TABLE OF CONTENTSServices Agreement • December 12th, 2001 • Dreyfus Disciplined Equity Income Fund • Pennsylvania
THE DREYFUS/LAUREL FUNDS, INC. (formerly, The Laurel Funds, Inc. and prior thereto The Boston Company Funds, Inc.) CUSTODY AGREEMENT AGREEMENT dated as of April 4, 1994, as amended, November 1, 1995, between The Dreyfus/Laurel Funds, Inc., a Maryland...Custody Agreement • December 29th, 1995 • Dreyfus Disciplined Equity Income Fund • Pennsylvania
Exhibit 5(d) SUB-INVESTMENT ADVISORY AGREEMENT THE DREYFUS CORPORATION 200 Park Avenue New York, New York 10166Dreyfus Disciplined Equity Income Fund • November 4th, 1997
As you are aware, Dreyfus Premier Tax Managed Growth Fund (the "Fund"),a series of The Dreyfus/Laurel Funds, Inc., a Maryland corporation (the "Company"), desires to employ its capital by investing and reinvesting the same in investments of the type and in accordance with the limitations specified in its Articles of Incorporation and in its Prospectus and Statement of Additional Information as from time to time in effect, copies of which have been or will be submitted to you, and in such manner and to such extent as from time to time may be approved by the Company's Board of Directors. The Company intends to employ The Dreyfus Corporation (the "Adviser") to act as the Fund's investment adviser pursuant to a written agreement with the Company dated April 4, 1994, transferred to the Adviser on October 17, 1994 (the "Management Agreement"), a copy of which has been furnished to you. The Adviser desires to employ you to act as the Fund's sub-investment adviser.
BANK SELLING AGREEMENTBank Selling Agreement • December 28th, 2015 • Dreyfus/Laurel Funds Inc • New York
MBSC Securities Corporation (“we or “us”) is the principal underwriter and exclusive agent for the continuous distribution of the shares of beneficial interest or common stock of open-end registered investment companies managed, advised or administered by The Dreyfus Corporation (“Dreyfus”) or its subsidiaries or affiliates (each, a “Fund” and collectively, the “Funds”) pursuant to the terms of a Distribution Agreement between us and the Funds. You, the firm specified on the signature page hereto (“you”), are a “bank” (as such term is defined in Section 3(a)(6) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”)). We agree to allow you to make shares of the Funds available to your customers in accordance with the terms and conditions set forth in this Agreement. Unless the context otherwise requires, as used herein the term “Prospectus” shall mean the full, statutory prospectus (the “Statutory Prospectus”) and related statement of additional information (the “SAI”)
BROKER-DEALER SELLING AGREEMENTBroker-Dealer Selling Agreement • December 28th, 2015 • Dreyfus/Laurel Funds Inc • New York
MBSC Securities Corporation (“we or “us”), as the principal underwriter and exclusive agent for the continuous distribution of the shares of beneficial interest or common stock of open-end registered investment companies managed, advised or administered by The Dreyfus Corporation (“Dreyfus”) or its subsidiaries or affiliates (each, a “Fund” and collectively, the “Funds”) pursuant to the terms of a Distribution Agreement between us and the Funds, agrees to sell Fund shares to you, the firm specified on the signature page hereto (“you”), in accordance with the terms and conditions set forth in this Agreement. Unless the context otherwise requires, as used herein the term “Prospectus” shall mean the full, statutory prospectus (the “Statutory Prospectus”) and related statement of additional information (the “SAI”) incorporated therein by reference (as amended or supplemented) of each of the respective Funds included in the then currently effective registration statement (or post-effective
AMENDED AND RESTATED DISTRIBUTION AGREEMENTDistribution Agreement • December 26th, 2019 • BNY Mellon Investment Funds IV, Inc.
