Board of Governors Content

[18327] December 14, 2004 TO: BOARD OF GOVERNORS No. 84-04 CEOS INDEPENDENT DIRECTORS COUNCIL No. 15-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 104-04 RESEARCH COMMITTEE No. 28-04 RE: CHIEF ECONOMIST I am writing to inform you that John Rea, Vice President and Chief Economist, will be...

[18322] December 10, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 33-04 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 46-04 COMPLIANCE ADVISORY COMMITTEE No. 118-04 EQUITY MARKETS ADVISORY COMMITTEE No. 51-04 INVESTMENT ADVISERS COMMITTEE No. 20-04 SEC RULES COMMITTEE No. 97-04 SMALL...

[18287] December 2, 2004 TO: BOARD OF GOVERNORS No. 82-04 CEOS BROKER/DEALER ADVISORY COMMITTEE No. 30-04 OPERATIONS COMMITTEE No. 22-04 SEC RULES COMMITTEE No. 95-04 SMALL FUNDS COMMITTEE No. 51-04 TRANSFER AGENT ADVISORY COMMITTEE No. 81-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 32...

[18275] November 30, 2004 TO: BOARD OF GOVERNORS No. 81-04 RE: CHANGE OF DATE FOR THE MAY 2005 BOARD MEETING TO FACILITATE NEW ANNUAL LEADERSHIP DINNER As I mentioned at the October Board meeting, events of the past year underscore the need for the mutual fund industry to have an...

[18248] November 24, 2004 TO: BOARD OF GOVERNORS No. 80-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 29-04 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 43-04 COMPLIANCE ADVISORY COMMITTEE No. 114-04 EQUITY MARKETS ADVISORY COMMITTEE No. 47-04 INDEPENDENT DIRECTORS COUNCIL No. 13-04...

[18254] November 24, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 44-04 SEC RULES COMMITTEE No. 93-04 SMALL FUNDS COMMITTEE No. 50-04 RE: SEC PROPOSES TO EXPAND ELIGIBLE INVESTMENTS BY BUSINESS DEVELOPMENT COMPANIES; COMMENTS REQUESTED BY DECEMBER 10TH The Securities and...

[18234] November 22, 2004 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 7-04 INVESTMENT ADVISERS COMMITTEE No. 19-04 PENSION COMMITTEE No. 57-04 SEC RULES COMMITTEE No. 91-04 RE: NASD ISSUES NOTICE TO MEMBERS RELATING TO USE OF INVESTMENT ANALYSIS TOOLS; EFFECTIVE DATE IS FEBRUARY...

[18223] November 22, 2004 TO: BOARD OF GOVERNORS No. 79-04 RE: JANUARY 2005 BOARD OF GOVERNORS MEETING Thank your for the prompt response to the recent survey about extending participation at the Winter Board of Governors meeting. A significant majority of Governors indicated that...

[18210] November 19, 2004 TO: BOARD OF GOVERNORS No. 78-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 28-04 COMPLIANCE ADVISORY COMMITTEE No. 113-04 SEC RULES MEMBERS No. 166-04 SMALL FUNDS MEMBERS No. 123-04 RE: FORMER EXECUTIVES OF FUND GROUP SETTLE SEC CHARGES RELATING TO MARKET TIMING...

[18195] November 18, 2004 TO: SEC RULES MEMBERS No. 164-04 EQUITY MARKETS ADVISORY COMMITTEE No. 46-04 CLOSED-END INVESTMENT COMPANY MEMBERS No. 74-04 BOARD OF GOVERNORS No. 76-04 COMPLIANCE ADVISORY COMMITTEE No. 111-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 26-04 INVESTMENT ADVISER...