Board of Governors Content

[18216] November 18, 2004 TO: BOARD OF GOVERNORS No. 77-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 27-04 COMPLIANCE ADVISORY COMMITTEE No. 112-04 SEC RULES MEMBERS No. 165-04 SMALL FUNDS MEMBERS No. 122-04 RE: FUND DISTRIBUTOR SETTLES CALIFORNIA ENFORCEMENT ACTION RELATING TO DIRECTED...

[18175] November 12, 2004 TO: BOARD OF GOVERNORS No. 74-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 23-04 COMPLIANCE ADVISORY COMMITTEE No. 108-04 SEC RULES MEMBERS No. 161-04 SMALL FUNDS MEMBERS No. 120-04 RE: SEC CHARGES FORMER EXECUTIVE OF FUND GROUP WITH FACILITATING MARKET TIMING...

[18167] November 12, 2004 TO: BOARD OF GOVERNORS No. 73-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 22-04 COMPLIANCE ADVISORY COMMITTEE No. 107-04 SEC RULES MEMBERS No. 160-04 SMALL FUNDS MEMBERS No. 119-04 RE: MUTUAL FUND INVESTMENT ADVISER SETTLES SEC AND NEW YORK ENFORCEMENT ACTIONS...

[18172] November 12, 2004 TO: BOARD OF GOVERNORS No. 75-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 24-04 COMPLIANCE ADVISORY COMMITTEE No. 109-04 SEC RULES MEMBERS No. 162-04 SMALL FUNDS MEMBERS No. 121-04 RE: SEC SETTLES WITH FORMER EXECUTIVE OF FUND GROUP CHARGED WITH FACILITATING...

[18185] November 11, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 21-04 COMPLIANCE ADVISORY COMMITTEE No. 106-04 SEC RULES COMMITTEE No. 88-04 SMALL FUNDS COMMITTEE No. 48-04 RE: NASD ADOPTS CCO DESIGNATION REQUIREMENT WITH A COMPLIANCE DATE OF DECEMBER 1, 2004; ANNUAL CEO...

[18174] November 10, 2004 TO: BOARD OF GOVERNORS No. 71-04 INDEPENDENT DIRECTORS COUNCIL No. 10-04 RE: ICI RESEARCH INDICATES GROWTH IN NUMBER OF U.S. HOUSEHOLDS OWNING MUTUAL FUNDS ICI recently published two major studies about mutual fund shareholders as part of its longstanding...

[18176] November 10, 2004 TO: BOARD OF GOVERNORS No. 72-04 INDEPENDENT DIRECTORS COUNCIL No. 11-04 RE: 2004 SURVEY OF SHAREHOLDER SENTIMENT REGARDING MUTUAL FUNDS The Investment Company Institute recently published results of an annual survey of shareholders’ views of the mutual fund...

[18178] November 9, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 42-04 SEC RULES COMMITTEE No. 86-04 RE: SEC STAFF PROVIDES GUIDANCE ON STAFF REVIEW OF SHAREHOLDER PROPOSALS The staff of the Securities and Exchange Commission’s Division of Corporation Finance recently issued a...

[18120] November 5, 2004 TO: BOARD OF GOVERNORS No. 70-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 18-04 CLOSED-END INVESTMENT COMPANY MEMBERS No. 71-04 COMPLIANCE ADVISORY COMMITTEE No. 103-04 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 11-04 INVESTMENT ADVISER MEMBERS No. 23-04 PRIMARY...

[18140] October 27, 2004 TO: BOARD OF GOVERNORS No. 69-04 RE: SCHEDULE FOR THE JANUARY BOARD MEETING Historically the Winter Board meeting has provided an opportunity for Governors to build personal relationships with one another and to engage in extended discussions of topics that...