-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Av9H7676NgZs3jO6WeJFYOqsQxG4s+wsAikGIjMs0nj3qJrdL4k5rcJNvsWP1gvw 4mnLtruT/dsidNEoPc1arQ== 0000890341-05-000004.txt : 20050422 0000890341-05-000004.hdr.sgml : 20050422 20050422103226 ACCESSION NUMBER: 0000890341-05-000004 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20050228 FILED AS OF DATE: 20050422 DATE AS OF CHANGE: 20050422 EFFECTIVENESS DATE: 20050422 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DREYFUS BALANCED FUND INC CENTRAL INDEX KEY: 0000890341 IRS NUMBER: 133682949 STATE OF INCORPORATION: MD FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-07068 FILM NUMBER: 05766264 BUSINESS ADDRESS: STREET 1: 200 PARK AVENUE, 8TH FLOOR STREET 2: C/O DREYFUS CORP CITY: NEW YORK STATE: NY ZIP: 10166 BUSINESS PHONE: 2129226838 MAIL ADDRESS: STREET 1: THE DREYFUS CORPORATION STREET 2: 200 PARK AVENUE, 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10166 NSAR-A 1 answer.fil SEMI-ANNUAL REPORT PAGE 1 000 A000000 02/28/2005 000 C000000 0000890341 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 U 001 A000000 DREYFUS BALANCED FUND, INC. 001 B000000 811-7068 001 C000000 2129226826 002 A000000 200 PARK AVENUE 002 B000000 NEW YORK 002 C000000 NY 002 D010000 10166 003 000000 N 004 000000 Y 005 000000 N 006 000000 N 007 A000000 N 007 B000000 0 018 000000 Y 019 A000000 Y 019 B000000 195 019 C000000 DREYFUSFAM 020 A000001 UBS WARBURG LLC 020 B000001 13-3873456 020 C000001 6 020 A000002 MERRILL LYNCH, PIERCE, FENNER & SMITH INC. 020 B000002 13-5674085 020 C000002 5 020 A000003 FULCRUM GLOBAL PARTNERS LLC 020 B000003 22-3752546 020 C000003 5 020 A000004 BRIDGE TRADING, A REUTERS COMPANY 020 B000004 43-1450530 020 C000004 3 020 A000005 MORGAN STANLEY DEAN WITTER & CO. 020 B000005 13-2655998 020 C000005 2 020 A000006 CIBC WORLD MARKETSCURITIES LLC 020 B000006 13-2798343 020 C000006 2 020 A000007 BANC OF AMERICA SECURITIES LLC 020 B000007 56-2058405 020 C000007 2 020 A000008 DEUTSCHE BANK SECURITIES INC. 020 B000008 13-2730828 020 C000008 2 020 A000009 LEHMAN BROTHERS INC. 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HOLDERS DREYFUS BALANCED FUND, INC. ("the Fund") Sub-Item 77C MATTERS SUBMITTED TO A VOTE OF SECURITY HOLDERS A Special Meeting of Shareholders of Dreyfus Balanced Fund, Inc. was held on December 1, 2004. Out of a total of 9,221,976.982 shares ("Shares") entitled to vote at the meeting, a total of 5,503,887.895 were represented at the Meeting, in person or by proxy. The following matter was duly approved of by the holders Dreyfus Balanced Fund, Inc.'s outstanding Shares as follows: An Agreement and Plan of Reorganization between the Fund and Dreyfus Premier Balanced Opportunity Fund, (the "Acquiring Fund"), providing for the transfer of the Fund's assets to the Acquiring Fund in exchange for the Acquiring Fund's Class Z shares having an aggregate net asset value equal to the value of the Fund's net assets and the assumption by the Acquiring Fund of the Fund's stated liabilities, and the pro rata distribution of those shares to the Fund's shareholders and subsequent termination of the Fund. Affirmative Votes Negative Votes 4,811,840.251 133,711.424 EX-99 3 item77efeb05.txt LEGAL PROCEEDINGS ITEM 77E In early 2004, two purported class and derivative actions were filed against Mellon Financial Corporation, Mellon Bank, N.A., Dreyfus, Founders Asset Management LLC, and certain directors of the Dreyfus Funds and the Dreyfus Founders Funds (together, the Funds). In September 2004, plaintiffs served a Consolidated Amended Complaint (the Amended Complaint) on behalf of a purported class of all persons who acquired interests in any of the Funds between January 30, 1999 and November 17, 2003, and derivatively on behalf of the Funds. The Amended Complaint in the newly styled In re Dreyfus Mutual Funds Fee Litigation also named Dreyfus Service Corporation, Premier Mutual Fund Services, Inc. and two additional Fund directors as defendants and alleges violations of the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Pennsylvania Unfair Trade Practices and Consumer Protection Law and common-law claims. Plaintiffs seek to recover allegedly improper and excessive Rule 12b-1 and advisory fees allegedly charged to the Funds for marketing and distribution services. More specifically, plaintiffs claim, among other things, that 12b-1 fees and directed brokerage were improperly used to pay brokers to recommend the Funds over other funds, and that such payments were not disclosed to investors. In addition, plaintiffs assert that economies of scale and soft-dollar benefits were not passed on to the Funds. Plaintiffs further allege that 12b-1 fees were improperly charged to certain of the Funds that were closed to new investors. The Amended Complaint seeks compensatory and punitive damages, rescission of the advisory contracts, and an accounting and restitution of any unlawful fees, as well as an award of attorneys' fees and litigation expenses. As noted, some of the claims in this litigation are asserted derivatively on behalf of the Funds that have been named as nominal defendants. With respect to such derivative claims, no relief is sought against the Funds. Dreyfus believes the allegations to be totally without merit and intends to defend the action vigorously. Defendants filed motions to dismiss the Amended Complaint on November 12, 2004, and those motions are pending. Additional lawsuits arising out of these circumstances and presenting similar allegations and requests for relief may be filed against the defendants in the future. Neither Dreyfus nor the Funds believe that any of the pending actions will have a material adverse effect on the Funds or Dreyfus' ability to perform its contract with the Funds. -----END PRIVACY-ENHANCED MESSAGE-----