Board of Governors Content

April 15, 1994 TO: BOARD OF GOVERNORS NO. 33-94 INVESTMENT ADVISER MEMBERS NO. 17-94 SEC RULES COMMITTEE NO. 48-94 STATE SECURITIES MEMBERS NO. 18-94 UNIT INVESTMENT TRUST COMMITTEE NO. 30-94 RE: INSTITUTE COMMENT LETTER ON 1994 CONFERENCE ON FEDERAL- STATE SECURITIES REGULATION _____...

April 15, 1994 TO: BOARD OF GOVERNORS NO. 34-94 RE: REQUEST FOR SPEAKER QUESTIONS FOR MAY 4 LEGISLATIVE BRIEFING __________________________________________________________ Final preparations are being made for the May 4 Board of Governors' Legislative Briefing on Capitol Hill. At this...

April 14, 1994 TO: BOARD OF GOVERNORS NO. 31-94 RE: REQUEST FOR VIEWS ON PERSONAL TRADING __________________________________________________________ As you are aware, the Institute's Advisory Group on personal trading issues is moving rapidly toward completion of its report, the...

April 6, 1994 TO: BOARD OF GOVERNORS NO. 30-94 RE: PROPOSED MINUTES OF JANUARY 25-26, 1994 MEETING __________________________________________________________ Attached hereto is a copy of the minutes of the January 25-26, 1994, Board of Governors meeting which are proposed to be...

March 28, 1994 TO: BOARD OF GOVERNORS NO. 29-94 MEMBERS - ONE PER COMPLEX NO. 21-94 SEC RULES MEMBERS NO. 20-94 RE: SEC CHAIRMAN LEVITT'S SPEECH ON MUTUAL FUND DIRECTORS __________________________________________________________ At the recent Mutual Funds and Investment Management...

March 25, 1994 TO: BOARD OF GOVERNORS NO. 28-94 RE: May 4, 1994 Board of Governors Meeting __________________________________________________________ The next meeting of the Board of Governors will be on May 4, 1994 at 9:30 am in the David Silver Conference Room at the Institute...

March 18, 1994 TO: BOARD OF GOVERNORS NO. 27-94 SEC RULES MEMBERS NO. 16-94 RE: NASD CLARIFIES DISCLOSURE REQUIREMENTS FOR CASH/NON-CASH COMPENSATION __________________________________________________________ Article III, Section 26 of the NASD's Rules of Fair Practice prohibits...

March 17, 1994 TO: BANK INVESTMENT MANAGEMENT MEMBERS NO. 13-94 BOARD OF GOVERNORS NO. 26-94 INSTITUTIONAL FUNDS COMMITTEE NO. 8-94 RE: OCC GUIDANCE TO EXAMINERS ON MUTUAL FUND AND OTHER NONDEPOSIT SALES __________________________________________________________ The Office of the...

March 10, 1994 TO: BOARD OF GOVERNORS NO. 25-94 FEDERAL LEGISLATION COMMITTEE NO. 6-94 FEDERAL LEGISLATION MEMBERS NO. 6-94 RE: HOUSE PANEL HOLDS HEARINGS ON BANK SALES OF MUTUAL FUNDS -- INSTITUTE TESTIFIES __________________________________________________________ On Tuesday, March...

March 10, 1994 TO: BOARD OF GOVERNORS NO. 24-94 FEDERAL LEGISLATION COMMITTEE NO. 5-94 FEDERAL LEGISLATION MEMBERS NO. 5-94 BANK ISSUES GROUP RE: DINGELL HOLDS DREYFUS/MELLON HEARINGS __________________________________________________________ On March 2 and 3, House Energy and...