Certain items in Part I of Form MA require additional information on Schedule D. Use this Schedule D to report details for items listed below. Report only new information or changes/updates to previously submitted information. Do not repeat previously submitted information.
This is an: INITIAL or AMENDED Schedule D or ANNUAL UPDATE
SECTION 1-B Other Names under which Municipal Advisor-Related Business is Conducted
List the applicant's other business names and the jurisdictions in which they are used. A separate Schedule D must be completed for each business name, and the jurisdictions where that name is used.
SECTION 1-D Additional Registrations of the Applicant
Indicate any additional registrations with federal or state regulators, and the relevant registration number. A separate Schedule D must be completed for each such registration.
Name:
U.S. Commodity Futures Trading Commission
Registration No.:
NFA ID 279188
SECTION 1-E Additional Offices at which the Applicant's Municipal Advisor-Related Business is Conducted
Provide the location of the largest five additional offices (in terms of numbers of employees) at which the applicant's municipal advisor-related business is conducted other than applicant's principal office and place of business. A separate Schedule D must be completed for each such office.
Select only one: AddDelete Amend
Street Address 1:
Street Address 2:
City:
State/Country:
NEW YORK �
Is this address a private residence?
A private residential address will not be included in publicly available versions of this registration form.
Telephone number at this location:
Fax number (if any) a this location:
Select only one: AddDelete Amend
Street Address 1:
Street Address 2:
City:
State/Country:
GEORGIA �
Is this address a private residence?
A private residential address will not be included in publicly available versions of this registration form.
Telephone number at this location:
Fax number (if any) a this location:
Select only one: AddDelete Amend
Street Address 1:
Street Address 2:
City:
State/Country:
DELAWARE �
Is this address a private residence?
A private residential address will not be included in publicly available versions of this registration form.
Telephone number at this location:
Fax number (if any) a this location:
Select only one: AddDelete Amend
Street Address 1:
Street Address 2:
City:
State/Country:
ILLINOIS �
Is this address a private residence?
A private residential address will not be included in publicly available versions of this registration form.
Telephone number at this location:
Fax number (if any) a this location:
Select only one: AddDelete Amend
Street Address 1:
Street Address 2:
City:
State/Country:
MASSACHUSETTS �
Is this address a private residence?
A private residential address will not be included in publicly available versions of this registration form.
Telephone number at this location:
Fax number (if any) a this location:
SECTION 1-F Additional Website Addresses
List any additional website addresses of the applicant. A separate Schedule D must be completed for each such website address.
Select only one: Add Delete Amend
Website Address:
www.blackrockdisclosures.com
Select only one: Add Delete Amend
Website Address:
www.blackrockdocuments.com
Select only one: Add Delete Amend
Website Address:
www.blackrock.com.gateway
SECTION 1-I Location of Books and Records
Complete the following information for each location at which the applicant keeps books and records, other than its principal office and place of business. A separate Schedule D must be completed for each location.
Select only one: AddDelete Amend
Name of entity where books and records are kept:
BlackRock, Inc.
Street Address 1:
Street Address 2:
City:
State/Country:
NEW YORK �
Is this address a private residence?
Telephone number at this location:
Fax number (if any) at this location:
For non-US telephone and fax numbers, include country code with area code and local number.
This is (Select only one):
one of applicant's branch offices or affiliates.
a third-party unaffiliated record keeper.
Other
Briefly describe the books and records kept at the location(s) you checked. If you checked "other," describe additionally all such location(s).
Some or all of the books and records required to be kept under MSRB rules and SEC rules.�
Select only one: AddDelete Amend
Name of entity where books and records are kept:
Iron Mountain
Street Address 1:
Street Address 2:
City:
State/Country:
CALIFORNIA �
Is this address a private residence?
Telephone number at this location:
Fax number (if any) at this location:
For non-US telephone and fax numbers, include country code with area code and local number.
This is (Select only one):
one of applicant's branch offices or affiliates.
a third-party unaffiliated record keeper.
Other
Briefly describe the books and records kept at the location(s) you checked. If you checked "other," describe additionally all such location(s).
Some or all of the books and records required to be kept under MSRB rules and SEC rules.�
Select only one: AddDelete Amend
Name of entity where books and records are kept:
Iron Mountain
Street Address 1:
Street Address 2:
City:
State/Country:
CALIFORNIA �
Is this address a private residence?
Telephone number at this location:
Fax number (if any) at this location:
For non-US telephone and fax numbers, include country code with area code and local number.
This is (Select only one):
one of applicant's branch offices or affiliates.
a third-party unaffiliated record keeper.
Other
Briefly describe the books and records kept at the location(s) you checked. If you checked "other," describe additionally all such location(s).
Some or all of the books and records required to be kept under MSRB rules and SEC rules.�
Select only one: AddDelete Amend
Name of entity where books and records are kept:
Iron Mountain
Street Address 1:
Street Address 2:
City:
State/Country:
CALIFORNIA �
Is this address a private residence?
Telephone number at this location:
Fax number (if any) at this location:
For non-US telephone and fax numbers, include country code with area code and local number.
This is (Select only one):
one of applicant's branch offices or affiliates.
a third-party unaffiliated record keeper.
Other
Briefly describe the books and records kept at the location(s) you checked. If you checked "other," describe additionally all such location(s).
