| Filer CIK | 0001102113 |
| Filer CCC |
**********
|
| Is this a LIVE or TEST Filing? |  LIVE
TEST
|
| Would you like a Return Copy? |  |
Submission Contact Information | |
| Name | |
| Phone | |
| E-Mail Address | |
| Notify via Filing Website only? |  |
| Notification E-mail Address |
FORM SBSE-A
Application for Registration as a Security-based Date: Applicant NFA Number: 282338 |
|
| A. Full name of the applicant | BANK OF AMERICA NA |
| B. IRS Empl. Ident. No.: | 94-1687665 |
| C. Applicant's NFA ID #: | 282338 |
Applicant's CIK #: | 0001102113 |
Applicant’s UIC # (if any): | B4TYDEB6GKMZO031MB27 |
| D. Applicant's Main Address: (Do not use a P.O. Box) | |
Street Address 1: | 100 NORTH TRYON STREET |
Street Address 2: | |
City: | CHARLOTTE |
State/Province/Country: |
NORTH CAROLINA
|
Zip/ Postal Code: | 28255 |
| E. Mailing Address, if different: | |
Street Address 1: | |
Street Address 2: | |
City: | |
State/Province/Country: | |
Zip/ Postal Code: | |
| F. Business Telephone Number: | (704) 386-5494 |
| G. Website/URL: | https://investor.bankofamerica.com/regulatory-and-other-filings/subsidiary-and-country-disclosures |
| H. Contact Employee: | |
Prefix: | |
First Name: | Michelle |
Middle Name: | |
Last Name: | Leddy |
Suffix: | |
Title: | Director; EAC Compliance & Operational Risk Manager |
Phone: | 646-855-4726 |
Email Address: | michelle.leddy@bofa.com |
| I. Chief Compliance Officer designated by the applicant in accordance with Exchange Act Section 15F(k): | |
Prefix: | |
First Name: | MICHAEL |
Middle Name: | CHARLES |
Last Name: | ANKROM |
Suffix: | JR. |
Title: | Managing Director; Head of Global Compliance & Operational R |
Phone: | 980-386-8465 |
Email Address: | michael.c.ankrom@bofa.com |
| Date | 06-02-2025 |
| Name of Applicant | BANK OF AMERICA NA |
| By: Signature | /s/ James DeMare |
| Name of Person Signing on Applicant's behalf | James DeMare |
| Title of Person Signing on Applicant's behalf | Managing Director, President, and Head of Global Markets |
FORM SBSE-A
Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant
Applicant Name:
BANK OF AMERICA NA
Date:
Applicant NFA No.:
282338
| A. The applicant is registering as a security-based swap dealer: |  Yes
No
|
| B. The applicant is registering as a major security-based swap participant: | Yes
No
|
| A. Is the applicant a foreign security-based swap dealer that intends to: | |
| Yes
No
|
| Yes
No
|
| with respect to the requirements of Section 15F of the Exchange Act of 1934 and the rules and regulations thereunder? |
| Does the applicant intend to compute capital or margin, or price customer or proprietary positions, using mathematical models? | Yes
No
|
| A. The applicant is currently registered with the Commodity Futures Trading Commission as a: | Swap Dealer
Major Swap Participant
|
| B. The applicant is registering with the Commodity Futures Trading Commission as a: | Swap Dealer
Major Swap Participant
|
| Is the applicant a U.S. branch of a non-resident entity? | Yes
No
|
| Briefly describe the applicant's business: | See Supplemental Attachment |
| Is the applicant subject to regulation by a prudential regulator, as defined in Section 1a(39) of the Commodity Exchange Act. | Yes
No
|
If "yes," identify the prudential regulator: | The Federal Reserve Board The Office of the Comptroller of the Currency The Federal Deposit Insurance Corporation The Farm Credit Administration The Federal Housing Finance Agency
|
| Is the applicant registered with the Commission as an investment adviser? | Yes
No
|
| A. Is the applicant registered with the Commodity Futures Trading Commission in any capacity other than as a swap dealer or major swap participant? | Yes
No
|
| Does applicant engage in any other non-securities, financial services industry-related business? | Yes
No
|
If "yes," describe each other business briefly on Schedule B, Section I.
| Does the applicant hold or maintain any funds or securities to collateralize counterparty transactions? | Yes
No
|
FORM SBSE-A
Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant
Applicant Name:
BANK OF AMERICA NA
Date:
Applicant NFA No.:
282338
| Does the applicant have any arrangement: | |
| A. With any other person, firm, or organization under which any books or records of the applicant are kept, maintained, or audited by such other person, firm or organization? | Yes
No
|
| B. Under which such other person, firm or organization executes, trades, custodies, clears or settles on behalf of the applicant (including any SRO in which the applicant is a member)? | Yes
No
|
If "yes" to any part of Item 13, complete appropriate items on Schedule B, Section II.
| Does any person directly or indirectly control the management or policies of the applicant through agreement or otherwise? | Yes
No
|
If "yes," complete appropriate item on Schedule B, Section II.
| Does any person directly or indirectly finance (wholly or partially) the business of the applicant? Do not answer "Yes" to Item 15 if the person finances the business of the applicant through: 1) a public offering of securities made pursuant to the Securities Act of 1933; or 2) credit extended in the ordinary course of business by suppliers, banks, and others. | Yes
No
|
If "yes," complete appropriate item on Schedule B, Section II.
| Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? | Yes
No
|
If "yes," complete appropriate items on Schedule B, Section Ill.
| Is the applicant registered with a foreign financial regulatory authority? | Yes
No
|
If "yes," list all such registrations on Schedule F, Page 1, Section II.
| The applicant has ___ principals who are individuals. | 21 |
Please list all principals who are individuals on Schedule A.
| Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 18 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? | Yes
No
|
If "yes," complete appropriate item on Schedule B, Section IV.
FORM SBSE-A
Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant
Applicant Name:
BANK OF AMERICA NA
Date:
Applicant NFA No.:
282338
Use Schedule A to identify all principals of the applicant who are individuals.
