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The Governance & Culture Reform hub is designed to foster discussion about corporate governance and the reform of culture and behavior in the financial services industry.
Need to file a report with the New York Fed? Here are all of the forms, instructions and other information related to regulatory and statistical reporting in one spot.
The New York Fed works to protect consumers as well as provides information and resources on how to avoid and report specific scams.
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The New York Fed provides a wide range of payment services for financial institutions and the U.S. government.
The New York Fed offers the Central Banking Seminar and several specialized courses for central bankers and financial supervisors.
The New York Fed has been working with tri-party repo market participants to make changes to improve the resiliency of the market to financial stress.
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The Economic Inequality & Equitable Growth hub is a collection of research, analysis and convenings to help better understand economic inequality.
The Governance & Culture Reform hub is designed to foster discussion about corporate governance and the reform of culture and behavior in the financial services industry.
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Primary Dealers List Archive
Primary dealers serve as trading counterparties of the New York Fed in its implementation of monetary policy. This role includes the obligations to: (i) participate consistently in open market operations to carry out U.S. monetary policy pursuant to the direction of the Federal Open Market Committee (FOMC); and (ii) provide the New York Fed's trading desk with market information and analysis helpful in the formulation and implementation of monetary policy. Primary dealers are also required to participate in all auctions of U.S. government debt and to make reasonable markets for the New York Fed when it transacts on behalf of its foreign official account-holders.
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Date
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Changes to Primary Dealers List
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Oct 31, 2011 |
MF Global has been deleted from the list of primary dealers, effective October 31, 2011.
October 31, 2011 Revised Primary Dealers List ›› |
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Oct 4, 2011 |
BMO Capital Markets Corp. and Bank of Nova Scotia, New York Agency have been added to the list of primary dealers, effective October 4, 2011.
October 4, 2011 Revised Primary Dealers List ›› |
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Jun 1, 2011
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Morgan Stanley & Co. Incorporated converted to a LLC, Morgan Stanley & Co. LLC, effective May 31, 2011.
June 1, 2011 Revised Primary Dealers List ›› |
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Feb 2, 2011
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MF Global Inc. and SG Americas Securities, LLC have been added to the list of primary dealers, effective February 2, 2011.
February 2, 2011 Revised Primary Dealers List ›› |
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Nov 2, 2010
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RBC Capital Markets Corporation converted to a limited liability company, RBC Capital Markets, LLC, effective November 1, 2010.
November 2, 2010 Revised Primary Dealers List ›› |
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Nov 1, 2010
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Banc of America Securities LLC merged with Merrill Lynch, Pierce, Fenner & Smith Incorporated, with the latter the surviving entity. The primary dealer is now Merrill Lynch, Pierce, Fenner & Smith Incorporated, effective November 1, 2010.
November 1, 2010 Revised Primary Dealers List ›› |
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Sep 1, 2010
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J.P. Morgan Securities Inc. converted from a corporation to a limited liability company, J.P. Morgan Securities LLC, effective September 1, 2010.
September 1, 2010 Revised Primary Dealers List ›› |
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Apr 1, 2010
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Daiwa Securities America Inc. changed its name to Daiwa Capital Markets America Inc., effective April 1, 2010.
April 1, 2010 Revised Primary Dealers List ›› |
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Jul 27, 2009
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Nomura Securities International, Inc. has been added to the list of primary dealers, effective July 27, 2009.
July 27, 2009 Revised Primary Dealers List ›› |
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Jul 7, 2009
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RBC Capital Markets Corporation has been added to the list of primary dealers, effective July 8, 2009.
July 7, 2009 Revised Primary Dealers List ›› |
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Jun 26, 2009
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Dresdner Kleinwort Securities LLC has withdrawn its name from the list of primary dealers, effective close of business June 26, 2009.
June 26, 2009 Revised Primary Dealers List ›› |
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Jun 17, 2009
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Jefferies & Company, Inc. added to the list of primary dealers effective June 18, 2009.
June 17, 2009 Revised Primary Dealers List ›› |
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Feb 11, 2009
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Merrill Lynch Government Securities Inc. was deleted from the list of primary dealers as a result of the acquisition of Merrill Lynch & Co., Inc. by Bank of America Corporation.
February 11, 2009 Revised Primary Dealers List ›› |
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Oct 1, 2008
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Bear, Stearns & Co. was deleted from the list of primary dealers as a result of their acquisition by J.P. Morgan Securities Inc.
October 1, 2008 Revised Primary Dealers List ›› |
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Sep 22, 2008
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Lehman Brothers Inc. was deleted from the list of primary dealers.
September 22, 2008 Revised Primary Dealers List ›› |
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Jul 15, 2008
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Countrywide Securities Corporation was removed from the list as a result of their acquisition by Bank of America.
July 15, 2006 Revised Primary Dealers List ›› |
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Jun 5, 2008
Revised July 15, 2008 |
Dresdner Kleinwort Wasserstein Securities LLC changed its name to Dresdner Kleinwort Securities LLC
September 18, 2006 Revised Primary Dealers List ›› |
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Nov 30, 2007
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Nomura Securities International, Inc. has withdrawn its name from the list of primary dealers
November 30, 2007 Revised Primary Dealers List ›› |
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Feb 8, 2007
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CIBC World Markets Corp. has withdrawn its name from the list of primary dealers
February 8, 2007 Revised Primary Dealers List ›› |
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Sep 15, 2006
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ABN AMRO Bank, N.V., New York Branch has withdrawn its name from the list of primary dealers
September 15, 2006 Revised Primary Dealers List ›› |
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Jul 31, 2006
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Cantor Fitzgerald & Co. added to the list of primary dealers effective August 1, 2006.
