Board of Governors Content

[16816] November 25, 2003 TO: BOARD OF GOVERNORS No. 66-03 SUCCESSION PLANNING COMMITTEE RE: DECEMBER 12, 2003 MEETINGS OF THE BOARD OF GOVERNORS AND THE SUCCESSION PLANNING COMMITTEE At its November 20th meeting, the Executive Committee decided to call a special meeting of the Board...

[16786] November 21, 2003 TO: ACCOUNTING/TREASURERS MEMBERS No. 47-03 BOARD OF GOVERNORS No. 65-03 CLOSED-END INVESTMENT COMPANY MEMBERS No. 96-03 FEDERAL LEGISLATION MEMBERS No. 25-03 INVESTMENT COMPANY DIRECTORS No. 20-03 OPERATIONS MEMBERS No. 35-03 PENSION MEMBERS No. 48-03...

[16788] November 20, 2003 TO: BOARD OF GOVERNORS No. 63-03 CLOSED-END INVESTMENT COMPANY MEMBERS No. 94-03 FEDERAL LEGISLATION MEMBERS No. 24-03 INVESTMENT COMPANY DIRECTORS No. 19-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 102-03 PUBLIC INFORMATION COMMITTEE No. 40-03 SEC RULES MEMBERS...

[16797] November 20, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 101-03 BOARD OF GOVERNORS No. 64-03 SEC RULES MEMBERS No. 160-03 SMALL FUNDS COMMITTEE No. 30-03 RE: SEC AND NASD SETTLE PROCEEDINGS AGAINST A BROKER-DEALER RELATING TO PREFERENTIAL TREATMENT OF FUNDS AND SALES OF CLASS B...

[16776] November 18, 2003 TO: BOARD OF GOVERNORS No. 62-03 CEOS ACCOUNTING/TREASURERS COMMITTEE No. 36-03 BROKER/DEALER ADVISORY COMMITTEE No. 32-03 COMPLIANCE ADVISORY COMMITTEE No. 100-03 FEDERAL LEGISLATION MEMBERS No. 23-03 INVESTMENT COMPANY DIRECTORS No. 18-03 OPERATIONS...

[16771] November 17, 2003 TO: BOARD OF GOVERNORS No. 61-03 COMPLIANCE ADVISORY COMMITTEE No. 97-03 INVESTMENT COMPANY DIRECTORS No. 17-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 99-03 SEC RULES MEMBERS No. 156-03 SMALL FUNDS MEMBERS No. 66-03 RE: STRUCTURAL REFORMS TO PARTIALLY SETTLE...

[16751] November 10, 2003 TO: BOARD OF GOVERNORS No. 60-03 CLOSED-END INVESTMENT COMPANY MEMBERS No. 89-03 FEDERAL LEGISLATION MEMBERS No. 22-03 INVESTMENT COMPANY DIRECTORS No. 15-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 96-03 PUBLIC INFORMATION COMMITTEE No. 38-03 SEC RULES MEMBERS...

[16744] November 6, 2003 TO: BOARD OF GOVERNORS No. 59-03 CLOSED-END INVESTMENT COMPANY MEMBERS No. 88-03 DIRECTOR SERVICES COMMITTEE No. 21-03 FEDERAL LEGISLATION MEMBERS No. 21-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 95-03 PUBLIC INFORMATION COMMITTEE No. 37-03 SEC RULES MEMBERS No...

[16724] November 3, 2003 TO: BOARD OF GOVERNORS No. 58-03 RE: JANUARY 2004 BOARD OF GOVERNORS MEETING The Institute’s Board of Governors Winter meeting will be held January 26 – 27, 2004 at the Four Seasons Aviara in North San Diego, California. Historically the Winter meeting has...

[16713] October 30, 2003 TO: BOARD OF GOVERNORS No. 57-03 CEOS PRIMARY CONTACTS - MEMBER COMPLEX No. 92-03 INVESTMENT COMPANY DIRECTORS No. 14-03 RE: INSTITUTE RECOMMENDATIONS RE: LATE TRADING AND MARKET TIMING Since early September, mutual fund advisers and boards of directors have...