Board of Governors Content

June 16, 1992 TO: BOARD OF GOVERNORS NO. 42-92 SEC RULES MEMBERS NO. 24-92 INVESTMENT ADVISER MEMBERS NO. 27-92 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 19-92 RE: INSTITUTE TESTIFIES ON A DRAFT HOUSE BILL TO IMPROVE INVESTMENT ADVISER OVERSIGHT ________________________________________...

June 4, 1992 TO: BOARD OF GOVERNORS NO. 41-92 SEC RULES COMMITTEE NO. 39-92 UNIT INVESTMENT TRUST COMMITTEE NO. 31-92 RE: SEC PROPOSES CONDITIONAL EXEMPTION FROM 1940 ACT FOR STRUCTURED FINANCINGS __________________________________________________________ In its first formal action on...

June 3, 1992 TO: BOARD OF GOVERNORS NO. 40-92 CLOSED-END FUND MEMBERS NO. 29-92 INVESTMENT ADVISER MEMBERS NO. 26-92 SEC RULES MEMBERS NO. 23-92 SMALL FUNDS MEMBERS NO. 10-92 UNIT INVESTMENT TRUST MEMBERS NO. 38-92 RE: REMINDER - JUNE 23 INSTITUTE CONFERENCE ON REFORM OF THE...

May 29, 1992 TO: BOARD OF GOVERNORS NO. 39-92 INTERNATIONAL MEMBERS NO. 12-92 RE: REVISED GUIDELINES FOR LICENSING INVESTMENT TRUST MANAGEMENT COMPANIES IN JAPAN __________________________________________________________ The Institute has received the attached copy of Japan’s newly...

May 26, 1992 TO: BOARD OF GOVERNORS NO. 38-92 SEC RULES MEMBERS NO. 20-92 CLOSED-END FUND MEMBERS NO. 26-92 RE: SEC APPROVES AMENDMENT TO NYSE PROXY VOTING REQUIREMENTS FOR INITIAL APPROVAL OF MANAGEMENT AGREEMENT __________________________________________________________ The...

May 20, 1992 TO: BOARD OF GOVERNORS NO. 37-92 SEC RULES MEMBERS NO. 19-92 CLOSED-END FUND MEMBERS NO. 25-92 INVESTMENT ADVISER MEMBERS NO. 23-92 SMALL FUNDS MEMBERS NO. 8-92 UNIT INVESTMENT TRUST MEMBERS NO. 33-92 RE: SEC ISSUES STAFF REPORT ON INVESTMENT COMPANY REGULATION __________...

May 19, 1992 TO: BOARD OF GOVERNORS NO. 36-92 CLOSED-END FUND MEMBERS NO. 24-92 INVESTMENT ADVISER MEMBERS NO. 22-92 SEC RULES MEMBERS NO. 18-92 SMALL FUNDS MEMBERS NO. 7-92 UNIT INVESTMENT TRUST MEMBERS NO. 32-92 RE: INSTITUTE CONFERENCE ON REFORM OF THE REGULATION OF INVESTMENT...

May 18, 1992 TO: BOARD OF GOVERNORS NO. 35-92 INTERNATIONAL MEMBERS NO. 11-92 RE: LICENSING REQUIREMENTS FOR INVESTMENT TRUST MANAGERS IN JAPAN __________________________________________________________ Japanese counsel has informed the Institute that, effective April 24, the Ministry...

May 18, 1992 TO: BOARD OF GOVERNORS NO. 34-92 INVESTMENT ISSUES COMMITTEE NO. 7-92 TASK FORCE ON GOVERNMENT SECURITIES MARKETS RE: HOUSE SUBCOMMITTEE FAVORABLY REPORTS THE "GOVERNMENT SECURITIES REFORM ACT OF 1992" __________________________________________________________ The...

May 12, 1992 TO: BOARD OF GOVERNORS NO. 33-92 RE: OFFSHORE FUNDS AS ASSOCIATE PERSONS OF THE INSTITUTE __________________________________________________________ The Executive Committee recommends the adoption of an amendment to the Institute's by-laws that would allow offshore funds...