Board of Governors Content

[18382] January 4, 2005 TO: PENSION COMMITTEE No. 1-05 PENSION OPERATIONS ADVISORY COMMITTEE No. 1-05 RE: INSTITUTE COMMENT LETTER CONCERNING PROTOTYPE PLAN PROVISIONS OF IRS ANNOUNCEMENT 2004-71 The Institute has filed the attached comment letter with the Internal Revenue Service...

[18380] January 3, 2005 TO: BOARD OF GOVERNORS No. 1-05 RE: BOARD OF GOVERNORS MEETING SCHEDULE Attached is a list of the Board of Governors meeting dates that have been scheduled through October 2006. If you have any questions please contact me at 202-326-5857. Lawrence R. Maffia...

[18378] December 31, 2004 TO: BOARD OF GOVERNORS No. 91-04 CEOS CHIEF COMPLIANCE OFFICER COMMITTEE No. 37-04 CLOSED-END INVESTMENT COMPANY MEMBERS No. 82-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 108-04 SEC RULES MEMBERS No. 180-04 SMALL FUNDS MEMBERS No. 133-04 UNIT INVESTMENT TRUST...

[18369] December 22, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 122-04 PENSION COMMITTEE No. 60-04 PENSION OPERATIONS ADVISORY COMMITTEE No. 85-04 SEC RULES COMMITTEE No. 100-04 SMALL FUNDS COMMITTEE No. 53-04 RE: SEC APPROVES NASD’S PROPOSED BAN ON DIRECTED BROKERAGE The Securities...

[18348] December 22, 2004 TO: BOARD OF GOVERNORS No. 90-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 36-04 COMPLIANCE ADVISORY COMMITTEE No. 121-04 SEC RULES MEMBERS No. 179-04 SMALL FUNDS MEMBERS No. 132-04 RE: BROKER-DEALER SETTLES WITH SEC AND NASD REGARDING SALES OF SYSTEMATIC...

[18362] December 21, 2004 TO: BOARD OF GOVERNORS No. 89-04 CEOS FEDERAL LEGISLATION MEMBERS No. 15-04 INDEPENDENT DIRECTORS COUNCIL No. 17-04 PENSION MEMBERS No. 63-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 107-04 RE: ICI STATEMENT ON SOCIAL SECURITY REFORM The Institute today released...

[18354] December 20, 2004 TO: BOARD OF GOVERNORS No. 88-04 INDEPENDENT DIRECTORS COUNCIL No. 16-04 SEC RULES COMMITTEE No. 98-04 RE: PAUL SCHOTT STEVENS’ SPEECH AT THE EXCHEQUER CLUB ICI President Paul Stevens spoke at a December 15, 2004 meeting of the Exchequer Club in Washington...

[18318] December 16, 2004 TO: BOARD OF GOVERNORS No. 86-04 RE: INSTITUTE BECOMES MEMBER OF NEW YORK STOCK EXCHANGE’S INSTITUTIONAL TRADERS ADVISORY COMMITTEE The Institute has been added to the New York Stock Exchange’s Institutional Traders Advisory Committee (“ITAC”), which is a...

[18340] December 16, 2004 TO: BOARD OF GOVERNORS No. 87-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 34-04 COMPLIANCE ADVISORY COMMITTEE No. 120-04 SEC RULES MEMBERS No. 176-04 SMALL FUNDS MEMBERS No. 130-04 RE: MUTUAL FUND ADVISER AND AFFILIATED DISTRIBUTOR SETTLE SEC ENFORCEMENT ACTION...

[18331] December 14, 2004 TO: BOARD OF GOVERNORS No. 85-04 RE: REQUEST FOR NOMINEES TO THE BOARD OF GOVERNORS The FY 2005 Nominating Committee will be elected at the January meeting of the Board of Governors and will begin its deliberations immediately after the meeting. The primary...