Item 2 Issuer Principal Place of Business and Contact Information
ONE WALL STREET
NEW YORK, NY 10286
Phone Number:
subscription required
Item 3. Related Persons
Name
GERALD L. HASSELL
Address
subscription required
Relationship(s)
EXECUTIVE OFFICER
DIRECTOR
Clarification of Response
CHAIRMAN AND CHIEF EXECUTIVE OFFICER
Item 3. Related Persons
Name
CURTIS Y. ARLEDGE
Address
subscription required
Relationship(s)
EXECUTIVE OFFICER
Clarification of Response
CHIEF EXECUTIVE OFFICER, INVESTMENT MANAGEMENT
Item 3. Related Persons
Name
RICHARD F. BRUECKNER
Address
subscription required
Relationship(s)
EXECUTIVE OFFICER
Clarification of Response
CHIEF OF STAFF
Item 3. Related Persons
Name
THOMAS P. GIBBONS
Address
subscription required
Relationship(s)
EXECUTIVE OFFICER
Clarification of Response
CHIEF FINANCIAL OFFICER
Item 3. Related Persons
Name
TIMOTHY F. KEANEY
Address
subscription required
Relationship(s)
EXECUTIVE OFFICER
Clarification of Response
CHIEF EXECUTIVE OFFICER, INVESTMENT SERVICES
Item 3. Related Persons
Name
JOHN A. PARK
Address
subscription required
Relationship(s)
EXECUTIVE OFFICER
Clarification of Response
CONTROLLER
Item 3. Related Persons
Name
KAREN B. PEETZ
Address
subscription required
Relationship(s)
EXECUTIVE OFFICER
Clarification of Response
PRESIDENT
Item 3. Related Persons
Name
BRIAN G. ROGAN
Address
subscription required
Relationship(s)
EXECUTIVE OFFICER
Clarification of Response
CHIEF RISK OFFICER
Item 3. Related Persons
Name
JANE C. SHERBURNE
Address
subscription required
Relationship(s)
EXECUTIVE OFFICER
Clarification of Response
GENERAL COUNSEL AND CORPORATE SECRETARY
Item 3. Related Persons
Name
RUTH E. BRUCH
Address
subscription required
Relationship(s)
DIRECTOR
Clarification of Response
Item 3. Related Persons
Name
NICHOLAS M. DONOFRIO
Address
subscription required
Relationship(s)
DIRECTOR
Clarification of Response
Item 3. Related Persons
Name
EDMUND F. KELLY
Address
subscription required
Relationship(s)
DIRECTOR
Clarification of Response
Item 3. Related Persons
Name
RICHARD J. KOGAN
Address
subscription required
Relationship(s)
DIRECTOR
Clarification of Response
Item 3. Related Persons
Name
MICHAEL J. KOWALSKI
Address
subscription required
Relationship(s)
DIRECTOR
Clarification of Response
Item 3. Related Persons
Name
JOHN A. LUKE, JR.
Address
subscription required
Relationship(s)
DIRECTOR
Clarification of Response
Item 3. Related Persons
Name
MARK A. NORDENBERG
Address
subscription required
Relationship(s)
DIRECTOR
Clarification of Response
Item 3. Related Persons
Name
CATHERINE A. REIN
Address
subscription required
Relationship(s)
DIRECTOR
Clarification of Response
Item 3. Related Persons
Name
WILLIAM C. RICHARDSON
Address
subscription required
Relationship(s)
DIRECTOR
Clarification of Response
Item 3. Related Persons
Name
SAMUEL C. SCOTT
Address
subscription required
Relationship(s)
DIRECTOR
Clarification of Response
Item 3. Related Persons
Name
WESLEY W. VON SCHACK
Address
subscription required
Relationship(s)
DIRECTOR
Clarification of Response
Item 3. Related Persons
Name
BRIAN T. SHEA
Address
subscription required
Relationship(s)
EXECUTIVE OFFICER
Clarification of Response
PRESIDENT, INVESTMENT SERVICES; HEAD OF CLIENT SERVICE DELIVERY AND CLIENT TECHNOLOGY SOLUTIONS; CHAIRMAN, PERSHING LLC
Item 4. Industry Group
OTHER BANKING AND FINANCIAL SERVICES
Item 5. Issuer Size
Revenue Range (for issuer not specifying "hedge" or "other investment" fund in Item 4 above)
OVER $100,000,000
Item 6. Federal Exemptions and Exclusions Claimed
06B
Item 7. Type of Filing
Amendment
Date of First Sale in this Offering:
07/08/2010
Item 8. Duration of Offering
Does the issuer intend this offering to last more than one year?
Yes
Item 9. Type(s) of Securities Offered
Debt
Item 10. Business Combination Transaction
Is this offering being made in connection with a business combination
transaction, such as a merger, acquisition or exchange offer?
No
Clarification of Response
Item 11. Minimum Investment
Minimum Investment accepted from any outside investor
250000
Item 12. Sales Compensation
Recipient
MERRILL LYNCH, PIERCE, FENNER SMITH INCORPORATED
Recipient CRD Number
7691
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
ONE BRYANT PARK
NEW YORK, NY 10036
States of Solicitation
ALL STATES
Item 12. Sales Compensation
Recipient
BNY MELLON CAPITAL MARKETS, LLC
Recipient CRD Number
17454
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
32 OLD SLIP, 15TH FLOOR
NEW YORK, NY 10286
States of Solicitation
ALL STATES
Item 13. Offering and Sales Amounts
Total Offering Amount
5000000000
Total Amount Sold
1948000000
Total Remaining to be Sold
3052000000
Clarification of Response
THE TOTAL OFFERING AMOUNT REPRESENTS THE MAXIMUM AMOUNT OF OUR COMMERCIAL PAPER NOTES OUTSTANDING AT ANY ONE TIME. THE TOTAL AMOUNT SOLD REPRESENTS THE PRINCIPAL AMOUNT OF OUR COMMERCIAL PAPER NOTES OUTSTANDING ON SEPTEMBER 30, 2013.
Item 14. Investors
Securities in the offering have been or may be sold to persons
who do not qualify as accredited investors,
Number of non-accredited investors who already have invested in the offering:
Total number of investors who already have invested in the offering:
46
Item 15. Sales Commissions and Finders' Fees Expenses
Sales Commissions:
120000.0 Is an estimate
Finders' Fees
0.0
Clarification of Response
Item 16. Use of Proceeds
Provide the amount of the gross proceeds of the offering
that has been or is proposed to be used for payments to any of the persons required
to be named as executive officers,directors or promoters in response to Item 3 above.
0.0
Clarification of Response
Signature and Submission
Notice has been signed on behalf by the undersigned duly authorized person