Board of Governors Content

[18054] September 30, 2004 TO: BOARD OF GOVERNORS No. 61-04 CEOS INVESTMENT COMPANY DIRECTORS No. 45-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 88-04 SEC RULES MEMBERS No. 143-04 SMALL FUNDS MEMBERS No. 107-04 PUBLIC COMMUNICATIONS COMMITTEE No. 23-04 RE: INSTITUTE PRESIDENT ADDRESSES...

[18040] September 28, 2004 TO: BOARD OF GOVERNORS No. 60-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-04 COMPLIANCE ADVISORY COMMITTEE No. 93-04 INVESTMENT ADVISER MEMBERS No. 20-04 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 10-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 86-04 SEC RULES...

[17993] September 20, 2004 TO: BOARD OF GOVERNORS No. 57-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 6-04 COMPLIANCE ADVISORY COMMITTEE No. 89-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 82-04 SEC RULES MEMBERS No. 135-04 SMALL FUNDS MEMBERS No. 101-04 RE: SEC SETTLES WITH FORMER EMPLOYEES...

[18009] September 20, 2004 TO: BOARD OF GOVERNORS No. 59-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 8-04 COMPLIANCE ADVISORY COMMITTEE No. 91-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 84-04 SEC RULES MEMBERS No. 137-04 SMALL FUNDS MEMBERS No. 103-04 RE: TWO MUTUAL FUND INVESTMENT...

[18011] September 20, 2004 TO: BOARD OF GOVERNORS No. 58-04 BROKER/DEALER ADVISORY COMMITTEE No. 26-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-04 COMPLIANCE ADVISORY COMMITTEE No. 90-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 83-04 SEC RULES MEMBERS No. 136-04 SMALL FUNDS MEMBERS No...

[17930] August 31, 2004 TO: BOARD OF GOVERNORS No. 55-04 BROKER/DEALER ADVISORY COMMITTEE No. 25-04 BROKER/DEALER ASSOCIATE MEMBERS No. 4-04 COMPLIANCE ADVISORY COMMITTEE No. 84-04 PRIMARY CONTACTS - BROKER DEALER ASSOCIATE MEMBERS PRIMARY CONTACTS - MEMBER COMPLEX No. 79-04 SEC RULES...

[17931] August 31, 2004 TO: BOARD OF GOVERNORS No. 56-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 3-04 COMPLIANCE ADVISORY COMMITTEE No. 85-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 80-04 SEC RULES MEMBERS No. 122-04 SMALL FUNDS MEMBERS No. 94-04 RE: MUTUAL FUND INVESTMENT ADVISER...

[17933] August 30, 2004 TO: BOARD OF GOVERNORS No. 54-04 RE: OCTOBER BOARD MEETING The first meeting of the Board of Governors for Fiscal Year 2005 is scheduled for Friday, October 8, 2004 at 9:30 am. The meeting is expected to end no later than 2:00 pm. Additionally, at the...

[17892] August 17, 2004 TO: BOARD OF GOVERNORS No. 53-04 COMPLIANCE ADVISORY COMMITTEE No. 81-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 78-04 SEC RULES MEMBERS No. 116-04 SMALL FUNDS MEMBERS No. 89-04 VARIABLE INSURANCE PRODUCTS ADVISORY COMMITTEE No. 6-04 RE: SEC AND NEW YORK REACH...

[17857] August 5, 2004 TO: BOARD OF GOVERNORS No. 52-04 COMPLIANCE ADVISORY COMMITTEE No. 77-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 76-04 SEC RULES MEMBERS No. 109-04 SMALL FUNDS MEMBERS No. 83-04 RE: MUTUAL FUND INVESTMENT ADVISER SETTLES SEC ENFORCEMENT ACTION RELATING TO MARKET...