Board of Governors Content

[18681] March 22, 2005 TO: BOARD OF GOVERNORS No. 12-05 RE: MAY BOARD OF GOVERNORS MEETING The next meeting of the Board of Governors is scheduled for 9:30 a.m. on Thursday, May 5, 2005 at the Institute. The First Annual Mutual Fund Policy Forum and Leadership Dinner will precede the...

[18671] March 21, 2005 TO: BOARD OF GOVERNORS No. 11-05 CEOS CHIEF COMPLIANCE OFFICER COMMITTEE No. 26-05 CLOSED-END INVESTMENT COMPANY MEMBERS No. 16-05 COMPLIANCE ADVISORY COMMITTEE No. 24-05 PRIMARY CONTACTS - MEMBER COMPLEX No. 12-05 SEC RULES MEMBERS No. 41-05 SMALL FUNDS MEMBERS...

[18643] March 9, 2005 TO: BOARD OF GOVERNORS No. 10-05 CEOS FEDERAL LEGISLATION MEMBERS No. 1-05 INDEPENDENT DIRECTORS COUNCIL No. 1-05 PENSION COMMITTEE No. 9-05 PRIMARY CONTACTS - MEMBER COMPLEX No. 11-05 PUBLIC COMMUNICATIONS COMMITTEE No. 3-05 SEC RULES COMMITTEE No. 21-05 RE...

[18632] March 4, 2005 TO: UNIT INVESTMENT TRUST COMMITTEE No. 3-05 RE: SEC SUPPLEMENTAL REQUEST FOR COMMENT ON PROPOSED REVISIONS TO CONFIRMATION AND POINT OF SALE DISCLOSURE DOCUMENTS In January 2004, the Securities and Exchange Commission proposed new confirmation and point of sale...

[18593] February 25, 2005 TO: PENSION COMMITTEE No. 7-05 CHIEF COMPLIANCE OFFICER COMMITTEE No. 19-05 SEC RULES COMMITTEE No. 17-05 RE: INSTITUTE SEEKS INTERPRETIVE GUIDANCE FROM NASD ON APPLICATION OF NASD CONDUCT RULES TO DEFAULT IRA ACCOUNTS The Economic Growth and Tax Relief...

[18570] February 23, 2005 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-05 PRIMARY CONTACTS - MEMBER COMPLEX No. 10-05 BOARD OF GOVERNORS No. 9-05 CEOS SEC RULES COMMITTEE No. 16-05 SMALL FUNDS COMMITTEE No. 5-05 UNIT INVESTMENT TRUST COMMITTEE No. 2-05 RE: CLASS ACTION REFORM...

[18549] February 16, 2005 TO: BOARD OF GOVERNORS No. 8-05 CHIEF COMPLIANCE OFFICER COMMITTEE No. 14-05 COMPLIANCE ADVISORY COMMITTEE No. 13-05 SEC RULES MEMBERS No. 28-05 SMALL FUNDS MEMBERS No. 15-05 RE: DISTRICT COURT HOLDS THAT THERE IS NO IMPLIED PRIVATE RIGHT OF ACTION UNDER...

[18545] February 15, 2005 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 13-05 COMPLIANCE ADVISORY COMMITTEE No. 12-05 SEC RULES COMMITTEE No. 15-05 SMALL FUNDS COMMITTEE No. 4-05 RE: HEARING OFFICER DISMISSES SEC ENFORCEMENT PROCEEDING ALLEGING FRAUD IN CONNECTION WITH SALES OF CLASS B...

[18543] February 14, 2005 TO: BOARD OF GOVERNORS No. 7-05 CEOS CHIEF COMPLIANCE OFFICER COMMITTEE No. 12-05 CLOSED-END INVESTMENT COMPANY MEMBERS No. 11-05 INVESTMENT COMPANY DIRECTORS No. 4-05 PRIMARY CONTACTS - MEMBER COMPLEX No. 9-05 SEC RULES MEMBERS No. 25-05 SMALL FUNDS MEMBERS...