Board of Governors Content

[16903] December 22, 2003 TO: BOARD OF GOVERNORS No. 77-03 COMPLIANCE ADVISORY COMMITTEE No. 114-03 INVESTMENT COMPANY DIRECTORS No. 29-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 117-03 SEC RULES MEMBERS No. 196-03 SMALL FUNDS MEMBERS No. 92-03 RE: MUTUAL FUND INVESTMENT ADVISER SETTLES...

[16889] December 17, 2003 TO: ACCOUNTING/TREASURERS MEMBERS No. 60-03 BOARD OF GOVERNORS No. 76-03 CEOS CLOSED-END INVESTMENT COMPANY MEMBERS No. 113-03 FEDERAL LEGISLATION MEMBERS No. 33-03 INVESTMENT ADVISER MEMBERS No. 43-03 INVESTMENT COMPANY DIRECTORS No. 27-03 OPERATIONS MEMBERS...

[16867] December 16, 2003 TO: BOARD OF GOVERNORS No. 75-03 FEDERAL LEGISLATION MEMBERS No. 32-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 112-03 PUBLIC INFORMATION COMMITTEE No. 49-03 RE: LEGISLATION TO ASSURE FUND SHAREHOLDERS BENEFIT FROM TAX LAW Just before Congress adjourned for the...

[16876] December 15, 2003 TO: ACCOUNTING/TREASURERS MEMBERS No. 57-03BOARD OF GOVERNORS No. 74-03CEOS CLOSED-END INVESTMENT COMPANY MEMBERS No. 109-03FEDERAL LEGISLATION MEMBERS No. 31-03INVESTMENT COMPANY DIRECTORS No. 24-03OPERATIONS MEMBERS No. 43-03PENSION MEMBERS No. 55-03PRIMARY...

[16869] December 11, 2003 TO: ACCOUNTING/TREASURERS MEMBERS No. 55-03 BOARD OF GOVERNORS No. 73-03 CLOSED-END INVESTMENT COMPANY MEMBERS No. 107-03 FEDERAL LEGISLATION MEMBERS No. 30-03 INVESTMENT COMPANY DIRECTORS No. 23-03 OPERATIONS MEMBERS No. 41-03 PENSION MEMBERS No. 52-03...

[16854] December 9, 2003 TO: BOARD OF GOVERNORS No. 70-03 RE: ADDITIONAL POLICY MATTERS FOR BOARD CONSIDERATION In addition to the Board’s consideration of the ICI’s policy on soft dollars and brokerage for sales, there are three additional matters that the ICI staff believes the...

[16858] December 9, 2003 TO: ACCOUNTING/TREASURERS MEMBERS No. 51-03 BOARD OF GOVERNORS No. 71-03 CLOSED-END INVESTMENT COMPANY MEMBERS No. 105-03 FEDERAL LEGISLATION MEMBERS No. 28-03 OPERATIONS MEMBERS No. 38-03 PENSION MEMBERS No. 50-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 108-03...

[16849] December 8, 2003 TO: BOARD OF GOVERNORS No. 69-03 COMPLIANCE ADVISORY COMMITTEE No. 106-03 SEC RULES MEMBERS No. 177-03 SMALL FUNDS MEMBERS No. 77-03 RE: SEC FILES CIVIL ACTION AGAINST REGISTERED ADVISER AND ITS AFFILIATES AND PRINCIPALS ALLEGING MARKET TIMING AND LATE TRADING...

[16837] December 3, 2003 TO: ACCOUNTING/TREASURERS MEMBERS No. 50-03 BOARD OF GOVERNORS No. 68-03 CLOSED-END INVESTMENT COMPANY MEMBERS No. 101-03 FEDERAL LEGISLATION MEMBERS No. 27-03 INVESTMENT COMPANY DIRECTORS No. 21-03 OPERATIONS MEMBERS No. 37-03 PENSION MEMBERS No. 49-03...

[16812] November 26, 2003 TO: BOARD OF GOVERNORS No. 67-03 FEDERAL LEGISLATION MEMBERS No. 26-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 105-03 PRIVACY ISSUES WORKING GROUP No. 9-03 PUBLIC INFORMATION COMMITTEE No. 42-03 RE: CONGRESS APPROVES LEGISLATION TO MAKE NATIONAL STANDARD FOR...