Some or all of the books and records required to be kept under MSRB rules and SEC rules.�
SECTION 1-J Registration with Foreign Financial Regulatory Authorities
List the full name, in English, of each foreign financial regulatory authority, provide the foreign registration number (if any), and list the full name, in English, of the country with which the applicant is registered. A separate Schedule D must be completed for each foreign financial regulatory authority with whom the applicant is registered.
Select only one: AddDelete Amend
English Name of Foreign Financial Regulatory Authority:
Financial Conduct Authority
Foreign Registration No. (if any):
409343
English Name of Country:
UNITED KINGDOM �
Select only one: AddDelete Amend
English Name of Foreign Financial Regulatory Authority:
Securities and Exchange Board of India
Foreign Registration No. (if any):
INUSFA136706
English Name of Country:
INDIA �
Select only one: AddDelete Amend
English Name of Foreign Financial Regulatory Authority:
Fund Supervision Department, China Securities Regulatory Commission
Foreign Registration No. (if any):
QF2011AMO117
English Name of Country:
CHINA �
Select only one: AddDelete Amend
English Name of Foreign Financial Regulatory Authority:
Capital Market Department, State Administration of Foreign Exchange
Foreign Registration No. (if any):
English Name of Country:
CHINA �
SECTION 1-K Business Affiliates of the Applicant
Provide the name of any domestic or foreign business affiliate of the applicant and any federal, state, or foreign registration of such affiliate and the registration number. A separate Schedule D must be completed for each such affiliate.
Name of Affiliate:
BlackRock, Inc.
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
Securities and Exchange Commission
(b) Registration No., if any:
CIK#: 0001364742
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
BlackRock Holdco 2, Inc.
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
BlackRock Financial Management, Inc.
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
Securities and Exchange Commission
(b) Registration No., if any:
801-48433
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
BlackRock Holdco 4, LLC
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
BlackRock Holdco 5, LLC
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
BlackRock Holdco 6, LLC
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
BlackRock Delaware Holdings Inc.
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
BlackRock Execution Services
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
Securities and Exchange Commission
(b) Registration No., if any:
8-48719
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
BlackRock Institutional Services, Inc.
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
SECTION 3 Successions
Complete the following information if succeeding to the business of a currently-registered municipal advisor. If the applicant succeeded more than one municipal advisory firm in the succession being reported on this Form MA, a separate Schedule D must be completed for each predecessor firm. See Instruction 1 of the Specific Instructions for Certain Items in Form MA included in the General Instructions.
SECTION 4-D Firms and Other Persons that Solicit Municipal Advisor Clients on the Applicant's Behalf
Provide the name, address, and phone number of any firm or other person that is not otherwise an associated person of the applicant that solicits municipal advisor clients on the applicant's behalf. A separate Schedule D must be completed for each such firm or natural person.
SECTION 4-E Employees That Also Do Business Independently on the Applicant's Behalf as Affiliates of the Applicant
SECTION 5-B Description of Primary Business (for businesses not listed in Part A of Item 5)
If you checked Item 5-B.2 describe the applicant's primary business (not the applicant's municipal advisor-related business):
�
SECTION 6 Financial Industry and Other Activities of Associated Persons
The following information must be completed for each associated person in every category you checked in Item 6-A. A separate Schedule D must be completed for each such associated person.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Asset Management Schweiz AG
Primary Business Name of Associated Person:
BlackRock Asset Management Schweiz AG
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Swiss Financial Market Supervisory Authority
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
SWITZERLAND �
English Name of
Foreign Financial Regulatory Authority:
Financial Market Authority Liechtenstein
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
LIECHTENSTEIN �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Advisors, LLC
Primary Business Name of Associated Person:
BlackRock Advisors, LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Securities and Exchange Board of India
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
INDIA �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Advisors (UK) Limited
Primary Business Name of Associated Person:
BlackRock Advisors (UK) Limited
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Financial Conduct Authority
Registration Number (if any): (Need to capture the right value from schema)
FRN 119186
English Name of Country:
UNITED KINGDOM �
English Name of
Foreign Financial Regulatory Authority:
Financial Supervisory Service
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
KOREA, REPUBLIC OF �
English Name of
Foreign Financial Regulatory Authority:
China Securities Regulatory Commission (CSRC)
Registration Number (if any): (Need to capture the right value from schema)
RQF2014LDF062
English Name of Country:
CHINA �
English Name of
Foreign Financial Regulatory Authority:
Capital Market Authority (Saudi Arabia)
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
SAUDI ARABIA �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Fund Advisors
Primary Business Name of Associated Person:
BlackRock Fund Advisors
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Securities and Exchange Board of India (SEBI)
Registration Number (if any): (Need to capture the right value from schema)
INUSFP046615
English Name of Country:
INDIA �
English Name of
Foreign Financial Regulatory Authority:
Financial Conduct Authority
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
UNITED KINGDOM �
English Name of
Foreign Financial Regulatory Authority:
The Netherlands Authority for the Financial Markets
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
NETHERLANDS �
English Name of
Foreign Financial Regulatory Authority:
Financial Supervision Authority
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FINLAND �
English Name of
Foreign Financial Regulatory Authority:
Swedish Financial Supervisory Authority
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
SWEDEN �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Realty Advisors, Inc.
