-----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, W2YuBvHWEjOlBE1a2RZQPi5oNWsroFGBN8z3AjZOAhARPo03Tq1AKJm0EB4i1Jkw /ZrwhFtS8+jsfS2Ao1Po2Q== 0000890341-04-000015.txt : 20041028 0000890341-04-000015.hdr.sgml : 20041028 20041028093018 ACCESSION NUMBER: 0000890341-04-000015 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20040831 FILED AS OF DATE: 20041028 DATE AS OF CHANGE: 20041028 EFFECTIVENESS DATE: 20041028 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-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-07068 FILM NUMBER: 041101108 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-B 1 answer.fil ANNUAL REPORT PAGE 1 000 B000000 08/31/2004 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 2129226838 002 A000000 200 PARK AVENUE 002 B000000 NEW YORK 002 C000000 NY 002 D010000 10166 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 N 007 B000000 0 018 000000 Y 019 A000000 Y 019 B000000 200 019 C000000 DREYFUSFAM 020 A000001 MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. 020 B000001 13-5674085 020 C000001 12 020 A000002 UBS WARBURG LLC 020 B000002 13-3873456 020 C000002 9 020 A000003 BEAR, STEARNS & CO. INC. 020 B000003 13-3299429 020 C000003 9 020 A000004 LEHMAN BROTHERS INC. 020 B000004 13-2518466 020 C000004 7 020 A000005 CITIGROUP GLOBAL MARKETS INC. 020 B000005 11-2418191 020 C000005 7 020 A000006 BANC OF AMERICA SECURITIES LLC 020 B000006 56-2058405 020 C000006 6 020 A000007 STANDARD & POOR'S SECURITIES, INC. 020 B000007 13-2671951 020 C000007 6 020 A000008 J.P. NORGAN CHASE BANK 020 B000008 13-3224016 020 C000008 5 020 A000009 BNY BROKERAGE INC. PAGE 2 020 B000009 13-3989198 020 C000009 5 020 A000010 BRIDGE TRADIND, A REUTERS COMPANY 020 B000010 43-1450530 020 C000010 4 021 000000 145 022 A000001 MERRILL, LYNCH, PIERCE, FENNER & SMITH INC. 022 B000001 13-5674085 022 C000001 70764 022 D000001 80636 022 A000002 BARCLAY INVESTMENTS, INC. 022 B000002 05-0346412 022 C000002 41902 022 D000002 37009 022 A000003 BANC OF AMERICA SECURITIES LLC 022 B000003 56-2058405 022 C000003 34940 022 D000003 18783 022 A000004 CITIGROUP GLOBAL MARKETS INC. 022 B000004 11-2418191 022 C000004 29361 022 D000004 18909 022 A000005 GOLDMAN, SACHS & CO. 022 B000005 13-5108880 022 C000005 19834 022 D000005 22678 022 A000006 DEUTSCHE BANK SECURITIES INC. 022 B000006 13-2730828 022 C000006 18053 022 D000006 22376 022 A000007 RBC GREENWICH CAPITAL MARKETS, INC. 022 B000007 13-3172275 022 C000007 33702 022 D000007 5986 022 A000008 CREDIT SUISSE FIRST BOSTON CORPORATION 022 B000008 13-5659485 022 C000008 19382 022 D000008 15211 022 A000009 LEHMAN BROTHERS INC. 022 B000009 13-2518466 022 C000009 15695 022 D000009 13669 022 A000010 NOMURA SECURITIES INTERNATIONAL,INC. 022 B000010 13-2655998 022 C000010 5912 022 D000010 3650 023 C000000 351736 023 D000000 309257 024 000000 Y 025 A000001 GOLDMAN, SACHS & CO. 025 B000001 13-5108880 PAGE 3 025 C000001 E 025 D000001 735 025 A000002 J.P. MORGAN CHASE & CO. 025 B000002 13-3224016 025 C000002 E 025 D000002 1230 025 A000003 BNY BROKERAGE INC. 025 B000003 13-3989198 025 C000003 E 025 D000003 417 025 A000004 CITIGROUP GLOBAL MARKETS INC. 025 B000004 11-2418191 025 C000004 E 025 D000004 2177 025 A000005 MERRILL LYNCH, PIERCE, FENNER & SMITH INC. 025 B000005 13-5674085 025 C000005 E 025 D000005 664 025 A000006 BANC OF AMERICA SECURITIES LLC 025 B000006 56-2058405 025 C000006 E 025 D000006 1661 025 A000007 GOLDMAN, SACHS & CO. 025 B000007 13-5108880 025 C000007 D 025 D000007 1739 025 A000008 BANC OF AMERICA SECURITIES LLC 025 B000008 56-2058405 025 C000008 D 025 D000008 670 026 A000000 N 026 B000000 Y 026 C000000 N 026 D000000 Y 026 E000000 N 026 F000000 N 026 G010000 N 026 G020000 N 026 H000000 Y 027 000000 Y 028 A010000 1107 028 A020000 410 028 A030000 0 028 A040000 2463 028 B010000 1131 028 B020000 0 028 B030000 0 028 B040000 2940 028 C010000 716 028 C020000 0 