Complete the "Title or Status" column by entering board/management titles;
status as partner, trustee, sole proprietor, or shareholder; and for shareholders,
the class of securities owned (if more than one is issued).
Ownership Codes are:
NA - less than 5%
A - 5% but less than 10%
B - 10% but less than 25%
C - 25% but less than 50%
D - 50% but less than 75%
E - 75% or more
| Prefix | |
| Individuals: Last Name | Donald |
| Individuals: First Name | Arnold |
| Individuals: Middle Name | Wayne |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 01/2013 |
| Date Individual began working for applicant (MM/YYYY) | 01/2013 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 457531 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Moynihan |
| Individuals: First Name | Brian |
| Individuals: Middle Name | Thomas |
| Suffix | |
| Title or Status | Chief Executive Officer/Director |
| Date Title or Status Acquired(MM/YYYY) | 12/2012 |
| Date Individual began working for applicant (MM/YYYY) | 12/2012 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 401299 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Rose |
| Individuals: First Name | Clayton |
| Individuals: Middle Name | Stuart |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 12/2018 |
| Date Individual began working for applicant (MM/YYYY) | 10/2018 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 466397 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Ramos |
| Individuals: First Name | Denise |
| Individuals: Middle Name | Laura |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 08/2019 |
| Date Individual began working for applicant (MM/YYYY) | 07/2019 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 524095 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Demare |
| Individuals: First Name | James |
| Individuals: Middle Name | Paul |
| Suffix | |
| Title or Status | Head of Business Unit, Division or Function |
| Date Title or Status Acquired(MM/YYYY) | 04/2016 |
| Date Individual began working for applicant (MM/YYYY) | 04/2016 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 494981 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Hudson |
| Individuals: First Name | Linda |
| Individuals: Middle Name | Parker |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 12/2012 |
| Date Individual began working for applicant (MM/YYYY) | 08/2012 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 449755 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Nowell |
| Individuals: First Name | Lionel |
| Individuals: Middle Name | Lewis |
| Suffix | III |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 01/2013 |
| Date Individual began working for applicant (MM/YYYY) | 01/2013 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 457530 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Zuber |
| Individuals: First Name | Maria |
| Individuals: Middle Name | Theresa |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 12/2017 |
| Date Individual began working for applicant (MM/YYYY) | 12/2017 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 510243 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | White |
| Individuals: First Name | Michael |
| Individuals: Middle Name | Dennis |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 08/2016 |
| Date Individual began working for applicant (MM/YYYY) | 06/2016 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 497808 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Lozano |
| Individuals: First Name | Monica |
| Individuals: Middle Name | Cecilia |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 12/2012 |
| Date Individual began working for applicant (MM/YYYY) | 06/2009 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 449756 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | De Weck |
| Individuals: First Name | Pierre Jacques |
| Individuals: Middle Name | Philippe |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 12/2013 |
| Date Individual began working for applicant (MM/YYYY) | 11/2013 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 470677 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Allen |
| Individuals: First Name | Sharon |
| Individuals: Middle Name | Lee |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 02/2013 |
| Date Individual began working for applicant (MM/YYYY) | 08/2012 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 449746 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Zuberi |
| Individuals: First Name | Soofian |
| Individuals: Middle Name | J |
| Suffix | |
| Title or Status | Head of Business Unit, Division or Function |
| Date Title or Status Acquired(MM/YYYY) | 11/2020 |
| Date Individual began working for applicant (MM/YYYY) | 11/2020 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 533174 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Yankauer |
| Individuals: First Name | Stephen |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Head of Business Unit, Division or Function |
| Date Title or Status Acquired(MM/YYYY) | 04/2019 |
| Date Individual began working for applicant (MM/YYYY) | 04/2019 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 521112 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Woods |
| Individuals: First Name | Thomas |
| Individuals: Middle Name | Dunne |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 05/2016 |
| Date Individual began working for applicant (MM/YYYY) | 04/2016 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 496348 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Borthwick |
| Individuals: First Name | Alastair |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Chief Financial Officer |
| Date Title or Status Acquired(MM/YYYY) | 11/2021 |
| Date Individual began working for applicant (MM/YYYY) | 09/2005 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 544946 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Koder |
| Individuals: First Name | Matthew |
| Individuals: Middle Name | Michael |
| Suffix | |
| Title or Status | Head of a Business Unit, Division or Function |
| Date Title or Status Acquired(MM/YYYY) | 10/2021 |
| Date Individual began working for applicant (MM/YYYY) | 06/2011 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 547563 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Almeida |
| Individuals: First Name | Jose |
| Individuals: Middle Name | Eduardo |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 12/2022 |
| Date Individual began working for applicant (MM/YYYY) | 09/2022 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 470432 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Ankrom |
| Individuals: First Name | Michael |
| Individuals: Middle Name | Charles |
| Suffix | Jr. |
| Title or Status | Chief Compliance Officer |
| Date Title or Status Acquired(MM/YYYY) | 11/2023 |
| Date Individual began working for applicant (MM/YYYY) | 11/2023 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 559638 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Spell |
| Individuals: First Name | Douglas |
| Individuals: Middle Name | Charles |
| Suffix | |
| Title or Status | Head of a Business Unit, Division or Function |
| Date Title or Status Acquired(MM/YYYY) | 12/2023 |
| Date Individual began working for applicant (MM/YYYY) | 11/2023 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 560329 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Martinez |
| Individuals: First Name | Maria |
| Individuals: Middle Name | Nieves |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 03/2025 |
| Date Individual began working for applicant (MM/YYYY) | 01/2025 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 569811 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FORM SBSE-A
Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant
Applicant Name:
BANK OF AMERICA NA
Date:
Applicant NFA No.:
282338
Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information.