Primary Business Name of Associated Person:
BlackRock Realty Advisors, Inc.
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Financial Services and Markets Authority
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
BELGIUM �
English Name of
Foreign Financial Regulatory Authority:
Financial Supervision Authority
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FINLAND �
English Name of
Foreign Financial Regulatory Authority:
The Netherlands Authority for the Financial Markets
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
NETHERLANDS �
English Name of
Foreign Financial Regulatory Authority:
Swedish Financial Supervisory Authority
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
SWEDEN �
English Name of
Foreign Financial Regulatory Authority:
Financial Conduct Authority
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
UNITED KINGDOM �
English Name of
Foreign Financial Regulatory Authority:
Central Bank of Ireland
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
IRELAND �
English Name of
Foreign Financial Regulatory Authority:
Commission to Surveillance of the Finance Sector
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
LUXEMBOURG �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Execution Services
Primary Business Name of Associated Person:
BlackRock Execution Services
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Capital Management, Inc.
Primary Business Name of Associated Person:
BlackRock Capital Management, Inc.
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Financial Management, Inc.
Primary Business Name of Associated Person:
BlackRock Financial Management, Inc.
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
The Central Bank of Ireland
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
IRELAND �
English Name of
Foreign Financial Regulatory Authority:
Ontario Securities Commission
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
ONTARIO, CANADA �
English Name of
Foreign Financial Regulatory Authority:
Financial Markets Authority
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
QUEBEC, CANADA �
English Name of
Foreign Financial Regulatory Authority:
Alberta Securities Commission
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
ALBERTA, CANADA �
English Name of
Foreign Financial Regulatory Authority:
British Columbia Securities Commission
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
BRITISH COLUMBIA, CANADA �
English Name of
Foreign Financial Regulatory Authority:
Manitoba Securities Commission
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
MANITOBA, CANADA �
English Name of
Foreign Financial Regulatory Authority:
Nova Scotia Securities Commission
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
NOVA SCOTIA, CANADA �
English Name of
Foreign Financial Regulatory Authority:
Newfoundland and Labrador, Financial Services Regulation Division
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
NEWFOUNDLAND, CANADA �
English Name of
Foreign Financial Regulatory Authority:
Financial and Consumer Affairs Authority
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
SASKATCHEWAN, CANADA �
English Name of
Foreign Financial Regulatory Authority:
Financial and Consumer Services Commission
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
NEW BRUNSWICK, CANADA �
English Name of
Foreign Financial Regulatory Authority:
Prince Edward Island, Securities Office
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
PRINCE EDWARD ISLAND, CANADA �
English Name of
Foreign Financial Regulatory Authority:
Nunavut, Registrar of Securities
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
CANADA (FEDERAL LEVEL) �
English Name of
Foreign Financial Regulatory Authority:
Northwest Territories, Office of the Registrar of Securities
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
CANADA (FEDERAL LEVEL) �
English Name of
Foreign Financial Regulatory Authority:
Yukon Territories, Registrar of Securities
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
CANADA (FEDERAL LEVEL) �
English Name of
Foreign Financial Regulatory Authority:
Securitie and Futures Commission
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
HONG KONG �
English Name of
Foreign Financial Regulatory Authority:
Commission to Surveillance of the Finance Sector
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
LUXEMBOURG �
English Name of
Foreign Financial Regulatory Authority:
Financial Supervisory Authority
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FINLAND �
English Name of
Foreign Financial Regulatory Authority:
The Netherlands Authority for the Financial Markets
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
NETHERLANDS �
English Name of
Foreign Financial Regulatory Authority:
Swedish Financial Supervisory Authority
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
SWEDEN �
English Name of
Foreign Financial Regulatory Authority:
Financial Conduct Authority
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
UNITED KINGDOM �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Investments, LLC
Primary Business Name of Associated Person:
BlackRock Investments, LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Investment Management, LLC
Primary Business Name of Associated Person:
BlackRock Investment Management, LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Investment Management (UK) Limited
Primary Business Name of Associated Person:
BlackRock Investment Management (UK) Limited
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Financial Conduct Authority
Registration Number (if any): (Need to capture the right value from schema)
FRN 119293
English Name of Country:
UNITED KINGDOM �
English Name of
Foreign Financial Regulatory Authority:
Securities and Exchange Board of India Foreign Portfolio Investor
Registration Number (if any): (Need to capture the right value from schema)
INUKFP248015
English Name of Country:
INDIA �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Investment Management (Korea) Limited
Primary Business Name of Associated Person:
BlackRock Investment Management (Korea) Limited
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Financial Supervisory Commission/Financial Supervisory Service
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
KOREA, REPUBLIC OF �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock International Limited
Primary Business Name of Associated Person:
BlackRock International Limited
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Financial Conduct Authority
Registration Number (if any): (Need to capture the right value from schema)
178638
English Name of Country:
UNITED KINGDOM �
English Name of
Foreign Financial Regulatory Authority:
Korean Financial Services Commission
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
KOREA, REPUBLIC OF �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Fund Managers Limited
Primary Business Name of Associated Person:
BlackRock Fund Managers Limited