028 C030000 0 PAGE 4 028 C040000 2589 028 D010000 835 028 D020000 497 028 D030000 0 028 D040000 3162 028 E010000 732 028 E020000 0 028 E030000 0 028 E040000 3264 028 F010000 1626 028 F020000 0 028 F030000 0 028 F040000 3131 028 G010000 6147 028 G020000 907 028 G030000 0 028 G040000 17549 028 H000000 0 029 000000 N 030 A000000 0 030 B000000 0.00 030 C000000 0.00 031 A000000 0 031 B000000 0 032 000000 0 033 000000 0 054 A000000 Y 054 B000000 Y 054 C000000 Y 054 D000000 N 054 E000000 N 054 F000000 N 054 G000000 Y 054 H000000 N 054 I000000 N 054 J000000 Y 054 K000000 N 054 L000000 Y 054 M000000 Y 054 N000000 N 054 O000000 Y 055 A000000 Y 055 B000000 Y 056 000000 N 057 000000 N 062 A000000 N 062 B000000 0.0 062 C000000 0.0 062 D000000 0.0 062 E000000 0.0 062 F000000 0.0 PAGE 5 062 G000000 0.0 062 H000000 0.0 062 I000000 0.0 062 J000000 0.0 062 K000000 0.0 062 L000000 0.0 062 M000000 0.0 062 N000000 0.0 062 O000000 0.0 062 P000000 0.0 062 Q000000 0.0 062 R000000 0.0 066 A000000 Y 066 B000000 N 066 C000000 N 066 D000000 N 066 E000000 Y 066 F000000 N 066 G000000 N 067 000000 Y 068 A000000 N 068 B000000 N 069 000000 N 070 A010000 Y 070 A020000 N 070 B010000 Y 070 B020000 N 070 C010000 Y 070 C020000 N 070 D010000 Y 070 D020000 N 070 E010000 Y 070 E020000 Y 070 F010000 Y 070 F020000 N 070 G010000 Y 070 G020000 N 070 H010000 Y 070 H020000 N 070 I010000 Y 070 I020000 N 070 J010000 Y 070 J020000 Y 070 K010000 Y 070 K020000 Y 070 L010000 Y 070 L020000 Y 070 M010000 Y 070 M020000 N 070 N010000 Y 070 N020000 Y PAGE 6 070 O010000 Y 070 O020000 N 070 P010000 Y 070 P020000 N 070 Q010000 N 070 Q020000 N 070 R010000 Y 070 R020000 Y 071 A000000 338944 071 B000000 359402 071 C000000 127404 071 D000000 266 072 A000000 12 072 B000000 1475 072 C000000 1593 072 D000000 0 072 E000000 0 072 F000000 796 072 G000000 0 072 H000000 0 072 I000000 453 072 J000000 25 072 K000000 0 072 L000000 29 072 M000000 14 072 N000000 23 072 O000000 1 072 P000000 2 072 Q000000 0 072 R000000 45 072 S000000 26 072 T000000 0 072 U000000 0 072 V000000 0 072 W000000 21 072 X000000 1435 072 Y000000 0 072 Z000000 1633 072AA000000 11938 072BB000000 8114 072CC010000 3773 072CC020000 0 072DD010000 1631 072DD020000 0 072EE000000 0 073 A010000 0.1610 073 A020000 0.0000 073 B000000 0.0000 073 C000000 0.0000 074 A000000 61 074 B000000 0 PAGE 7 074 C000000 150 074 D000000 44011 074 E000000 0 074 F000000 74816 074 G000000 0 074 H000000 12228 074 I000000 1519 074 J000000 0 074 K000000 0 074 L000000 719 074 M000000 24 074 N000000 133528 074 O000000 10029 074 P000000 75 074 Q000000 0 074 R010000 0 074 R020000 0 074 R030000 0 074 R040000 1229 074 S000000 0 074 T000000 122195 074 U010000 9285 074 U020000 0 074 V010000 13.16 074 V020000 0.00 074 W000000 0.0000 074 X000000 3171 074 Y000000 0 075 A000000 0 075 B000000 66319 076 000000 0.00 077 A000000 Y 077 B000000 Y 077 E000000 Y 080 A000000 VIGILANT INSURANCE COMPANY 080 B000000 TRAVELERS CASUALTY AND SURETY COMPANY 080 C000000 125000 081 A000000 Y 081 B000000 205 082 A000000 N 082 B000000 0 083 A000000 N 083 B000000 0 084 A000000 N 084 B000000 0 085 A000000 Y 085 B000000 Y SIGNATURE ROBERT R. MULLERY TITLE ASSISTANT SECRETARY EX-99 2 sub-item77e.txt SUB-ITEM 77E LEGAL PROCEEDINGS September 2004 SUB-ITEM 77E - LEGAL PROCEEDINGS In the Spring of 2004, Hays, a purported shareholder in the Dreyfus Disciplined Stock Fund, and Wortman, a purported shareholder in the Dreyfus S&P 500 Stock Fund, filed similar class action complaints naming as defendants Mellon Financial Corporation, Mellon Bank, The Dreyfus Corporation ("Dreyfus"), Founders Asset Management, and certain directors of Dreyfus funds, and certain John Doe defendants identified as directors of other Dreyfus 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 the Dreyfus Funds between January 30, 1999 and November 17, 2003, and derivatively on behalf of said Dreyfus funds. The