This is to confirm that, in consideration of the agreements hereinafter contained, each investment company identified on Exhibit A hereto, as such Exhibit may be amended from time to time (each, the "Fund"), has agreed that you shall be, for the period of this agreement, the distributor of (a) shares of each series of the Fund set forth on Exhibit A hereto, as such Exhibit may be revised from time to time (each, a "Series") or (b) if no Series are set forth on such Exhibit, shares of the Fund. For purposes of this agreement the term "Shares" shall mean the authorized shares of the relevant Series, if any, and otherwise shall mean the Fund's authorized shares.
AMENDMENT TO CUSTODY AGREEMENTCustody Agreement • December 24th, 2013 • Dreyfus/Laurel Funds Inc • New York
This Amendment to the Custody Agreement (defined below) is made as of October 1, 2013 by and between each investment company identified on Schedule 1 hereto, as such Schedule may be amended from time to time (each such investment company and each investment company made subject to the Custody Agreement in accordance with Section 10.12 thereof, the "Fund"), and The Bank of New York Mellon (the "Custodian"). Capitalized terms used in this Amendment without definition shall have the respective meanings given to such terms in the Custody Agreement.
SUB-INVESTMENT ADVISORY AGREEMENT BNY MELLON INVESTMENT ADVISER, INC. 240 Greenwich Street New York, New York 10286Sub-Investment Advisory Agreement • November 4th, 2022 • BNY Mellon Investment Funds IV, Inc. • New York
As you are aware, BNY Mellon Investment Funds IV, Inc. (the "Company") desires to employ the capital of the series named on Schedule 1 hereto, as such Schedule may be revised from time to time (each, a "Fund"), by investing and reinvesting the same in investments of the type and in accordance with the limitations specified in the relevant Fund's Prospectus and Statement of Additional Information as from time to time in effect, copies of which have been or will be submitted to you, and in such manner and to such extent as from time to time may be approved by the Company's Board of Directors (the "Board"). The Company employs BNY Mellon Investment Adviser, Inc. (the "Adviser") to act as the Fund's investment adviser pursuant to a written agreement (the "Management Agreement"), a copy of which has been furnished to you. The Adviser is authorized to and desires to retain you, and you hereby agree to accept such retention, to act as the Fund's sub-investment adviser as of the date set forth
DISTRIBUTION AGREEMENTDistribution Agreement • December 27th, 2018 • Dreyfus/Laurel Funds, Inc.
This is to confirm that, in consideration of the agreements hereinafter contained, each investment company identified on Exhibit A hereto, as such Exhibit may be amended from time to time (each, the "Fund"), has agreed that you shall be, for the period of this agreement, the distributor of (a) shares of each series of the Fund set forth on Exhibit A hereto, as such Exhibit may be revised from time to time (each, a "Series") or (b) if no Series are set forth on such Exhibit, shares of the Fund. For purposes of this agreement the term "Shares" shall mean the authorized shares of the relevant Series, if any, and otherwise shall mean the Fund's authorized shares.
DISTRIBUTION AGREEMENT THE DREYFUS/LAUREL FUNDS, INC. 200 Park Avenue New York, New York 10166Distribution Agreement • June 27th, 2006 • Dreyfus/Laurel Funds Inc
This is to confirm that, in consideration of the agreements hereinafter contained, the above-named investment company (the “Fund”) has agreed that you shall be, for the period of this agreement, the distributor of (a) shares of each series of the Fund set forth on Exhibit A hereto, as such Exhibit may be revised from time to time (each a “Series”) or (b) if no Series are set forth on such Exhibit, shares of the Fund. For purposes of this agreement the term “Shares” shall mean the authorized shares of the relevant Series, if any, and otherwise shall mean the Fund’s authorized shares.