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Financial Conduct Authority
Registration Number (if any): (Need to capture the right value from schema)
119292
English Name of Country:
UNITED KINGDOM �
English Name of
Foreign Financial Regulatory Authority:
Commission to Surveillance of the Finance Sector
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
LUXEMBOURG �
English Name of
Foreign Financial Regulatory Authority:
Financial Services and Markets Authority
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
BELGIUM �
English Name of
Foreign Financial Regulatory Authority:
Financial Supervisory Authority
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FINLAND �
English Name of
Foreign Financial Regulatory Authority:
Swedish Financial Supervisory Authority
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
SWEDEN �
English Name of
Foreign Financial Regulatory Authority:
Central Bank of Ireland
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
IRELAND �
English Name of
Foreign Financial Regulatory Authority:
The Netherlands Authority for the Financial Markets
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
NETHERLANDS �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Asset Management Canada Limited
Primary Business Name of Associated Person:
BlackRock Asset Management Canada Limited
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Ontario Securities Commission
Registration Number (if any): (Need to capture the right value from schema)
3900
English Name of Country:
ONTARIO, CANADA �
English Name of
Foreign Financial Regulatory Authority:
Financial Markets Authority
Registration Number (if any): (Need to capture the right value from schema)
3900
English Name of Country:
QUEBEC, CANADA �
English Name of
Foreign Financial Regulatory Authority:
Alberta Securities Commission
Registration Number (if any): (Need to capture the right value from schema)
3900
English Name of Country:
ALBERTA, CANADA �
English Name of
Foreign Financial Regulatory Authority:
British Columbia Securities Commission
Registration Number (if any): (Need to capture the right value from schema)
3900
English Name of Country:
BRITISH COLUMBIA, CANADA �
English Name of
Foreign Financial Regulatory Authority:
Manitoba Securities Commission
Registration Number (if any): (Need to capture the right value from schema)
3900
English Name of Country:
MANITOBA, CANADA �
English Name of
Foreign Financial Regulatory Authority:
Nova Scotia Securities Commission
Registration Number (if any): (Need to capture the right value from schema)
3900
English Name of Country:
NOVA SCOTIA, CANADA �
English Name of
Foreign Financial Regulatory Authority:
Newfoundland and Labrador, Financial Services Regulation Division
Registration Number (if any): (Need to capture the right value from schema)
3900
English Name of Country:
NEWFOUNDLAND, CANADA �
English Name of
Foreign Financial Regulatory Authority:
Financial and Consumer Affairs Authority
Registration Number (if any): (Need to capture the right value from schema)
3900
English Name of Country:
SASKATCHEWAN, CANADA �
English Name of
Foreign Financial Regulatory Authority:
Financial and Consumer Services Commission
Registration Number (if any): (Need to capture the right value from schema)
3900
English Name of Country:
NEW BRUNSWICK, CANADA �
English Name of
Foreign Financial Regulatory Authority:
Prince Edward Island, Securities Office
Registration Number (if any): (Need to capture the right value from schema)
3900
English Name of Country:
PRINCE EDWARD ISLAND, CANADA �
English Name of
Foreign Financial Regulatory Authority:
Nunavut, Registrar of Securities
Registration Number (if any): (Need to capture the right value from schema)
3900
English Name of Country:
CANADA (FEDERAL LEVEL) �
English Name of
Foreign Financial Regulatory Authority:
Northwest Territories, Office of the Registrar of Securities
Registration Number (if any): (Need to capture the right value from schema)
3900
English Name of Country:
CANADA (FEDERAL LEVEL) �
English Name of
Foreign Financial Regulatory Authority:
Yukon Territories, Registrar of Securities
Registration Number (if any): (Need to capture the right value from schema)
3900
English Name of Country:
CANADA (FEDERAL LEVEL) �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Investment Management (Taiwan) Limited
Primary Business Name of Associated Person:
BlackRock Investment Management (Taiwan) Limited
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Financial Supervisory Commission R.O.C.
Registration Number (if any): (Need to capture the right value from schema)
107 Jin-Guan-Tou-Xin-Xin-Zi No. 011
English Name of Country:
TAIWAN, PROVINCE OF CHINA �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Asset Management North Asia Limited
Primary Business Name of Associated Person:
BlackRock Asset Management North Asia Limited
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
MPF Scheme Authority
Registration Number (if any): (Need to capture the right value from schema)
IC000979
English Name of Country:
HONG KONG �
English Name of
Foreign Financial Regulatory Authority:
China Securities Regulatory Commission
Registration Number (if any): (Need to capture the right value from schema)
QF-2012ASF194 and RQF-2014HKF051
English Name of Country:
CHINA �
English Name of
Foreign Financial Regulatory Authority:
Securities and Exchange Board of India - FPI License
Registration Number (if any): (Need to capture the right value from schema)
INHKFP058614
English Name of Country:
INDIA �
English Name of
Foreign Financial Regulatory Authority:
Securities & Futures Commission of Hong Kong
Registration Number (if any): (Need to capture the right value from schema)
AFF275
English Name of Country:
HONG KONG �
English Name of
Foreign Financial Regulatory Authority:
Financial Supervisory Commission/Financial Supervisory Service
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
KOREA, REPUBLIC OF �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock (Singapore) Limited
Primary Business Name of Associated Person:
BlackRock (Singapore) Limited
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Monetary Authority of Singapore
Registration Number (if any): (Need to capture the right value from schema)
CMS000096-9
English Name of Country:
SINGAPORE �
English Name of
Foreign Financial Regulatory Authority:
Securities and Exchange Board of India (SEBI) Foreign Portfolio Investors (FPI)
Registration Number (if any): (Need to capture the right value from schema)
INSGFP059275
English Name of Country:
INDIA �
English Name of
Foreign Financial Regulatory Authority:
China Securities Regulatory Commission
Registration Number (if any): (Need to capture the right value from schema)
RQFII License
English Name of Country:
CHINA �
English Name of
Foreign Financial Regulatory Authority:
Korea Financial Services Commission
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
KOREA, REPUBLIC OF �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Japan Co., Ltd.
