Board of Governors Content

April 25, 1989 TO: BOARD OF GOVERNORS NO. 26-89 MARKETING COMMITTEE NO. 8-89 DIRECT MARKETING COMMITTEE NO. 14-89 SALES FORCE MARKETING COMMITTEE NO. 14-89 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 10-89 RESEARCH COMMITTEE NO. 9-89 PENSION MEMBERS NO. 24-89 MEMBERS INTERESTED IN PUBLIC...

April 19, 1989 TO: BOARD OF GOVERNORS NO. 25-89 STATE SECURITIES MEMBERS NO. 14-89 UNIT INVESTMENT TRUST MEMBERS NO. 23-89 INVESTMENT ADVISER MEMBERS NO. 26-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 25-89 RE: INSTITUTE COMMENT LETTER ON THE AGENDA FOR THE ANNUAL SEC-NASAA CONFERENCE...

April 14, 1989 TO: BOARD OF GOVERNORS NO. 24-89 STATE SECURITIES MEMBERS NO. 12-89 UNIT INVESTMENT TRUST MEMBERS NO. 21-89 RE: NEW MEXICO ADOPTS BLUE CHIP EXEMPTION __________________________________________________________ Currently, all mutual funds and unit trusts that offer their...

April 7, 1989 TO: BOARD OF GOVERNORS NO. 23-89 SEC RULES MEMBERS NO. 20-89 12b-1 AD HOC COMMITTEE RE: NASD NOTICE REGARDING MISUSE OF NO-LOAD TERMINOLOGY __________________________________________________________ The attached Notice to NASD members states that the NASD has received a...

April 6, 1989 TO: BOARD OF GOVERNORS NO. 22-89 MARKETING COMMITTEE NO. 7-89 DIRECT MARKETING COMMITTEE NO. 11-89 SALES FORCE MARKETING COMMITTEE NO. 11-89 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 8-89 PUBLIC INFORMATION COMMITTEE NO. 9-89 RESEARCH COMMITTEE NO. 8-89 SMALL FUNDS...

April 3, 1989 TO: BOARD OF GOVERNORS NO. 20-89 SEC RULES COMMITTEE NO. 18-89 RE: INSTITUTE SUGGESTIONS TO SEC STAFF REGARDING PENDING REGULATORY MATTERS __________________________________________________________ As you know, the Institute regularly requests SEC staff action regarding...

April 3, 1989 TO: BOARD OF GOVERNORS NO. 21-89 FEDERAL LEGISLATION MEMBERS NO. 6-89 FEDERAL LEGISLATION COMMITTEE NO. 5-89 RE: SEC-PROPOSED LEGISLATION INTRODUCED IN CONGRESS __________________________________________________________ At the request of the SEC, legislation dealing with...

March 28, 1989 TO: BOARD OF GOVERNORS NO. 19-89 RE: REVISED NOTICE OF MEETING - WEDNESDAY, MAY 24, 1989 __________________________________________________________ A meeting of the Board of Governors has been scheduled for Wednesday, May 24, 1989, commencing at 1:00 p.m. with lunch in...

March 23, 1989 TO: BOARD OF GOVERNORS NO. 18-89 RE: NOTICE OF MEETING - WEDNESDAY, MAY 24, 1989 __________________________________________________________ A meeting of the Board of Governors has been scheduled for Wednesday, May 24, 1989, commencing at 1:00 p.m. with lunch in the...

March 20, 1989 TO: BOARD OF GOVERNORS NO. 17-89 FEDERAL LEGISLATION MEMBERS NO. 5-89 FEDERAL LEGISLATION COMMITTEE NO. 4-89 RE: SEC'S "INTERNATIONAL SECURITIES ENFORCEMENT COOPERATION ACT OF 1989" INTRODUCED IN HOUSE OF REPRESENTATIVES _________________________________________________...