| This is an INITIAL / AMENDED detail filing for the Form SBSE-A items checked below: | Initial
Amended
|
| UIC (if any), or other Unique Identification Number(s): | |
| Assigning Regulator(s)/Entity(s): | |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: | BANA's non-securities activities include, among others, accepting deposits, making loans and extensions of credit, acting as a fiduciary and engaging in credit intermediation (which includes engaging in derivative transactions where the reference assets may include products other than securities. |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Workday, Inc |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 6110 STONERIDGE MALL RD |
Street Address 2 | |
City | Pleasanton |
State/Country |
CALIFORNIA
|
Zip + 4 Postal Code | 94588 |
| Effective Date MM DD YYYY | 11-01-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Personnel Records, including but not limited to questionnaires or applications for employment and a listing of associated persons and their work location. |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Markit North America, Inc |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 450 West 33rd Street |
Street Address 2 | 5th Floor |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10001 |
| Effective Date MM DD YYYY | 11-01-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Compliance Records, including but not limited to documentation of compliance with business conduct standards, disclosures, and notifications. |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Micro Focus, LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 4555 Great America Pkwy |
Street Address 2 | |
City | Santa Clara |
State/Country |
CALIFORNIA
|
Zip + 4 Postal Code | 95054-1243 |
| Effective Date MM DD YYYY | 11-01-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Communication Records, including but not limited to electronic communications. |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Proofpoint, Inc. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 892 Ross Drive |
Street Address 2 | |
City | Sunnyvale |
State/Country |
CALIFORNIA
|
Zip + 4 Postal Code | 94089 |
| Effective Date MM DD YYYY | 11-01-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Communication Records, including but not limited to electronic communications. |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Bank of America, N.A. (including branches in London and Hong Kong) |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 100 North Tryon Street |
Street Address 2 | |
City | Charlotte |
State/Country |
NORTH CAROLINA
|
Zip + 4 Postal Code | 28255 |
| Effective Date MM DD YYYY | 11-01-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Financial Records, Personnel Records, Trading Records, Registration Documents, Compliance Records, Communications, and Account Records. |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Merrill Lynch Global Services Pte. Ltd |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 2 Harbourfront Place |
Street Address 2 | #02-01 |
City | Singapore |
State/Country |
SINGAPORE
|
Zip + 4 Postal Code | 098499 |
| Effective Date MM DD YYYY | 11-01-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Financial Records, Personnel Records, Trading Records, Registration Documents, Compliance Records, Communications, and Account Records. |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BofA Securities Japan Co., Ltd. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Nihonbashi 1-chome |
Street Address 2 | Building 1-4-1 Nihonboshi |
City | Tokyo |
State/Country |
JAPAN
|
Zip + 4 Postal Code | 103-8230 |
| Effective Date MM DD YYYY | 11-01-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Financial Records, Personnel Records, Trading Records, Registration Documents, Compliance Records, Communications, and Account Records. |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | 24 EXCHANGE BERMUDA LIMITED |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 213800YXBUZH7G3NDC51 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 3RD FLOOR, SOFIA HOUSE, 48 CHURCH STREET |
Street Address 2 | C-O BM CORPORATE SERVICES LTD |
City | HAMILTON |
State/Country |
BERMUDA
|
Zip + 4 Postal Code | NAHM 12 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | 360 TREASURY SYSTEMS AG |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 529900P0204W9HA8JP36 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Gruneburgweg 16-18 |
Street Address 2 | |
City | Frankfurt am Main |
State/Country |
GERMANY
|
Zip + 4 Postal Code | 60322 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BGC DERIVATIVE MARKETS, L.P. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300RKB6B4M8CD2W04 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | CORPORATION TRUST CENTER 1209 ORANGE ST |
Street Address 2 | C-O THE CORPORATION TRUST COMPANY |
City | WILMINGTON |
State/Country |
DELAWARE
|
Zip + 4 Postal Code | 19801 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BGC TECHNOLOGY MARKETS, L.P |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300HEOMIQJNTK7P92 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 499 PARK AVE |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10022-1240 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BLOOMBERG SEF LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 5493003IUYOH354SNS58 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 731 LEXINGTON AVENUE |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10022-1331 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BLOOMBERG TRADEBOOK CANADA COMPANY |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 254900N3K8DHWXXMF546 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | BROOKFIELD PLACE,TD CANADA TRUST TOWER 1 |
Street Address 2 | |
City | TORONTO |
State/Country |
CANADA (FEDERAL LEVEL)
|
Zip + 4 Postal Code | M5J 2S1 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BLOOMBERG TRADEBOOK INDIA PRIVATE LIMITED |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 16th Fl, Tower 2B One world centre, 841 |
Street Address 2 | Jupiter Mills Comp SB Marg, Maharashtra |
City | Mumbai |
State/Country |
INDIA
|
Zip + 4 Postal Code | 400013 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BLOOMBERG TRADEBOOK LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300P0PVQNO43T7K36 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 731 LEXINGTON AVE |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10022-1331 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BLOOMBERG TRADEBOOK SINGAPORE PTE LTD |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 254900HSS82AHMTPAD95 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 23 Church Street |
Street Address 2 | |
City | SINGAPORE |
State/Country |
SINGAPORE
|
Zip + 4 Postal Code | 49481 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BLOOMBERG TRADING FACILITY B.V. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 254900QBKK4WBSO3GE51 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Stadhouderskade 14 |
Street Address 2 | |
City | Amsterdam |
State/Country |
NETHERLANDS
|
Zip + 4 Postal Code | 1054 ES |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BLOOMBERG TRADING FACILITY LIMITED |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300ROEJDDAXM6LU05 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 3 Queen Victoria Street |
Street Address 2 | |
City | LONDON |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC4N 4TQ |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BROKERTEC USA, L.L.C. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 213800U91OWU6L9YIT33 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 300 Vesey Street |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10282 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CBOE FX Markets, LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300NW303IYRUREL46 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 8050 MARSHALL DR |
Street Address 2 | |
City | Lenexa |
State/Country |
KANSAS
|
Zip + 4 Postal Code | 66214-1524 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CBOE SEF, LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300D84OQ6BDBRBO35 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | CORPORATION TRUST CENTER 1209 ORANGE ST |
