Board of Governors Content

[16162] June 5, 2003 TO: BOARD OF GOVERNORS No. 25-03 RE: NEW CHIEF GOVERNMENT AFFAIRS OFFICER I am pleased to announce that Daniel Crowley will be joining the Institute on June 16th as the new Chief Government Affairs Officer. Dan comes to the Institute from NASDAQ, where he headed...

[16133] May 30, 2003 TO: BOARD OF GOVERNORS No. 24-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 40-03 SEC RULES MEMBERS No. 66-03 RE: ICI 2003 GENERAL MEMBERSHIP MEETING SPEECHES SEC Division of Investment Management Director Paul F. Roye, Institute Chairman Paul G. Haaga, Jr., and...

[16101] May 21, 2003 TO: BOARD OF GOVERNORS No. 23-03 SEC RULES MEMBERS No. 61-03 EQUITY MARKETS ADVISORY COMMITTEE No. 8-03 RE: INSTITUTE LETTER TO SEC CHAIRMAN DONALDSON REGARDING DECIMALIZATION The Institute has sent a letter to SEC Chairman Donaldson (a copy of which is attached)...

[16053] May 15, 2003 TO: BOARD OF GOVERNORS No. 22-03 FEDERAL LEGISLATION MEMBERS No. 6-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 36-03 PUBLIC INFORMATION COMMITTEE No. 12-03 RE: HOUSE APPROVES PENSION LEGISLATION; INCLUDES INVESTMENT ADVICE PROVISIONS On May 14, the House of...

[15881] April 9, 2003 TO: BOARD OF GOVERNORS No. 20-03 DIRECTOR SERVICES COMMITTEE No. 6-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 30-03 SEC RULES MEMBERS No. 44-03 RE: FINK AND ROYE REMARKS AT 2003 MUTUAL FUNDS CONFERENCE Institute President Matthew P. Fink and Paul F. Roye, Director...

[15826] April 1, 2003 TO: BOARD OF GOVERNORS No. 17-03 CLOSED-END INVESTMENT COMPANY MEMBERS No. 30-03 SEC RULES MEMBERS No. 40-03 SMALL FUNDS MEMBERS No. 17-03 RE: OFFICE OF MANAGEMENT AND BUDGET APPROVES FORM N-PX On March 27, 2003, the Office of Management and Budget (OMB) approved...

[15809] March 27, 2003 TO: BOARD OF GOVERNORS No. 16-03 DIRECTOR SERVICES COMMITTEE No. 4-03 FEDERAL LEGISLATION MEMBERS No. 5-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 29-03 PUBLIC INFORMATION COMMITTEE No. 8-03 SEC RULES MEMBERS No. 37-03 RE: CONGRESSIONAL REQUESTS FOR FOLLOW-UP...

[15798] March 26, 2003 TO: BOARD OF GOVERNORS No. 15-03 FEDERAL LEGISLATION MEMBERS No. 4-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 28-03 PUBLIC INFORMATION COMMITTEE No. 7-03 RE: HOUSE APPROVES BANKRUPTCY LEGISLATION CONTAINING IRA PROVISION On March 19, the House of Representatives...

[15791] March 21, 2003 TO: BOARD OF GOVERNORS No. 14-03 RE: MAY BOARD OF GOVERNORS MEETING The next meeting of the Board of Governors is scheduled for 9:30 AM on Friday, May 9, 2003. As we have discussed, the Institute’s Executive Issues Conference will precede the meeting. To assist...

[15751] March 13, 2003 TO: BOARD OF GOVERNORS No. 12-03 BROKER/DEALER ADVISORY COMMITTEE No. 11-03 COMPLIANCE ADVISORY COMMITTEE No. 21-03 SEC RULES MEMBERS No. 31-03 TRANSFER AGENT ADVISORY COMMITTEE No. 29-03 RE: JOINT SEC, NASD AND NYSE REPORT ON EXAMINATIONS OF BROKER-DEALERS...