Primary Business Name of Associated Person:
BlackRock Japan Co., Ltd.
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Financial Services Agency
Registration Number (if any): (Need to capture the right value from schema)
Kanto Local Financial Bureau No. 375
English Name of Country:
JAPAN �
English Name of
Foreign Financial Regulatory Authority:
Tokyo Metropolitan Government
Registration Number (if any): (Need to capture the right value from schema)
Governor of Tokyo (1) No. 95644
English Name of Country:
JAPAN �
English Name of
Foreign Financial Regulatory Authority:
MINISTRY OF LAND, INFRASTRUCTURE, TRANSPORT AND TOURISM
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
JAPAN �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Investment Management (Australia) Limited
Primary Business Name of Associated Person:
BlackRock Investment Management (Australia) Limited
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Australian Securities and Investments Commission
Registration Number (if any): (Need to capture the right value from schema)
AFSL 230523
English Name of Country:
AUSTRALIA �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Life Limited
Primary Business Name of Associated Person:
BlackRock Life Limited
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Financial Conduct Authority
Registration Number (if any): (Need to capture the right value from schema)
202909
English Name of Country:
UNITED KINGDOM �
English Name of
Foreign Financial Regulatory Authority:
Prudential Regulatory Authority
Registration Number (if any): (Need to capture the right value from schema)
202909
English Name of Country:
UNITED KINGDOM �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BLACKROCK FUND MANAGEMENT COMPANY S.A.
Primary Business Name of Associated Person:
BLACKROCK FUND MANAGEMENT COMPANY S.A.
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Commission to Surveillance of the Finance Sector (also known as CSSF - stands for Commission de Surveillance du Secteur Financier)
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
LUXEMBOURG �
English Name of
Foreign Financial Regulatory Authority:
China Securities Regulatory Commission
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
CHINA �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BLACKROCK ASSET MANAGEMENT IRELAND LIMITED
Primary Business Name of Associated Person:
BLACKROCK ASSET MANAGEMENT IRELAND LIMITED
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Central Bank of Ireland
Registration Number (if any): (Need to capture the right value from schema)
C21345
English Name of Country:
IRELAND �
English Name of
Foreign Financial Regulatory Authority:
Financial Conduct Authority
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
UNITED KINGDOM �
Select only one: AddDelete Amend
Legal Name of Associated Person:
ISHARES DELAWARE TRUST SPONSOR LLC
Primary Business Name of Associated Person:
ISHARES DELAWARE TRUST SPONSOR LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Property Consulting (Beijing) Co., Ltd.
Primary Business Name of Associated Person:
BlackRock Property Consulting (Beijing) Co., Ltd.
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
China Securities Regulatory Commission
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
CHINA �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Property France SARL
Primary Business Name of Associated Person:
BlackRock Property France SARL
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Financial Markets Authority
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FRANCE �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock (Channel Islands) Limited
Primary Business Name of Associated Person:
BlackRock (Channel Islands) Limited
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Jersey Financial Services Commission
Registration Number (if any): (Need to capture the right value from schema)
5719
English Name of Country:
JERSEY �
Select only one: AddDelete Amend
Legal Name of Associated Person:
FutureAdvisor, Inc.
Primary Business Name of Associated Person:
FutureAdvisor, Inc.
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Asset Management Deutschland AG
Primary Business Name of Associated Person:
BlackRock Asset Management Deutschland AG
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
BaFin
Registration Number (if any): (Need to capture the right value from schema)
118185
English Name of Country:
GERMANY �
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares (DE) I Investmentaktiengesellschaft mit Teilgesellschaftsvermogen
Primary Business Name of Associated Person:
iShares (DE) I Investmentaktiengesellschaft mit Teilgesellschaftsvermogen
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
BaFin
Registration Number (if any): (Need to capture the right value from schema)
121789
English Name of Country:
GERMANY �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Infrastructure Management I, LLC
Primary Business Name of Associated Person:
BlackRock Infrastructure Management I, LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Cayman Islands Monetary Authority (CIMA)
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
CAYMAN ISLANDS �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BLACKROCK ALTERNATIVES MANAGEMENT, LLC
Primary Business Name of Associated Person:
BLACKROCK ALTERNATIVES MANAGEMENT, LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BLACKROCK CAPITAL INVESTMENT ADVISORS, LLC
Primary Business Name of Associated Person:
BLACKROCK CAPITAL INVESTMENT ADVISORS, LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
GLOBAL ENERGY & POWER INFRASTRUCTURE ADVISORS, L.L.C.
Primary Business Name of Associated Person:
GLOBAL ENERGY & POWER INFRASTRUCTURE ADVISORS, L.L.C.