Street Address 2 | C-O THE CORPORATION TRUST COMPANY |
City | WILMINGTON |
State/Country |
DELAWARE
|
Zip + 4 Postal Code | 19801 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CHICAGO MERCANTILE EXCHANGE INC. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | SNZ2OJLFK8MNNCLQOF39 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 20 S WACKER DR |
Street Address 2 | |
City | Chicago |
State/Country |
ILLINOIS
|
Zip + 4 Postal Code | 60606-7431 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CUREX FX, LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 254900XVN4LQPXMJGD91 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 120 West 45th Street, 22nd Floor |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10036 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | DEALERWEB INC. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | G5M52KXHI10IUWXWHQ71 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 2200 PLAZA FIVE |
Street Address 2 | |
City | Jersey City |
State/Country |
NEW JERSEY
|
Zip + 4 Postal Code | 73114006 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | EBS SERVICE COMPANY LIMITED |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 213800Y1KZLBMHGMTJ05 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Lavaterstrasse 40 |
Street Address 2 | |
City | ZURICH |
State/Country |
SWITZERLAND
|
Zip + 4 Postal Code | 8002 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | EURONEXT FX INC. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300EXXMRP3JPN4C59 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 180 Maiden Ln FL 7 |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 100385170 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | FLEXTRADE SYSTEMS INC. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300FQIJOSVOCB4V70 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 111 GREAT NECK RD STE 314 |
Street Address 2 | |
City | Great Neck |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 110215403 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | FX CONNECT LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300WT8S467QS4ID10 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Corporation Trst Centre, 1209 Orange St |
Street Address 2 | |
City | WILMINGTON |
State/Country |
DELAWARE
|
Zip + 4 Postal Code | 19801 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | FX HEDGEPOOL, INC. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1 World Trade Centre, Floor 85 |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10007-0103 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | FXSPOTSTREAM LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 5493001N6DM40ZPSHW89 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 100 Town Square Pl STE 201 |
Street Address 2 | |
City | Jersey City |
State/Country |
NEW JERSEY
|
Zip + 4 Postal Code | 73102778 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | GFI SECURITIES LTD |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | GUNTJCA81C7IHNBGI392 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1 Snowden Street |
Street Address 2 | |
City | LONDON |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC2A 2DQ |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | ICAP MANAGEMENT SERVICES LTD |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 2138002Z83ZBVHB7NM33 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 135 BISHOPSGATE |
Street Address 2 | |
City | LONDON |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC2M 3TP |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | ICE BONDS SECURITIES CORPORATION |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300OUQA5TQ2JW3I71 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 55 E 52ND ST FL 40 |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10055 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | ICE U.S. OTC COMMODITY MARKETS, LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 2100 Riveredge Pkwy STE 500 |
Street Address 2 | |
City | Atlanta |
State/Country |
GEORGIA
|
Zip + 4 Postal Code | 303284693 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | INTEGRAL DEVELOPMENT CORP |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | Y28912MCQRZU5ST13393 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 3000 El Cmino Real Ste 2 |
Street Address 2 | |
City | Palo Alto |
State/Country |
CALIFORNIA
|
Zip + 4 Postal Code | 94306 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | INTERCONTINENTAL EXCHANGE, INC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 5493000F4ZO33MV32P92 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 5660 New Northside Dr 3 |
Street Address 2 | |
City | Atlanta |
State/Country |
GEORGIA
|
Zip + 4 Postal Code | 303285800 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | 11-30-2024 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | OCTAURA LL TRADINGCO LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 254900OCXBIHL4NNMT81 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 250 West 34th Street, 3rd floor |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10119 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | OTCX TRADING LIMITED |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 21380098D55AZZWDP527 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 49 QUEEN VICTORIA STREET |
Street Address 2 | |
City | LONDON |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC4N 4SA |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | REFINITIV TRANSACTION SERVICES LIMITED |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300SDDJE84DDJNB30 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Five Canada Square, Canary Wharf |
Street Address 2 | |
City | LONDON |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | E14 5AQ |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | REFINITIV US LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 213800HQORQAP68CJJ04 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 3 TIMES SQ |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 100366564 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | RTX Financial, LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 5493007QGZA74K5XCO50 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 128 E31st St, 2nd Fl |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10016 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | 02-28-2025 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | SIEGE FX LIMITED |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 254900BS9K61FESAAY23 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 2nd Floor, Room 230, 63 St.Mary Axe |
Street Address 2 | |
City | LONDON |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC3A 8AA |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | TRADEWEB EUROPE LTD |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 2138001WXZQOPMPA3D50 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1 Fore Street Avenue |
Street Address 2 | |
City | LONDON |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC2Y 9DT |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | 07-31-2024 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | TW SEF LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 5493009DYKOCXWBRC524 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1177 Ave of The Americas |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 100362714 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | TRADEWEB MARKETS LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 5493000G5QHJUY9ZWQ91 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 2200 PLAZA FIVE |
Street Address 2 | |
City | Jersey City |
State/Country |
NEW JERSEY
|
Zip + 4 Postal Code | 73114006 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | WEMATCH.LIVE R&D LTD |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 894500EG497MGE7BSI77 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 121 Begin Menachem Rd |
Street Address 2 | |
City | TEL AVIV-JAFFA |
State/Country |
ISRAEL
|