Amended Complaint alleges violations of Sections 34(b), 36(b), and 48(a) of the Investment Company Act of 1940, as amended, Section 215 of the Investment Advisers Act of 1940, as amended, the Pennsylvania Unfair Trade Practices and Consumer Protection Law and common-law claims. The consolidated action seeks to recover allegedly improper and excessive Rule 12b-1 and advisory fees charged to various funds for marketing and distribution services. More specifically, the plaintiffs claim, among other things, that 12b-1 fees and directed brokerage commissions were improperly used to pay brokers to recommend Dreyfus funds over other funds, and that such payments were not disclosed to investors; that economies of scale and soft-dollar benefits were not passed on to investors; that 12b-1 fees charged to certain funds that were closed to new investors were also improper; and that these matters were not properly disclosed in prospectuses and reports of the Dreyfus funds. The complaints seek 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. Defendants' time to respond to the Amended Complaint has not yet expired. No discovery has been conducted. Various of the claims in this litigation are asserted derivatively on behalf of the Dreyfus funds that have been named as nominal defendants and, with respect to these derivative claims, no relief is sought against the Dreyfus funds, including the Fund. EX-99 3 ey222.txt E&Y REPORT Report of Independent Auditors To the Shareholders and Board of Directors of Dreyfus Balanced Fund, Inc. In planning and performing our audit of the financial statements of Dreyfus Balanced Fund, Inc. for the year ended August 31, 2003, we considered its internal control, including control activities for safeguarding securities, in order to determine our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, not to provide assurance on internal control. The management of Dreyfus Balanced Fund, Inc. is responsible for establishing and maintaining internal control. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. Generally, controls that are relevant to an audit pertain to the entity's objective of preparing financial statements for external purposes that are fairly presented in conformity with accounting principles generally accepted in the United States. Those controls include the safeguarding of assets against unauthorized acquisition, use, or disposition. Because of inherent limitations in internal control, error or fraud may occur and not be detected. Also, projection of any evaluation of internal control to future periods is subject to the risk that it may become inadequate because of changes in conditions or that the effectiveness of the design and operation may deteriorate. Our consideration of internal control would not necessarily disclose all matters in internal control that might be material weaknesses under standards established by the American Institute of Certified Public Accountants. A material weakness is a condition in which the design or operation of one or more of the internal control components does not reduce to a relatively low level the risk that misstatements caused by error or fraud in amounts that would be material in relation to the financial statements being audited may occur and not be detected within a timely period by employees in the normal course of performing their assigned functions. However, we noted no matters involving internal control and its operation, including controls for safeguarding securities, that we consider to be material weaknesses as defined above as of August 31, 2003. This report is intended solely for the information and use of management and the Board of Directors of Dreyfus Balanced Fund, Inc. and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. ERNST & YOUNG LLP New York, New York October 14, 2003 -----END PRIVACY-ENHANCED MESSAGE-----