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
GLOBAL ENERGY & POWER INFRASTRUCTURE II ADVISORS, L.L.C.
Primary Business Name of Associated Person:
GLOBAL ENERGY & POWER INFRASTRUCTURE II ADVISORS, L.L.C.
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock (Luxembourg) S.A
Primary Business Name of Associated Person:
BlackRock (Luxembourg) S.A.
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Luxembourg, Grand Duchy of - Commission to Surveillance of the Finance Sector
Registration Number (if any): (Need to capture the right value from schema)
B27689
English Name of Country:
LUXEMBOURG �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Investment Management (Dublin) Limited
Primary Business Name of Associated Person:
BlackRock Investment Management (Dublin) Limited
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Ireland - Central Bank of Ireland
Registration Number (if any): (Need to capture the right value from schema)
C23966
English Name of Country:
IRELAND �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Mexico Operador, S.A de C.V. Sociedad Operadora de Fondos de Inversion
Primary Business Name of Associated Person:
BlackRock Mexico Operador, S.A de C.V. Sociedad Operadora de Fondos de Inversion
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Mexico - National Commission for Banking and Securities
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
MEXICO �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Operations (Luxembourg) S.a r.l.
Primary Business Name of Associated Person:
BlackRock Operations (Luxembourg) S.a r.l.
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
SVOF/MM, LLC
Primary Business Name of Associated Person:
SVOF/MM, LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Ireland - Central Bank of Ireland
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
IRELAND �
Select only one: AddDelete Amend
Legal Name of Associated Person:
Tennenbaum Capital Partners, LLC
Primary Business Name of Associated Person:
Tennenbaum Capital Partners, LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Sustainable Emerging Markets Bond Fund (Class K)
Primary Business Name of Associated Person:
BlackRock Sustainable Emerging Markets Bond Fund (Class K)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock LifePath Dynamic 2065 Fund (Class K)
Primary Business Name of Associated Person:
BlackRock LifePath Dynamic 2065 Fund (Class K)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock China A Opportunities Fund (Institutional)
Primary Business Name of Associated Person:
BlackRock China A Opportunities Fund (Institutional)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Sustainable High Yield Bond Fund (Class K)
Primary Business Name of Associated Person:
BlackRock Sustainable High Yield Bond Fund (Class K)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Sustainable Low Duration Bond Fund - AGG (Class K)
Primary Business Name of Associated Person:
BlackRock Sustainable Low Duration Bond Fund - AGG (Class K)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Sustainable Total Return Fund (Class K)
Primary Business Name of Associated Person:
BlackRock Sustainable Total Return Fund (Class K)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Private Investments Fund - Aggregate (Institutional)
Primary Business Name of Associated Person:
BlackRock Private Investments Fund - Aggregate (Institutional)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock SMID-Cap Growth Equity Fund (Class K)
Primary Business Name of Associated Person:
BlackRock SMID-Cap Growth Equity Fund (Class K)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Global Equity Absolute Return Fund - AGG (Class K)
Primary Business Name of Associated Person:
BlackRock Global Equity Absolute Return Fund - AGG (Class K)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Defensive Advantage Emerging Markets Fund (Class K)
Primary Business Name of Associated Person:
BlackRock Defensive Advantage Emerging Markets Fund (Class K)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Infrastructure Sustainable Opportunities Fund - AGG (Class K)
Primary Business Name of Associated Person:
BlackRock Infrastructure Sustainable Opportunities Fund - AGG (Class K)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Retirement Income 2040 Fund (Institutional)
Primary Business Name of Associated Person:
BlackRock Retirement Income 2040 Fund (Institutional)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Sustainable Advantage Emerging Markets Equity Fund (Class K)
Primary Business Name of Associated Person:
BlackRock Sustainable Advantage Emerging Markets Equity Fund (Class K)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Sustainable Advantage International Equity Fund (Class K)
Primary Business Name of Associated Person:
BlackRock Sustainable Advantage International Equity Fund (Class K)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Sustainable International Equity Fund (Class K)
Primary Business Name of Associated Person:
BlackRock Sustainable International Equity Fund (Class K)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Sustainable U.S. Value Equity Fund (Class K)
Primary Business Name of Associated Person:
BlackRock Sustainable U.S. Value Equity Fund (Class K)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Sustainable U.S. Growth Equity Fund (Class K)
Primary Business Name of Associated Person:
BlackRock Sustainable U.S. Growth Equity Fund (Class K)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Retirement Income 2030 Fund (Institutional)
Primary Business Name of Associated Person:
BlackRock Retirement Income 2030 Fund (Institutional)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
LifePath ESG Index Retirement Fund (Class K)
Primary Business Name of Associated Person:
LifePath ESG Index Retirement Fund (Class K)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
LifePath ESG Index 2065 Fund (Class K)
Primary Business Name of Associated Person:
LifePath ESG Index 2065 Fund (Class K)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
LifePath ESG Index 2055 Fund (Class K)
Primary Business Name of Associated Person:
LifePath ESG Index 2055 Fund (Class K)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
LifePath ESG Index 2035 Fund (Class K)
Primary Business Name of Associated Person:
LifePath ESG Index 2035 Fund (Class K)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
LifePath ESG Index 2050 Fund (Class K)
Primary Business Name of Associated Person:
LifePath ESG Index 2050 Fund (Class K)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
LifePath ESG Index 2040 Fund (Class K)
Primary Business Name of Associated Person:
LifePath ESG Index 2040 Fund (Class K)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Future U.S. Themes ETF ()
Primary Business Name of Associated Person:
BlackRock Future U.S. Themes ETF ()
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares Commodity Curve Carry Strategy ETF - Aggregate ()
Primary Business Name of Associated Person:
iShares Commodity Curve Carry Strategy ETF - Aggregate ()
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
LifePath ESG Index 2060 Fund (Class K)
Primary Business Name of Associated Person:
LifePath ESG Index 2060 Fund (Class K)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
LifePath ESG Index 2045 Fund (Class K)
Primary Business Name of Associated Person:
LifePath ESG Index 2045 Fund (Class K)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares USD Bond Factor ETF ()
Primary Business Name of Associated Person:
iShares USD Bond Factor ETF ()
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares ESG MSCI USA Min Vol Factor ETF ()
Primary Business Name of Associated Person:
iShares ESG MSCI USA Min Vol Factor ETF ()
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares ESG Advanced Investment Grade Corporate Bond ETF ()
Primary Business Name of Associated Person:
iShares ESG Advanced Investment Grade Corporate Bond ETF ()
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
LifePath ESG Index 2025 Fund (Class K)
Primary Business Name of Associated Person:
LifePath ESG Index 2025 Fund (Class K)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
LifePath ESG Index 2030 Fund (Class K)
Primary Business Name of Associated Person:
LifePath ESG Index 2030 Fund (Class K)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock China A Opportunities Fund (Class K)
Primary Business Name of Associated Person:
BlackRock China A Opportunities Fund (Class K)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Mexico Manager III, S. de R.L. de C.V.
Primary Business Name of Associated Person:
BlackRock Mexico Manager III, S. de R.L. de C.V.
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
National Commission for Banking and Securities
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
MEXICO �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Mexico Manager II, S. de R.L. de C.V.
Primary Business Name of Associated Person:
BlackRock Mexico Manager II, S. de R.L. de C.V.
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
National Commission for Banking and Securities
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
MEXICO �
Select only one: AddDelete Amend
Legal Name of Associated Person:
Aperio Group, LLC
Primary Business Name of Associated Person:
Aperio Group, LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock (Netherlands) B.V.
Primary Business Name of Associated Person:
BlackRock (Netherlands) B.V.
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
The Netherlands Authority for the Financial Markets
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
NETHERLANDS �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Brasil Gestora de Investtimentos Ltda.
Primary Business Name of Associated Person:
BlackRock Brasil Gestora de Investtimentos Ltda.
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Securities and Exchange Commission of Brazil
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
BRAZIL �
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Global Impact Fund (Class K)
Primary Business Name of Associated Person:
BlackRock Global Impact Fund (Class K)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Emerging Markets Option (529 Ohio) (Class C)
Primary Business Name of Associated Person:
BlackRock Emerging Markets Option (529 Ohio) (Class C)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Private Credit Fund - Aggregate
Primary Business Name of Associated Person:
BlackRock Private Credit Fund - Aggregate
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Impact Municipal Fund (Class K)
Primary Business Name of Associated Person:
BlackRock Impact Municipal Fund (Class K)
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Floating Rate Loan ETF
Primary Business Name of Associated Person:
BlackRock Floating Rate Loan ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Future Financial and Technology ETF
Primary Business Name of Associated Person:
BlackRock Future Financial and Technology ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares BBB Rated Corporate Bond ETF
Primary Business Name of Associated Person:
iShares BBB Rated Corporate Bond ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares Emergent Food and AgTech Multisector ETF
Primary Business Name of Associated Person:
iShares Emergent Food and AgTech Multisector ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares Environmental Infrastructure and Industrials ETF
Primary Business Name of Associated Person:
iShares Environmental Infrastructure and Industrials ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares Environmentally Aware Real Estate ETF
Primary Business Name of Associated Person:
iShares Environmentally Aware Real Estate ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares iBonds 2029 Term High Yield and Income ETF
Primary Business Name of Associated Person:
iShares iBonds 2029 Term High Yield and Income ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares Inflation Hedged High Yield Bond ETF
Primary Business Name of Associated Person:
iShares Inflation Hedged High Yield Bond ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares Inflation Hedged U.S. Aggregate Bond ETF
Primary Business Name of Associated Person:
iShares Inflation Hedged U.S. Aggregate Bond ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares MSCI China Multisector Tech ETF
Primary Business Name of Associated Person:
iShares MSCI China Multisector Tech ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares MSCI Water Management Multisector ETF
Primary Business Name of Associated Person:
iShares MSCI Water Management Multisector ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares Neuroscience and Healthcare ETF
Primary Business Name of Associated Person:
iShares Neuroscience and Healthcare ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Emerging Markets ex-China Fund - Aggregate
Primary Business Name of Associated Person:
BlackRock Emerging Markets ex-China Fund - Aggregate
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock U.S. Insights Long/Short Equity Fund - AGG
Primary Business Name of Associated Person:
BlackRock U.S. Insights Long/Short Equity Fund - AGG
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Sustainable Advantage Global Equity Fund