Zip + 4 Postal Code | 6701203 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Tradeweb Australia PTY Ltd. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300QRJM24CLE17N18 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | L 6 14 MARTIN PLACE |
Street Address 2 | |
City | SYDNEY |
State/Country |
AUSTRALIA
|
Zip + 4 Postal Code | 2000 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | AO Citibank |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | CHSQDSVI1UI96Y2SW097 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 8-10, bld.1, Gasheka street |
Street Address 2 | |
City | Moscow |
State/Country |
RUSSIAN FEDERATION
|
Zip + 4 Postal Code | 125047 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | AUSTRACLEAR LTD |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300SW1A0SWG24LO05 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 20 Bridge Street |
Street Address 2 | |
City | Sydney |
State/Country |
AUSTRALIA
|
Zip + 4 Postal Code | 2000 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BANCO NACIONAL DE MEXICO, S.A. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 2SFFM4FUIE05S37WFU55 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 800 Colonia |
Street Address 2 | Acturario Roberto Medellin |
City | Santa Fe |
State/Country |
MEXICO
|
Zip + 4 Postal Code | D F 01219 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | 04-30-2025 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BANK OF JAPAN |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 353800717BLAHZMEXR15 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Nihonbashi-Hongokucho 2-1-1 |
Street Address 2 | |
City | Chuo-ku |
State/Country |
JAPAN
|
Zip + 4 Postal Code | 103-8660 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BANK OF TAIWAN |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300QBHSCPTZ7YV010 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 120 Section 1, Chongcing South Road |
Street Address 2 | Jhongjheng District |
City | Taipei |
State/Country |
TAIWAN, PROVINCE OF CHINA
|
Zip + 4 Postal Code | 100 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BANK POLSKA KASA OPIEKI SA |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 5493000LKS7B3UTF7H35 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Zwirki i Wigury 31 |
Street Address 2 | |
City | Warsaw |
State/Country |
POLAND
|
Zip + 4 Postal Code | 02-091 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BANQUE CENTRALE DE COMPENSATION (LCH SA) |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | R1IO4YJ0O79SMWVCHB58 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 18 RUE DU 4 SEPTEMBRE, FR-75 |
Street Address 2 | |
City | Paris |
State/Country |
FRANCE
|
Zip + 4 Postal Code | 75002 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BNP Paribas Australia Branch |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | R0MUWSFPU8MPRO8K5P83 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Level 4, 60 Castlereagh Street, NSW |
Street Address 2 | |
City | Sydney |
State/Country |
AUSTRALIA
|
Zip + 4 Postal Code | 2000 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BNP Paribas S.A. Niederlassung Deutschland |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | R0MUWSFPU8MPRO8K5P83 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Senckenberganlage 19 |
Street Address 2 | |
City | Frankfurt am Main |
State/Country |
GERMANY
|
Zip + 4 Postal Code | 60325 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BNP Paribas S.A., Succursale Italia |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | R0MUWSFPU8MPRO8K5P83 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Piazza Lina Bo Bardi 3 |
Street Address 2 | |
City | Milano |
State/Country |
ITALY
|
Zip + 4 Postal Code | 20124 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BNP PARIBAS SA |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | R0MUWSFPU8MPRO8K5P83 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Les Grands Moulin de Pantin |
Street Address 2 | 9 Rue du Debarcadere |
City | Pantin |
State/Country |
FRANCE
|
Zip + 4 Postal Code | 93500 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BNP PARIBAS SA SUCURSAL EN ESPANA |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | R0MUWSFPU8MPRO8K5P83 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Calle de Emilio Vargas 4 |
Street Address 2 | |
City | Madrid |
State/Country |
SPAIN
|
Zip + 4 Postal Code | 28043 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BNP PARIBAS, Paris, Zurich Branch |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | R0MUWSFPU8MPRO8K5P83 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Selnaustrasse 16, Box |
Street Address 2 | |
City | Zurich |
State/Country |
SWITZERLAND
|
Zip + 4 Postal Code | 8022 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CHINA CENTRAL DEPOSITORY & CLEARING CO. LIMITED |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 10 Jinrong Street, Xicheng District |
Street Address 2 | |
City | Beijing |
State/Country |
CHINA
|
Zip + 4 Postal Code | 100033 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CIBC MELLON TRUST COMPANY |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 2IGI19DL77OX0HC3ZE78 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | CIBC Mellon, 1 York Street, Suite 500 |
Street Address 2 | |
City | Toronto Ontario |
State/Country |
CANADA (FEDERAL LEVEL)
|
Zip + 4 Postal Code | M5J 0B6 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | 09-30-2024 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIBANK ANONIM SIRKETI |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | CWZ8NZDH5SKY12Q4US31 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Tekfen Tower |
Street Address 2 | Eski Buyukdere Caddesi 209 Kat 2 |
City | Istanbul |
State/Country |
TURKEY
|
Zip + 4 Postal Code | 34394 Leve |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIBANK BERHAD |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | E57ODZWZ7FF32TWEFA76 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Level 43, Securities Services |
Street Address 2 | Menara Citibank, 165 Jalan Ampang |
City | Kuala Lumpur |
State/Country |
MALAYSIA
|
Zip + 4 Postal Code | 50450 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIBANK DEL PERU S.A. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | MYTK5NHHP1G8TVFGT193 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Canaval y Moreyra 480 |
Street Address 2 | Piso 3, San Isidro |
City | Lima |
State/Country |
PERU
|
Zip + 4 Postal Code | 27 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | 05-31-2024 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIBANK EUROPE PLC, GREECE BRANCH |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | N1FBEDJ5J41VKZLO2475 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 8 Othonos street |
Street Address 2 | |
City | Athens |
State/Country |
GREECE
|
Zip + 4 Postal Code | 10557 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIBANK KOREA INC. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 745P3MMS7E8CUVXDRJ82 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 50, Saemunan-ro, Jongno-gu |
Street Address 2 | |
City | Seoul |
State/Country |
KOREA, REPUBLIC OF
|
Zip + 4 Postal Code | 03184 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIBANK N.A. (MUMBAI BRANCH) |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | E57ODZWZ7FF32TWEFA76 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | C-54 & 55, G Block, Bandra Kura Complex |
Street Address 2 | |
City | Bandra East |
State/Country |
INDIA
|
Zip + 4 Postal Code | 400051 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIBANK N.A. EGYPT |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | E57ODZWZ7FF32TWEFA76 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Level 3, 46, Al Salam Axis Street |
Street Address 2 | First Sector at the Fifth Settlement |
City | New Cairo Cairo |
State/Country |
EGYPT
|
Zip + 4 Postal Code | none |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIBANK N.A. ISRAEL BRANCH |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | E57ODZWZ7FF32TWEFA76 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Ha arba a 21 |
Street Address 2 | |
City | Tel Aviv |
State/Country |
ISRAEL
|