BANK SELLING AGREEMENTBank Selling Agreement • March 28th, 2018 • Dreyfus/Laurel Funds Inc • New York
MBSC Securities Corporation (“we” or “us”), as the principal underwriter and exclusive agent for the continuous distribution of the shares of beneficial interest or common stock of open-end registered investment companies managed, advised or administered by The Dreyfus Corporation (“Dreyfus”) or its subsidiaries or affiliates (each, a “Fund” and collectively, the “Funds”) pursuant to the terms of a Distribution Agreement between us and the Funds, agrees to sell Fund shares to you, the firm specified on the signature page hereto (“you”), which is a “bank” (as such term is defined in Section 3(a)(6) of the Securities Exchange Act of 1934, as amended (“Exchange Act”)), in accordance with the terms and conditions set forth in this Agreement. You may make shares of the Funds available to your customers and, with respect to certain Fund shares, provide shareholder, administrative or other services to your customers who own shares of the Funds in accordance with the terms and conditions set f
SERVICE AGREEMENTService Agreement • September 12th, 2016 • Dreyfus/Laurel Funds Inc • New York
This Agreement is entered into as of __________, ____ between __________________, a ___________________ (the "Service Provider") and MBSC Securities Corporation, a New York corporation ("MBSC").
BROKER-DEALER SELLING AGREEMENTBroker-Dealer Selling Agreement • March 28th, 2018 • Dreyfus/Laurel Funds Inc • New York
MBSC Securities Corporation (“we” or “us”), as the principal underwriter and exclusive agent for the continuous distribution of the shares of beneficial interest or common stock of open-end registered investment companies managed, advised or administered by The Dreyfus Corporation (“Dreyfus”) or its subsidiaries or affiliates (each, a “Fund” and collectively, the “Funds”) pursuant to the terms of a Distribution Agreement between us and the Funds, agrees to sell Fund shares to you, the firm specified on the signature page hereto (“you”), in accordance with the terms and conditions set forth in this Agreement. You may make shares of the Funds available to your customers and, with respect to certain Fund shares, provide shareholder, administrative or other services to your customers who own shares of the Funds in accordance with the terms and conditions set forth in this Agreement. Unless the context otherwise requires, as used herein the term “Prospectus” shall mean the full, statutory p
October 14, 1994 As Amended October 21, 1999 ===========================Distribution Agreement • February 24th, 2000 • Dreyfus Disciplined Equity Income Fund
CUSTODY AGREEMENT by and between THE FUNDS LISTED ON SCHEDULE 1 HERETO and THE BANK OF NEW YORK MELLONCustody Agreement • December 23rd, 2010 • Dreyfus/Laurel Funds Inc • New York
CUSTODY AGREEMENT, dated as of January 1, 2011 (“Agreement”) between each investment company identified on Schedule 1 hereto, as such Schedule may be amended from time to time (each such investment company and each investment company made subject to this Agreement in accordance with Section 10.12 below, the “Fund”) and THE BANK OF NEW YORK MELLON, a bank organized under the laws of the state of New York (the “Custodian”).
DISTRIBUTION AGREEMENT [NAME OF FUND] 200 Park Avenue New York, New York 10166Distribution Agreement • December 14th, 2000 • Dreyfus Disciplined Equity Income Fund
APPENDIX A FORM OF INVESTMENT MANAGEMENT AGREEMENT AGREEMENT made this 4th day of April, 1994 between The Laurel Funds, Inc., a Maryland corporation (hereinafter referred to as the "Investment Company"), on behalf of the investment portfolios...Investment Management Agreement Agreement • December 29th, 1995 • Dreyfus Disciplined Equity Income Fund
AMENDED AND RESTATED DISTRIBUTION AGREEMENTDistribution Agreement • June 12th, 2013 • Dreyfus/Laurel Funds Inc
This is to confirm that, in consideration of the agreements hereinafter contained, each investment company identified on Exhibit A hereto, as such Exhibit may be amended from time to time (each, the “Fund”), has agreed that you shall be, for the period of this agreement, the distributor of (a) shares of each series of the Fund set forth on Exhibit A hereto, as such Exhibit may be revised from time to time (each, a “Series”) or (b) if no Series are set forth on such Exhibit, shares of the Fund. For purposes of this agreement the term “Shares” shall mean the authorized shares of the relevant Series, if any, and otherwise shall mean the Fund’s authorized shares.
FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • December 23rd, 2022 • BNY Mellon Investment Funds IV, Inc.
