Board of Governors Content

July 2, 1990 TO: BOARD OF GOVERNORS NO. 47-90 SEC RULES MEMBERS NO. 47-90 PROSPECTUS REFORM AD HOC COMMITTEE RE: INSTITUTE LETTER TO SEC STAFF CONCERNING PROSPECTUS REFORM __________________________________________________________ As you know, the Institute has expressed its concern...

June 28, 1990 TO: BOARD OF GOVERNORS NO. 46-90 RE: SUPREME COURT DENIES CERT. IN INDEX PARTICIPATIONS CASE __________________________________________________________ On June 18, the U.S. Supreme Court denied certiorari in the case concerning "index participations." The Court's action...

June 26, 1990 TO: BOARD OF GOVERNORS NO. 45-90 RE: HOUSE APPROVES H.R. 3657, THE "SECURITIES MARKETS REFORM ACT OF 1990" __________________________________________________________ The U.S. House of Representatives has approved by voice vote H.R. 3657, the "Securities Markets Reform...

June 22, 1990 TO: BOARD OF GOVERNORS NO. 44-90 SEC RULES COMMITTEE NO. 35-90 RE: FED PROPOSES ALLOWING BANK HOLDING COMPANY SUBSIDIARIES TO BROKER SHARES OF AFFILIATED FUNDS; COMPTROLLER EXTENDS COMMENT PERIOD ON COMMON TRUST FUND PROPOSAL _____________________________________________...

June 18, 1990 TO: BOARD OF GOVERNORS NO. 43-90 SEC RULES MEMBERS NO. 43-90 MEMBERS - ONE PER COMPLEX NO. 23-90 CLOSED-END FUND MEMBERS - ONE PER COMPLEX UNIT INVESTMENT TRUST MEMBERS - ONE PER COMPLEX RE: SEC ISSUES CONCEPT RELEASE ON REFORM OF REGULATION OF INVESTMENT COMPANIES _____...

June 13, 1990 TO: BOARD OF GOVERNORS NO. 42-90 STATE SECURITIES MEMBERS NO. 18-90 UNIT INVESTMENT TRUST MEMBERS NO. 37-90 RE: COLORADO ADOPTS BLUE CHIP EXEMPTION __________________________________________________________ Currently, all mutual funds and unit trusts that offer their...

June 12, 1990 TO: BOARD OF GOVERNORS NO. 41-90 SEC RULES COMMITTEE NO. 32-90 1990s REGULATORY TASK FORCE RE: MEETING ON DRAFT 1990s REGULATORY REPORT __________________________________________________________ Attached is a draft of the recommendations section of the regulatory report...

June 11, 1990 TO: BOARD OF GOVERNORS NO. 40-90 MEMBERS - ONE PER COMPLEX NO. 22-90 DIRECT MARKETING COMMITTEE NO. 13-90 MARKETING COMMITTEE NO. 12-90 OPERATIONS COMMITTEE NO. 10-90 PUBLIC INFORMATION COMMITTEE NO. 18-90 RESEARCH COMMITTEE NO. 12-90 SALES FORCE MARKETING COMMITTEE NO...

June 4, 1990 TO: BOARD OF GOVERNORS NO. 39-90 SEC RULES MEMBERS NO. 40-90 RULE 12b-1 AD HOC COMMITTEE RE: INSTITUTE COMMENT LETTER ON NASD 12b-1 PROPOSAL ________________________________________________________ In response to the recent proposal by the NASD to extend its sales load...

May 31, 1990 TO: BOARD OF GOVERNORS NO. 38-90 SEC RULES COMMITTEE NO. 31-90 1990s REGULATORY TASK FORCE RE: JUNE 21 MEETING OF THE 1990s REGULATORY TASK FORCE __________________________________________________________ As you know, part of the Institute's study of the industry in the...