Zip + 4 Postal Code | none |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIBANK N.A. LONDON BRANCH |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | G2M96IXONJEAOBNT6B40 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Citigroup Centre, Canary Wharf |
Street Address 2 | |
City | London |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | E14 5LB |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIBANK N.A., PAKISTAN |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | E57ODZWZ7FF32TWEFA76 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Army Welfare Trust (AWT) Plaza |
Street Address 2 | I.I.Chundrigar Road |
City | Karachi |
State/Country |
PAKISTAN
|
Zip + 4 Postal Code | 74200 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIBANK NA (PHILIPPINES BRANCH) |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | E57ODZWZ7FF32TWEFA76 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 16th Floor, Citibank Plaza, 34th St |
Street Address 2 | Bonifacio Global City |
City | Taguig City, Metro Manila |
State/Country |
PHILIPPINES
|
Zip + 4 Postal Code | 1634 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIBANK SINGAPORE LIMITED |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300BSM2K5JOIUQ068 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 8 Marina View |
Street Address 2 | #16-00 Asia Square Tower 1 |
City | Singapore |
State/Country |
SINGAPORE
|
Zip + 4 Postal Code | 018960 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIBANK, N.A. (BANGKOK BRANCH) |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | E57ODZWZ7FF32TWEFA76 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 18th Fl, 399 Intg 21 Bldg, Sukhumvit Rd |
Street Address 2 | Klongtoey Nua, Wattana District |
City | Bangkok |
State/Country |
THAILAND
|
Zip + 4 Postal Code | 10110 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIBANK, N.A. (HONG KONG BRANCH) |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | E57ODZWZ7FF32TWEFA76 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 50/F Citibank Tower, Citibank Plaza |
Street Address 2 | 3 Garden Road, Central |
City | Hong Kong |
State/Country |
HONG KONG
|
Zip + 4 Postal Code | none |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Citibank, N.A. Brazilian Branch |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | E57ODZWZ7FF32TWEFA76 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Av. Paulista 1.111, 12 andar |
Street Address 2 | |
City | Sao Paulo SP |
State/Country |
BRAZIL
|
Zip + 4 Postal Code | 01311-920 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIBANK, N.A. NEW YORK OFFICES - CHILE |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 8B4EZFY8IHJC44TT2K84 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Estado 260, Level 2 |
Street Address 2 | |
City | Santiago |
State/Country |
CHILE
|
Zip + 4 Postal Code | 8320204 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | 05-31-2024 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIGROUP PTY LIMITED |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 0C45RG70GW42XSBLJ131 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Level 16, 120 Collins Street |
Street Address 2 | |
City | Melbourne |
State/Country |
AUSTRALIA
|
Zip + 4 Postal Code | VIC 3000 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | 08-31-2024 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITITRUST COLOMBIA S A SOCIEDAD FIDUCIARIA |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300242J3IJCOSGI49 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Carrera 9A, No. 99-02 |
Street Address 2 | |
City | Bogota |
State/Country |
COLOMBIA
|
Zip + 4 Postal Code | none |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | 05-31-2024 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CLEARSTREAM BANKING S.A. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300OL514RA0SXJJ44 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 11 Westferry Circus, Canary Wharf |
Street Address 2 | |
City | London |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | E14 4HE |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | DEUTSCHE BANK TRUST COMPANY AMERICAS |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 8EWQ2UQKS07AKK8ANH81 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 60 Wall Street |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10006 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | EUROCLEAR BANK SA |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300OZ46BRLZ8Y6F65 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1 Boulevard du Roi Albert II, B 1210 |
Street Address 2 | |
City | Brussels |
State/Country |
BELGIUM
|
Zip + 4 Postal Code | none |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | EUROCLEAR UK & INTERNATIONAL LTD |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300M5MYAD51WHJD55 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 33 Cannon Street |
Street Address 2 | |
City | London |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC4M 5SB |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | FEDERAL RESERVE BANK OF RICHMOND |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300GF3UGINKR7U365 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 20th & K Streets, NW |
Street Address 2 | |
City | Washington |
State/Country |
DISTRICT OF COLUMBIA
|
Zip + 4 Postal Code | 20551 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | FIXED INCOME CLEARING CORPORATION |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300H47WTHXPU08X20 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 55 Water St |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10041 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | HDFC BANK LIMITED |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 335800ZQ6I4E2JXENC50 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | HDFC Bank House, Senapati Bapat Marg |
Street Address 2 | Lower Parel, Mumbai |
City | Maharashtra |
State/Country |
INDIA
|
Zip + 4 Postal Code | 400013 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | HONG KONG MONETARY AUTHORITY |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 55th Fl, Two Intl Finance Centre |
Street Address 2 | 8 Finance Street, Cntrl and Wstrn Dist |
City | Hong Kong |
State/Country |
HONG KONG
|
Zip + 4 Postal Code | none |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | HSBC BANK (TAIWAN) LIMITED |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300SG184IVNYDMN03 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 13F, No. 333 Keelung Rd, Sec. 1 |
Street Address 2 | Xinyi District |
City | Taipei |
State/Country |
TAIWAN, PROVINCE OF CHINA
|
Zip + 4 Postal Code | 110 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | 02-29-2024 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | HSBC BANK (VIETNAM) LIMITED |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 213800H95OG9OHRT4Y78 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | The Metropolitan, Floor 2 |
Street Address 2 | 235 Dong Khoi Street, District 1 |
City | Ho Chi Minh city |
State/Country |
VIET NAM
|
Zip + 4 Postal Code | none |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | 02-29-2024 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | HSBC BANK MIDDLE EAST LIMITED, KUWAIT BRANCH |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300F99IL9YJDWH369 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Qibla Area, Hamad Al-Saqr St. |
Street Address 2 | Kharafi Tower, G/1/2 Fl, Box 1683 |
City | Safat |
State/Country |
KUWAIT
|
Zip + 4 Postal Code | 13017 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | HSBC BANK MIDDLE EAST LIMITED, QATAR BRANCH |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300F99IL9YJDWH369 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 2nd Fl, Ali Bin Ali Tower Bldg no 150 |
Street Address 2 | Al Matar St, Box 57, St #950 |
City | Doha |
State/Country |
QATAR
|
Zip + 4 Postal Code | none |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | 04-30-2025 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | HSBC SAUDI ARABIA |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 2138009S6SHV5GLS7987 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 2nd Floor, 7267 Olaya, Al Murooj |
Street Address 2 | |
City | Riyadh |
State/Country |
SAUDI ARABIA
|