Primary Business Name of Associated Person:
BlackRock Sustainable Advantage Global Equity Fund
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Large Cap Core ETF
Primary Business Name of Associated Person:
BlackRock Large Cap Core ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Large Cap Value ETF
Primary Business Name of Associated Person:
BlackRock Large Cap Value ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares Transition-Enabling Metals ETF- Aggregate
Primary Business Name of Associated Person:
iShares Transition-Enabling Metals ETF- Aggregate
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares J.P. Morgan Broad USD Emerging Markets Bond ETF
Primary Business Name of Associated Person:
iShares J.P. Morgan Broad USD Emerging Markets Bond ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares Future Metaverse Tech and Communications ETF
Primary Business Name of Associated Person:
iShares Future Metaverse Tech and Communications ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares ESG Aware MSCI USA Growth ETF
Primary Business Name of Associated Person:
iShares ESG Aware MSCI USA Growth ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares ESG Aware MSCI USA Value ETF
Primary Business Name of Associated Person:
iShares ESG Aware MSCI USA Value ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares Large Cap Moderate Buffer ETF
Primary Business Name of Associated Person:
iShares Large Cap Moderate Buffer ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares Breakthrough Environmental Solutions ETF
Primary Business Name of Associated Person:
iShares Breakthrough Environmental Solutions ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Short-Term California Muni Bond ETF
Primary Business Name of Associated Person:
BlackRock Short-Term California Muni Bond ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Total Return ETF
Primary Business Name of Associated Person:
BlackRock Total Return ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares Copper and Metals Mining ETF
Primary Business Name of Associated Person:
iShares Copper and Metals Mining ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BlackRock Advantage Large Cap Income ETF
Primary Business Name of Associated Person:
BlackRock Advantage Large Cap Income ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares Lithium Miners and Producers ETF
Primary Business Name of Associated Person:
iShares Lithium Miners and Producers ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares LifePath Retirement ETF
Primary Business Name of Associated Person:
iShares LifePath Retirement ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares LifePath Target Date 2025 ETF
Primary Business Name of Associated Person:
iShares LifePath Target Date 2025 ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares LifePath Target Date 2050 ETF
Primary Business Name of Associated Person:
iShares LifePath Target Date 2050 ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares LifePath Target Date 2055 ETF
Primary Business Name of Associated Person:
iShares LifePath Target Date 2055 ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares LifePath Target Date 2060 ETF
Primary Business Name of Associated Person:
iShares LifePath Target Date 2060 ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares LifePath Target Date 2065 ETF
Primary Business Name of Associated Person:
iShares LifePath Target Date 2065 ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares Large Cap Deep Buffer ETF
Primary Business Name of Associated Person:
iShares Large Cap Deep Buffer ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares LifePath Target Date 2040 ETF
Primary Business Name of Associated Person:
iShares LifePath Target Date 2040 ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares iBonds 2030 Term High Yield and Income ETF
Primary Business Name of Associated Person:
iShares iBonds 2030 Term High Yield and Income ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
iShares LifePath Target Date 2045 ETF
Primary Business Name of Associated Person:
iShares LifePath Target Date 2045 ETF
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
SECTION 8 Control Persons (on a basis other than 25% ownership or executive officer status)
Section 8-A. A separate Schedule D must be completed for each control person not named in Item 1-A. or Schedules A, B, or C that directly or indirectly controls the applicant's management or policies.
Section 8-B. If any person named in Schedules A, B, or C or in Section 8-A of this Schedule D is a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934, provide the information below. A separate Schedule D must be completed for each public reporting company.
(1) Full legal name of the public reporting company:
BlackRock Inc.
(2) The public reporting company's EDGAR CIK number:
0001364742
(3) The Schedules where the public reporting company was reported: Check all that apply.
Schedule A
Schedule B
Schedule C, Section 4
Schedule C, Section 5
Schedule D, Section 8-A
Schedule D: MISCELLANEOUS
The space below may be used to explain a response to an Item or to provide any other information.
Item 1.I Location of Books and Records - For a more complete listing of the locations where some or all of the Applicant's books and records required to be kept under MSRB rules and SEC rules may be held, please see Section 1.L of Schedule D of BlackRock Financial Management, Inc.'s Form ADV. Item 6. A number of BlackRock US-registered investment adviser subsidiaries have been engaged as investment advisers to BlackRock-sponsored registered investment companies (RICs). Filings for these RICs are readily available on the SEC's website. To the extent that BlackRock seed capital represents less than 25% of the voting securities of any class of shares, these RICs are not considered controlled entities for purposes of this filing. Item 5.A.13 Other Business Activities, banking or thrift institution - Applicant is a national banking association which operates as a limited purpose trust company. Please refer to the Disclosure Occurrence # 1980974, for documentation pertaining to the incident reported under Section A (2) of Item 9. On June 21, 2018, Marc David Comerchero, BTC Chief Financial Officer was also appointed as the BTC Board of Director. On March 14, 2024, Jessica Moran Zerges was appointed as BTC Chief Compliance Officer, succeeding Bruce William McDougal. SEC Form MA Amendment 04.26.2024 - the amendment was related to adding a new item in the Regulatory Action DRP section for Item 9 D4. The new DRP item points to Disclosure Occurrence No. 64432863 as noted in Form BD of BLACKROCK INVESTMENTS, LLC.