This Investment Agreement (the “Agreement”), dated as of December 15, 2021 is between Northern Lights Fund Trust, a statutory trust organized under the laws of the State of Delaware (the “Acquiring Trust”), on behalf of each of its separate series listed on Schedule A (each, an “Acquiring Fund,” and collectively, the “Acquiring Funds”), severally and not jointly, and each registrant identified on Schedule B (each, an "Acquired Company"), on behalf of itself and its respective series identified on Schedule B, severally and not jointly (each, an "Acquired Fund" and collectively the "Acquired Funds" and together with the Acquiring Funds, the "Funds"), severally and not jointly, and shall become effective on January 19, 2022.
OPERATING ACCOUNTS AMENDMENTAccounts Amendment • December 27th, 2023 • BNY Mellon Investment Funds IV, Inc.
Each investment company set forth on Schedule I of the Custody Agreement (as defined below), as such Schedule may be amended from time to time (each a "Fund"), and The Bank of New York Mellon (the "Bank") are parties to a Custody Agreement dated January 1, 2011, amended as of October 1, 2013 and December 22, 2016 (the "Custody Agreement"). Various series of the respective Funds are covered by the Custody Agreement (each a "Portfolio"; if a Fund has no series, the term "Portfolio" also refers to such Fund). This amendment is an amendment to the Custody Agreement. Each entity that becomes a party to the Custody Agreement after the date of this amendment shall be a "Fund" under this amendment.
SUB-INVESTMENT ADVISORY AGREEMENT THE DREYFUS CORPORATION 200 Park Avenue New York, New York 10166Sub-Investment Advisory Agreement • September 30th, 1998 • Dreyfus Disciplined Equity Income Fund
As you are aware, Dreyfus Tax-Smart Growth Fund (the "Fund"),a series of The Dreyfus/Laurel Funds, Inc., a Maryland corporation (the "Company"), desires to employ its capital by investing and reinvestingthe same in investments of the type and in accordance with the limitations specified in its Articles of Incorporation and in its Prospectus and Statement of Additional Information as from time to time in effect, copies of which have been or will be submitted to you, and in such manner and to such extent as from time to time may be approved by the Company's Board of Directors. The Company intends to employ The Dreyfus Corporation (the "Adviser") to act as the Fund's investment adviser pursuant to a written agreement with the Company dated April 4, 1994, transferred to the Adviser on October 17, 1994 (the "Management Agreement"), a copy of which has been furnished to you. The Adviser desires to employ you to act as the Fund's sub-investment adviser.
SUB-INVESTMENT ADVISORY AGREEMENT BNY MELLON INVESTMENT ADVISER, INC. 240 Greenwich Street New York, New York 10286Sub-Investment Advisory Agreement • February 27th, 2023 • BNY Mellon Investment Funds IV, Inc.
BNY Mellon Tax Managed Growth Fund (the "Fund"), a series of BNY Mellon Investment Funds IV, Inc., a Maryland corporation (the "Company"), desires to employ its capital by investing and reinvesting the same in investments of the type and in accordance with the limitations specified in the Fund's Prospectus and Statement of Additional Information as from time to time in effect, copies of which have been or will be submitted to you, and in such manner and to such extent as from time to time may be approved by the Company's Board of Directors. The Company employs BNY Mellon Investment Adviser, Inc. (the "Adviser") to act as the Fund's investment adviser pursuant to a written agreement with the Company (the "Management Agreement"), a copy of which has been furnished to you. The Adviser is authorized to and desires to retain you, and you hereby agree to accept such retention, to act as the Fund's sub-investment adviser as of the date set forth above (the "Effective Date").