Zip + 4 Postal Code | 12283-2255 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | ICE CLEAR CREDIT LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | T33OE4AS4QXXS2TT7X50 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 353 North Clark Street |
Street Address 2 | |
City | Chicago |
State/Country |
ILLINOIS
|
Zip + 4 Postal Code | 60654 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | ICE CLEAR EUROPE LTD |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 5R6J7JCQRIPQR1EEP713 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | MILTON GATE, 60 CHISWELL STREET |
Street Address 2 | |
City | London |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC1Y 4SA |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | 02-29-2024 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | INDUSTRIAL AND COMMERCIAL BANK OF CHINA LIMITED |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 5493002ERZU2K9PZDL40 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 55 Fuxingmennei Avenue, Xicheng District |
Street Address 2 | |
City | Beijing |
State/Country |
CHINA
|
Zip + 4 Postal Code | 100140 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | JOINT STOCK COMPANY CITIBANK |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300E0ROTI7ACBZH02 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Bud.16-g, Dilova Str |
Street Address 2 | |
City | Kyiv |
State/Country |
UKRAINE
|
Zip + 4 Postal Code | 03150 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | KBC Bank Bulgaria EAD |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 5299009KAL4KO7584196 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 55 Nikola Vaptsarov Blvd., Expo 2000 |
Street Address 2 | Phase III, 4 floor |
City | Sofia |
State/Country |
BULGARIA
|
Zip + 4 Postal Code | 1407 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | 04-30-2024 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | KOREA EXCHANGE |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300TJ3RRV6Q1UEW14 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 40, Munhyeongeumyung-ro, Nam-gu |
Street Address 2 | Busan 50F, BIFC |
City | Busan Metropolitan City |
State/Country |
KOREA, REPUBLIC OF
|
Zip + 4 Postal Code | 48400 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | KOREA SECURITIES DEPOSITORY |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 9884008RRMX1X5HV6625 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 40, Munhyeongeumyung-ro, Nam-gu |
Street Address 2 | Busan 50F, BIFC |
City | Busan Metropolitan City |
State/Country |
KOREA, REPUBLIC OF
|
Zip + 4 Postal Code | 48400 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | LCH LIMITED |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | F226TOH6YD6XJB17KS62 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Aldgate House, 33 Aldgate High Street |
Street Address 2 | |
City | London |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC3N 1EA |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | MIZUHO BANK,LTD. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 353800CI5L6DDAN5XZ33 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 5-5, Otemachi 1 Chome, Chiyoda-ku |
Street Address 2 | |
City | Tokyo |
State/Country |
JAPAN
|
Zip + 4 Postal Code | 100- 8176 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | 08-31-2024 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | N A CITIBANK |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | E57ODZWZ7FF32TWEFA76 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 388 Greenwich Street |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10013 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | 05-31-2024 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | NATIONAL FINANCIAL SERVICES LLC (NFS) |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 200 Seaport Blvd Ste 630 |
Street Address 2 | |
City | Boston |
State/Country |
MASSACHUSETTS
|
Zip + 4 Postal Code | 02210 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | NATIONAL SECURITIES CLEARING CORPORATION |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300RYC9NELN2ICA34 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 55 Water St |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10041 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | OTC CLEARING HONG KONG LIMITED |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 213800CKBBZUAHHARH83 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 8/F, TWO EXCHANGE SQUARE |
Street Address 2 | 8 CONNAUGHT PLACE, CENTRAL |
City | HONG KONG |
State/Country |
HONG KONG
|
Zip + 4 Postal Code | none |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | RESERVE BANK OF NEW ZEALAND |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 54930066LV3G32L0HB48 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Box 2498, 2 The Terrace |
Street Address 2 | |
City | Wellington |
State/Country |
NEW ZEALAND
|
Zip + 4 Postal Code | 6140 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BAC North America Holding Company |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 100 North Tryon Street |
Street Address 2 | |
City | Charlotte |
State/Country |
NORTH CAROLINA
|
Zip + 4 Postal Code | 28255 |
| Effective Date MM DD YYYY | 10-29-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Bank of America, NA is wholly owned by: i. BAC North America Holding Company, which in turn is wholly owned by ii. NB Holdings Corporation, which in turn is wholly owned by iii. Bank of America Corporation. |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | NB Holdings Corporation |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 100 North Tryon Street |
Street Address 2 | |
City | Charlotte |
State/Country |
NORTH CAROLINA
|
Zip + 4 Postal Code | 28255 |
| Effective Date MM DD YYYY | 10-29-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Bank of America, NA is wholly owned by: i. BAC North America Holding Company, which in turn is wholly owned by ii. NB Holdings Corporation, which in turn is wholly owned by iii. Bank of America Corporation. |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Bank of America Corporation |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 100 North Tryon Street |
Street Address 2 | |
City | Charlotte |
State/Country |
NORTH CAROLINA
|
Zip + 4 Postal Code | 28255 |
| Effective Date MM DD YYYY | 10-29-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Bank of America, NA is wholly owned by: i. BAC North America Holding Company, which in turn is wholly owned by ii. NB Holdings Corporation, which in turn is wholly owned by iii. Bank of America Corporation. |
FORM SBSE-A
Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant
Applicant Name:
BANK OF AMERICA NA
Date:
Applicant NFA No.:
282338
Each nonresident security-based swap dealer and non-resident security-based swap participant shall use Schedule F to identify
its United States agent for service of process and the certify that it can as a matter of law, and will -
(3) provide the Commission with prompt access to its books and records, and
(4) submit to onsite inspection and examination by the Commission.
| Street Address 1 | |
| Street Address 2 | |
| City | |
| State | |
| Zip/Postal Code |
The above identified agent for service of process may be served any process, pleadings, subpoenas, or other papers in
(a) any investigation or administrative proceeding conducted by the Commission that relates to the applicant or about which the
applicant may have information; and
(b) any civil or criminal suit or action or proceeding brought against the applicant or to which the applicant has been joined as
defendant or respondent, in any appropriate court in any place subject to the jurisdiction of any state or of the United States or of
any of its territories or possessions or of the District of Columbia, to enforce the Exchange Act. The applicant has stipulated and
agreed that any such suit, action or administrative proceeding may be commenced by the service of process upon, and that
service of an administrative subpoena shall be effected by service upon the above-named Agent for Service of Process, and that
service as aforesaid shall be taken and held in all courts and administrative tribunals to be valid and binding as if personal
service thereof had been made.