July 31, 2006 Revised Primary Dealers List ›› |
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Jan 17, 2006
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Credit Suisse First Boston LLC changed its name to Credit Suisse Securities (USA) LLC.
January 16, 2006 Revised Primary Dealers List ›› |
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Aug 3, 2004
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J.P. Morgan Securities, Inc. merged with Bank One Capital Markets, Inc. to form
J.P. Morgan Securities Inc. effective August 2, 2004 Revised Primary Dealers List ›› |
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Jul 1, 2004
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J. P. Morgan Securities, Incorporated and Banc One Capital Markets, Incorporated, now affiliates, intend to merge effective as of August 2, 2004.
Revised Primary Dealers List ›› |
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Jan 14, 2004
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Countrywide Securities Corporation was added to the list of primary dealers.
Revised Primary Dealers List ›› |
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Jun 12, 2003
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UBS Warburg LLC changed its name to UBS Securities LLC.
Revised Primary Dealers List ›› |
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Apr 7, 2003
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Salomon Smith Barney Inc changed its name to Citigroup Global Markets Inc.
Revised Primary Dealers List ›› |
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Mar 18, 2003
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Credit Suisse First Boston Corporation changed its name to Credit Suisse First Boston LLC.
Revised Primary Dealers List ›› |
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Dec 9, 2002
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ABN AMRO Incorporated changed its name to ABN AMRO Bank, NV, New York Branch.
Revised Primary Dealers List ›› |
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Apr 1, 2002
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Zions First National Bank and BMO Nesbitt Burns Corp withdrew their names from the list of primary dealers. Deutsche Banc Alex. Brown Inc changed its name to Deutsche Bank Securities Inc. Fuji Securities Inc changed its name to Mizuho Securities USA Inc.
Revised Primary Dealers List ›› |
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Oct 31, 2001
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SG Cowen Securities Corporation withdrew its name from the list of primary dealers.
Revised Primary Dealers List ›› |
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Jul 2, 2001
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Dresdner Kleinwort Benson North America LLC changed its name to Dresdner Kleinwort Wasserstein Securities LLC.
Revised Primary Dealers List ›› |
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May 23, 2001
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Nesbitt Burns Securities Inc changed its name to BMO Nesbitt Burns Corp.
Revised Primary Dealers List ›› |
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May 1, 2001
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JP Morgan Securities Inc merged with Chase Securities Inc to form JP Morgan Securities Inc.
Revised Primary Dealers List ›› |
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Jan 16, 2001
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Deutsche Bank Securities, Inc changed its name to Deutsche Banc Alex. Brown Inc.
Revised Primary Dealers List ›› |
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Jan 5, 2001
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JP Morgan & Co Incorporated and Chase Manhattan Corporation, now affiliates, are expected to merge at the end of the first quarter or early in the second quarter of 2001.
Revised Primary Dealers List ›› |
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Jan 2, 2001
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Donaldson, Lufkin & Jenrette Securities Corporation has withdrawn its name from the list of primary dealers.
Revised Primary Dealers List ›› |
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Dec 5, 2000
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Paine Webber Incorporated withdrew its name from the list of primary dealers.
Revised Primary Dealers List ›› |
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Dec 1, 2000
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Prudential Securities Incorporated withdrew its name from the list of primary dealers.
Revised Primary Dealers List ›› |
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Nov 14, 2000
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Donaldson, Lufkin & Jenrette Securities Corporation (DLJ) was acquired by Credit Suisse First Boston Corporation. Paine Webber Incorporated became a business division of UBS Warburg LLC.
Revised Primary Dealers List ›› |
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Sept 15, 2000
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Paribas Corporation changed its name to BNP Paribas Securities Corp.
Revised Primary Dealers List ›› |
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May 1, 2000
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Warburg Dillon Read LLC changed its name to UBS Warburg LLC.
Revised Primary Dealers List ›› |
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April 17, 2000
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Aubrey G. Lanston & Co, Inc withdrew its name from the list of primary dealers.
Revised Primary Dealers List ›› |
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Sept 23, 1999
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CIBC Oppenheimer Corp changed its name to CIBC World Markets Corp.
Revised Primary Dealers List ›› |
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July 1, 1999
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SG Cowen Securities Corporation was added to the list of primary dealers.
Revised Primary Dealers List ›› |
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June 4, 1999
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BT Alex. Brown Incorporated withdrew its name from the list of primary dealers.
Revised Primary Dealers List ›› |
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June 1, 1999
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HSBC Securities, Inc changed its name to HSBC Securities (USA) Inc.
Revised Primary Dealers List ›› |
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May 17, 1999
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NationsBanc Montgomery Securities LLC changed its name to Banc of America Securities LLC.
Revised Primary Dealers List ›› |
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April 1, 1999
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First Chicago Capital Markets, Inc changed its name to Banc One Capital Markets, Inc.
Revised Primary Dealers List ›› |
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Jan 4, 1999
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The Nikko Securities Co International, Inc withdrewn its name from the list of primary dealers.
Revised Primary Dealers List ›› |
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