SUB-INVESTMENT ADVISORY AGREEMENT BNY MELLON INVESTMENT ADVISER, INC. 240 Greenwich Street New York, New York 10286Sub-Investment Advisory Agreement • December 26th, 2019 • BNY Mellon Investment Funds IV, Inc. • New York
As you are aware, BNY Mellon Investment Funds IV, Inc. (the "Company") desires to employ the capital of the series named on Schedule 1 hereto, as such Schedule may be revised from time to time (each, a "Series"), by investing and reinvesting the same in investments of the type and in accordance with the limitations specified in the relevant Series' Prospectus and Statement of Additional Information as from time to time in effect, copies of which have been or will be submitted to you, and in such manner and to such extent as from time to time may be approved by the Company's Board. The Company employs BNY Mellon Investment Adviser, Inc. (the "Adviser") to act as the Series' investment adviser pursuant to a written agreement (the "Management Agreement"), a copy of which has been furnished to you. The Adviser is authorized to and desires to retain you, and you hereby agree to accept such retention, to act as the Series' sub-investment adviser with respect to that portion of the Series' as
SERVICE AGREEMENTService Agreement • December 23rd, 2022 • BNY Mellon Investment Funds IV, Inc. • New York
This Agreement is entered into as of __________, ____ between __________________, a ___________________ (the "Service Provider") and BNY Mellon Securities Corporation, a New York corporation ("BNYMSC").
MANAGEMENT AGREEMENT THE DREYFUS/LAUREL FUNDS, INC.Management Agreement • June 26th, 2014 • Dreyfus/Laurel Funds Inc
The above-named investment company (the "Company") consisting of the series named on Schedule 1 hereto, as such Schedule may be revised from time to time (each, a "Series"), herewith confirms its agreement with you as follows:
September 12, 2008Dreyfus/Laurel Funds Inc • October 31st, 2008
SUB-INVESTMENT ADVISORY AGREEMENT THE DREYFUS CORPORATION 200 Park Avenue New York, New York 10166Dreyfus/Laurel Funds Inc • July 24th, 2009
As you are aware, Dreyfus Core Equity Fund (the "Fund"), a series of The Dreyfus/Laurel Funds, Inc., a Maryland corporation (the "Company"), desires to employ its capital by investing and reinvesting the same in investments of the type and in accordance with the limitations specified in the Fund's Prospectus and Statement of Additional Information as from time to time in effect, copies of which have been or will be submitted to you, and in such manner and to such extent as from time to time may be approved by the Company's Board of Directors. The Company employs The Dreyfus Corporation (the "Adviser") to act as the Fund's investment adviser pursuant to a written agreement with the Company (the "Management Agreement"), a copy of which has been furnished to you. The Adviser desires to retain you, and you hereby agree to accept such retention, as the Fund's sub-investment adviser.
December 16, 2019Nationwide Mutual Funds • January 3rd, 2020
You have requested our opinion as to certain federal income tax consequences of the reorganization of the Target Fund into the Acquiring Fund (the “Reorganization”) which will consist of: (i) the acquisition by the NMF Trust, on behalf of the Acquiring Fund, of all of the Assets of the Target Fund in exchange for both Acquiring Fund Shares and the assumption by the NMF Trust, with respect to the Acquiring Fund, of the Liabilities of the Target Fund; (ii) the distribution by the Acquiring Fund of Acquiring Fund Shares to the shareholders of the Target Fund (“Target Fund Shares”) according to their respective interests in the Target Fund in complete liquidation of the Target Fund; and (iii) the liquidation and, as soon as practicable after the Closing, the termination of the Target Fund all upon and subject to the terms and conditions of the Agreement. The Acquiring Fund is, and will be immediately prior to Closing, a shell series, without assets (other than seed capital) or liabilities,
DISTRIBUTION AGREEMENT The Dreyfus/Laurel Funds, Inc.Distribution Agreement • October 22nd, 2010 • Dreyfus/Laurel Funds Inc
This is to confirm that, in consideration of the agreements hereinafter contained, the above-named investment company (the "Fund") has agreed that you shall be, for the period of this agreement, the distributor of (a) shares of each series of the Fund set forth on Exhibit A hereto, as such Exhibit may be revised from time to time (each, a "Series") or (b) if no Series are set forth on such Exhibit, shares of the Fund. For purposes of this agreement the term "Shares" shall mean the authorized shares of the relevant Series, if any, and otherwise shall mean the Fund's authorized shares.