Applicant can as a matter of law, and will;
(3) provide the Commission with prompt access to its books and records, and
(4) submit to onsite inspection and examination by the Commission.
Applicant must attach to this Form SBSE a copy of the opinion of counsel it is required to obtain in accordance with
paragraph (c)(2) or (c)(3) of Exchange Act Rule 15Fb2-4, as appropriate [paragraphs (c)(2) or (c)(3) of 17 CFR
240. 15Fb2-4].
| Signature: | |
| Name: | |
| Title: | |
| Date: |
Complete this Section for Registration with Foreign Financial Regulatory Authorities relating to ITEM 17. Each security based swap dealer and major security-based swap participant that is registered with a foreign financial regulatory authority must list on Section II of this Schedule F, for each foreign financial regulatory authority with which it is registered, the following information:
| English Name of Foreign Financial Regulatory Authority | Ministry of Development |
| Foreign Registration No. (if any) | 6083/06/B/86/23 |
| English Name of Country: |
GREECE
|
| English Name of Foreign Financial Regulatory Authority | Australian Prudential Regulation Authority |
| Foreign Registration No. (if any) | ARBN: 064 874 531 |
| English Name of Country: |
AUSTRALIA
|
| English Name of Foreign Financial Regulatory Authority | Australian Securities & Investment Commission |
| Foreign Registration No. (if any) | ARBN: 064 874 531 |
| English Name of Country: |
AUSTRALIA
|
| English Name of Foreign Financial Regulatory Authority | Bank of Thailand Securities and Exchange Commission |
| Foreign Registration No. (if any) | |
| English Name of Country: |
THAILAND
|
| English Name of Foreign Financial Regulatory Authority | China Banking Regulatory Commission |
| Foreign Registration No. (if any) | |
| English Name of Country: |
CHINA
|
| English Name of Foreign Financial Regulatory Authority | People's Bank of China |
| Foreign Registration No. (if any) | |
| English Name of Country: |
CHINA
|
| English Name of Foreign Financial Regulatory Authority | State Administration of Foreign Exchange |
| Foreign Registration No. (if any) | |
| English Name of Country: |
CHINA
|
| English Name of Foreign Financial Regulatory Authority | Office of the Superintendent of Financial Institutions |
| Foreign Registration No. (if any) | 861143212 (CAN Revenue Agency #) |
| English Name of Country: |
CANADA (FEDERAL LEVEL)
|
| English Name of Foreign Financial Regulatory Authority | Deutsche Bundesbank |
| Foreign Registration No. (if any) | HRB 10311 |
| English Name of Country: |
GERMANY
|
| English Name of Foreign Financial Regulatory Authority | Hong Kong Monetary Authority |
| Foreign Registration No. (if any) | |
| English Name of Country: |
HONG KONG
|
| English Name of Foreign Financial Regulatory Authority | Bank Indonesia |
| Foreign Registration No. (if any) | |
| English Name of Country: |
INDONESIA
|
| English Name of Foreign Financial Regulatory Authority | Labuan Offshore Prudential Regulation Authority |
| Foreign Registration No. (if any) | |
| English Name of Country: |
MALAYSIA
|
| English Name of Foreign Financial Regulatory Authority | Financial Conduct Authority |
| Foreign Registration No. (if any) | FC002984 / BR001358 |
| English Name of Country: |
UNITED KINGDOM
|
| English Name of Foreign Financial Regulatory Authority | Central Bank of the Philippines |
| Foreign Registration No. (if any) | |
| English Name of Country: |
PHILIPPINES
|
| English Name of Foreign Financial Regulatory Authority | Financial Supervisory Service |
| Foreign Registration No. (if any) | |
| English Name of Country: |
KOREA, REPUBLIC OF
|
| English Name of Foreign Financial Regulatory Authority | Monetary Authority of Singapore |
| Foreign Registration No. (if any) | S63FC1518C |
| English Name of Country: |
SINGAPORE
|
| English Name of Foreign Financial Regulatory Authority | Financial Supervisory Commission |
| Foreign Registration No. (if any) | |
| English Name of Country: |
TAIWAN, PROVINCE OF CHINA
|
| English Name of Foreign Financial Regulatory Authority | Financial Services Agency |
| Foreign Registration No. (if any) | 0100-03-010870 |
| English Name of Country: |
JAPAN
|
| English Name of Foreign Financial Regulatory Authority | Reserve Bank of India |
| Foreign Registration No. (if any) | |
| English Name of Country: |
INDIA
|
| English Name of Foreign Financial Regulatory Authority | National Stock Exchange of India |
| Foreign Registration No. (if any) | |
| English Name of Country: |
INDIA
|
| English Name of Foreign Financial Regulatory Authority | Securities and Exchange Board of India |
| Foreign Registration No. (if any) | |
| English Name of Country: |
INDIA
|
| English Name of Foreign Financial Regulatory Authority | Bank of Italy |
| Foreign Registration No. (if any) | |
| English Name of Country: |
ITALY
|
| English Name of Foreign Financial Regulatory Authority | Prudential Regulation Authority |
| Foreign Registration No. (if any) | FC002984 / BR001358 |
| English Name of Country: |
UNITED KINGDOM
|
If applicant has more than 3 Foreign Financial Regulatory Authorities to report, complete additional Schedule F Page 1s.