Board of Governors Content

February 4, 1994 TO: BOARD OF GOVERNORS NO. 13-94 SEC RULES COMMITTEE NO. 10-94 RE: CHAIRMAN LEVITT'S REMARKS ON PRIVATE SECURITIES LITIGATION __________________________________________________________ At a recent meeting of the Securities Regulation Institute, SEC Chairman Arthur...

February 2, 1994 TO: BANK INVESTMENT MANAGEMENT MEMBERS NO. 7-94 BOARD OF GOVERNORS NO. 11-94 STATE LIAISON COMMITTEE NO. 8-94 TASK FORCE ON BANK SALES ACTIVITIES RE: NASAA/AARP SURVEY ON BANK SALES OF MUTUAL FUNDS; JOINT NASAA/AARP/CFA STATEMENT ON BANK SALES LEGISLATION ____________...

1 See Memorandum to Board of Governors No. 96-93, Bank Investment Management Members No. 25-93, and Task Force on Bank Sales Activities, dated October 25, 1993 [FDIC]; Memorandum to Board of Governors No. 79-93, Bank Investment Management Members No. 22-93, and Task Force on Bank...

February 1, 1994 TO: BOARD OF GOVERNORS NO. 10-94 RE: INSTITUTE SURVEY OF MEMBERS' CODES OF ETHICS __________________________________________________________ At the recent meeting, all members of the Board were asked to send to the Institute a copy of their codes of ethics governing...

January 21, 1994 TO: BOARD OF GOVERNORS NO. 9-94 RE: RECENT PRESS ARTICLES ON APPLYING CRA TO MUTUAL FUNDS __________________________________________________________ As we previously informed you, certain bank trade associations and others have publicly advocated imposing community...

January 18, 1994 TO: BANK INVESTMENT MANAGEMENT MEMBERS NO. 3-94 BOARD OF GOVERNORS NO. 8-94 INVESTMENT ADVISERS COMMITTEE NO. 3-94 SEC RULES COMMITTEE NO. 8-94 STATE LIAISON COMMITTEE NO. 6-94 RE: RECENT SPEECH BY SEC COMMISSIONER ROBERTS _____________________________________________...

January 17, 1994 TO: BOARD OF GOVERNORS NO. 7-94 FEDERAL LEGISLATION COMMITTEE NO. 1-94 FEDERAL LEGISLATION MEMBERS NO. 1-94 RE: 1994 GOVERNMENT AFFAIRS MATERIALS __________________________________________________________ The Investment Company Institute's Board of Governors and...

January 11, 1994 TO: BOARD OF GOVERNORS NO. 6-94 INTERNATIONAL MEMBERS NO. 1-94 INVESTMENT ADVISER MEMBERS NO. 2-94 RE: ONTARIO TO PERMIT NON-RESIDENT FUND MANAGERS __________________________________________________________ As you may know, the Institute has been working in recent...

January 10, 1994 TO: BANK INVESTMENT MANAGEMENT MEMBERS NO. 2-94 BOARD OF GOVERNORS NO. 5-94 TASK FORCE ON BANK SALES ACTIVITIES RE: LETTER FROM CHAIRMAN DINGELL TO SEC CONCERNING OCC MUTUAL FUND BROCHURE; SEC'S RESPONSE __________________________________________________________ House...

January 6, 1994 TO: BOARD OF GOVERNORS NO. 4-94 RE: LEGISLATIVE SUMMARY FOR NEVIS BOARD OF GOVERNORS MEETING __________________________________________________________ As Matt Fink noted in his January 3rd memorandum to you, the Board of Governors meeting on Nevis will include a...