This informational website has been created to assist investors in their understanding of the BNY Mellon Securities LLC and Mark Shaw Settlement with the United States Securities and Exchange Commission (the "Commission"), Administrative Proceeding File Nos. 3-14191 and 3-14192, dated January 14, 2011 (the "Orders").

Pages have been created for each of the following categories:


This is the current page you are reviewing and is the main page for this website.


This page provides a brief history of the events leading up to the settlement and an overview of the settlement agreement.

F.A.Q. (Frequently Asked Questions)

This page provides a series of responses to the most Frequently Asked Questions regarding the settlement.


This page contains links to various documents issued by the Securities and Exchange Commission and other sources that can assist shareholders in their understanding of the settlement.

Tax Information Page

This page provides information related to tax reporting and other obligations on settlement proceeds.

Contact Us

This page provides contact detail for the Fund Administrator.