DISTRIBUTION AGREEMENTDistribution Agreement • February 27th, 2004 • Dreyfus Disciplined Equity Income Fund
This is to confirm that, in consideration of the agreements hereinafter contained, the above-named investment company (the "Fund") has agreed that you shall be, for the period of this agreement, the distributor of (a) shares of each Series of the Fund set forth on Exhibit A hereto, as such Exhibit may be revised from time to time (each, a "Series") or (b) if no Series are set forth on such Exhibit, shares of the Fund. For purposes of this agreement the term "Shares" shall mean the authorized shares of the relevant Series, if any, and otherwise shall mean the Fund's authorized shares.
AMENDED AND RESTATED DISTRIBUTION AGREEMENTDistribution Agreement • September 5th, 2013 • Dreyfus/Laurel Funds Inc
This is to confirm that, in consideration of the agreements hereinafter contained, each investment company identified on Exhibit A hereto, as such Exhibit may be amended from time to time (each, the "Fund"), has agreed that you shall be, for the period of this agreement, the distributor of (a) shares of each series of the Fund set forth on Exhibit A hereto, as such Exhibit may be revised from time to time (each, a "Series") or (b) if no Series are set forth on such Exhibit, shares of the Fund. For purposes of this agreement the term "Shares" shall mean the authorized shares of the relevant Series, if any, and otherwise shall mean the Fund's authorized shares.
The Dreyfus/Laurel Funds, Inc. (the “Registrant”) Dreyfus Floating Rate Income Fund (the “Fund”)Dreyfus/Laurel Funds Inc • April 29th, 2014
Articles Supplementary, dated September 17, 2013, to the Registrant’s Articles of Incorporation and the Registrant’s Management Agreement (on behalf of the Fund), dated April 20, 2006, As Amended, April 25, 2013, are incorporated by reference to Post-Effective Amendment No. 139 to the Registrant’s Registration Statement on Form N-1A, which was filed with the Securities and Exchange Commission on September 5, 2013.
BNY MELLON INVESTMENT ADVISER, INC.BNY Mellon Investment Funds IV, Inc. • December 27th, 2023
This Agreement may only be amended by agreement of the Company, on behalf of the fund, upon the approval of the Board of Directors of the Company and BNYM Investment Adviser to lower the net amounts shown and may only be terminated prior to December 29, 2024, in the event of termination of the Management Agreement between BNYM Investment Adviser and the Company on behalf of the fund.
The Dreyfus/Laurel Funds, Inc. (the “Registrant”) Dreyfus Opportunistic Emerging Markets Debt Fund (the “Fund”)Management Agreement • December 27th, 2013 • Dreyfus/Laurel Funds Inc
The Registrant’s Management Agreement (on behalf of the Fund), dated April 20, 2006, As Amended, April 25, 2013, is incorporated by reference to Post Effective Amendment No. 133 to the Registrant’s Registration Statement on Form N-1A, which was filed with the Securities and Exchange Commission on June 12, 2013.
SUB-INVESTMENT ADVISORY AGREEMENT BNY MELLON INVESTMENT ADVISER, INC. 240 Greenwich Street New York, New York 1086Sub-Investment Advisory Agreement • February 26th, 2020 • BNY Mellon Investment Funds IV, Inc.
As you are aware, BNY Mellon Tax Managed Growth Fund (the "Fund"), a series of BNY Mellon Investment Funds IV, Inc., a Maryland corporation (the "Company"), desires to employ its capital by investing and reinvesting the same in investments of the type and in accordance with the limitations specified in the Fund's Prospectus and Statement of Additional Information as from time to time in effect, copies of which have been or will be submitted to you, and in such manner and to such extent as from time to time may be approved by the Company's Board of Directors. The Company employs BNY Mellon Investment Adviser, Inc. (the "Adviser") to act as the Fund's investment adviser pursuant to a written agreement with the Company (the "Management Agreement"), a copy of which has been furnished to you. The Adviser desires to retain you, and you hereby agree to accept such retention, as the Fund's sub-investment adviser.
