Board of Governors Content

October 27, 1993 TO: BOARD OF GOVERNORS NO. 98-93 FEDERAL LEGISLATION COMMITTEE NO. 34-93 INTERNATIONAL COMMITTEE NO. 22-93 MEMBERS - ONE PER COMPLEX NO. 72-93 REGIONAL WORKING GROUPS RE: CONGRESS TO CONSIDER NAFTA; INSTITUTE ACTIVE IN SUPPORT _________________________________________...

1 See Memorandum to Board of Governors No. 63-93, Bank Investment Management Members No. 16-93, and Task Force on Bank Sales Activities, dated July 21, 1993. 2 See Memorandum to Board of Governors No. 79-93, Bank Investment Management Members No. 22-93, and Task Force on Bank Sales...

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...

October 19, 1993 TO: BOARD OF GOVERNORS NO. 95-93 RE: JANUARY 1994 BOARD OF GOVERNORS MEETING __________________________________________________________ The Institute’s next Board of Governors meeting will be held January 24-26, 1994 at the Four Seasons Resort Nevis, West Indies. The...

October 19, 1993 TO: BOARD OF GOVERNORS NO. 94-93 RE: Barbash Talk to SEC Rules Committee __________________________________________________________ Barry Barbash, the new Director of the SEC Division of Investment Management, gave a brief talk to the Institute’s SEC Rules Committee...

October 18, 1993 TO: BOARD OF GOVERNORS NO. 93-93 INVESTMENT ADVISERS COMMITTEE NO. 28-93 SEC RULES COMMITTEE NO. 91-93 UNIT INVESTMENT TRUST COMMITTEE NO. 51-93 RE: SPEECH BY SEC COMMISSIONER ROBERTS CONCERNING INVESTMENT COMPANY AND INVESTMENT ADVISER ISSUES ________________________...

October 13, 1993 TO: BOARD OF GOVERNORS NO. 91-93 SEC RULES MEMBERS NO. 83-93 RE: INSTITUTE COMMENTS ON SEC PROPOSED RULE 3a-8, POINTS OUT NEED FOR MULTIPLE CLASS EXEMPTIVE RULE __________________________________________________________ The Securities and Exchange Commission recently...

October 13, 1993 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 33-93 BANK BROKER/DEALER ADVISORY COMMITTEE NO. 23-93 BOARD OF GOVERNORS NO. 92-93 BROKER/DEALER ADVISORY COMMITTEE NO. 31-93 CLOSED-END FUND COMMITTEE NO. 23-93 INSURANCE BROKER-DEALER ADVISORY COMMITTEE NO. 20-93 OPERATIONS...

October 7, 1993 TO: BOARD OF GOVERNORS NO. 90-93 SEC RULES COMMITTEE NO. 88-93 RE: SEC RESPONSE TO CHAIRMAN DINGELL’S INQUIRY ABOUT CERTAIN PRACTICES INVOLVING 12b-1 FEES __________________________________________________________ Congressman John Dingell, Chairman of the House Energy...

October 1, 1993 TO: BOARD OF GOVERNORS NO. 88-93 OPERATIONS MEMBERS NO. 32-93 SEC RULES MEMBERS NO. 77-93 STATE SECURITIES MEMBERS NO. 38-93 TRANSFER AGENT ADVISORY COMMITTEE NO. 51-93 RE: NASAA ADOPTS TELEPHONE TRANSACTION GUIDELINES __________________________________________________...