Board of Governors Content

[11264] September 23, 1999 TO: BOARD OF GOVERNORS No. 59-99 INVESTMENT COMPANY DIRECTORS No. 10-99 PRIMARY CONTACTS - MEMBER COMPLEX No. 86-99 SEC RULES COMMITTEE No. 70-99 RE: 1999 INVESTMENT COMPANY DIRECTORS CONFERENCE - FINAL PROGRAM _______________________________________________...

1 NASD Notice to Members 99-81 (September 1999) ("Notice"). 2 NASD Notice to Members 97-50 (August 1997). The Institute recommended at that time that NASDR continue to regulate cash compensation paid to broker-dealer firms through written disclosure requirements. We suggested that...

[11219] September 2, 1999 TO: BOARD OF GOVERNORS No. 57-99 RE: PROPOSED MINUTES OF MAY AND JULY BOARD OF GOVERNORS MEETINGS ______________________________________________________________________________ Attached is a copy of the minutes of the May 7, 1999 and July 7, 1999 board...

[11205] August 25, 1999 TO: BOARD OF GOVERNORS No. 55-99 RE: OCTOBER BOARD MEETING ______________________________________________________________________________ The first meeting of the Board of Governors for Fiscal Year 2000 is scheduled for Friday, October 8, 1999 at 9:30 am in the...

1 Investment Company Act Release No. 23958 (August 20, 1999). 2 The amended rule clarifies that the board must approve the code of an investment adviser or principal underwriter only when the fund initially engages the investment adviser or principal underwriter and not upon each...

1 Krantz v. Prudential Investments Fund Management LLC , Civ. Action No. 98-3722 (S.D.N.J. July 30, 1999) (order granting motion to dismiss). 2 Krantz v. Prudential Investments Fund Management LLC , Civ. Action No. 98-3722 (S.D.N.J. June 10, 1999) (report and recommendation). [11199]...

[11193] August 17, 1999 TO: BOARD OF GOVERNORS No. 53-99 FEDERAL LEGISLATION MEMBERS No. 22-99 PRIMARY CONTACTS - MEMBER COMPLEX No. 78-99 PUBLIC INFORMATION COMMITTEE No. 36-99 RE: HOUSE COMMERCE COMMITTEE REPORTS ELECTRONIC SIGNATURES BILL ___________________________________________...

[11174] August 9, 1999 TO: BOARD OF GOVERNORS No. 52-99 INVESTMENT COMPANY DIRECTORS No. 9-99 PRIMARY CONTACTS - MEMBER COMPLEX No. 76-99 SEC RULES COMMITTEE No. 60-99 RE: 1999 INVESTMENT COMPANY DIRECTORS CONFERENCE - PRELIMINARY PROGRAM ______________________________________________...

[11171] August 9, 1999 TO: BOARD OF GOVERNORS No. 51-99 FEDERAL LEGISLATION MEMBERS No. 21-99 PRIMARY CONTACTS - MEMBER COMPLEX No. 75-99 PUBLIC INFORMATION COMMITTEE No. 34-99 RE: CONGRESS PASSES TAX CUT BILL ___________________________________________________________________________...

[11161] August 4, 1999 TO: PRIMARY CONTACTS - MEMBER COMPLEX No. 74-99 BOARD OF GOVERNORS No. 50-99 OPERATIONS COMMITTEE No. 30-99 SMALL FUNDS COMMITTEE No. 11-99 TRANSFER AGENT ADVISORY COMMITTEE No. 50-99 TECHNOLOGY TASK FORCE MUTUAL FUND YEAR 2000 PROJECT LEADERS RE: SECURITIES...