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties.

 

 

 

 

/s/ KPMG LLP

 

 

New York, New York

November 22, 2021

 

 

 

 



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