Board of Governors Content

[9810] April 1, 1998 TO: BOARD OF GOVERNORS No. 18-98 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 7-98 INVESTMENT ADVISER MEMBERS No. 9-98 PRIMARY CONTACTS - MEMBER COMPLEX No. 22-98 SEC RULES MEMBERS No. 24-98 RE: INSTITUTE PAPER ON BROKERAGE ALLOCATION PRACTICES _______________________...

[9799] March 26, 1998 TO: BOARD OF GOVERNORS No. 17-98 RE: Update on ______________________________________________________________________________ As we previously informed you (see Institute Memorandum to Board of Governors 8-98, February 18, 1998), the SEC, NASAA, and the...

[9783] March 20, 1998 TO: BOARD OF GOVERNORS No. 16-98 FEDERAL LEGISLATION MEMBERS No. 4-98 PRIMARY CONTACTS - MEMBER COMPLEX No. 19-98 PUBLIC INFORMATION COMMITTEE No. 10-98 RE: INSTITUTE STATEMENT SUPPORTS FULL SEC FUNDING FOR FISCAL-YEAR 1999 _______________________________________...

1 See Memorandum to Board of Governors No. 5-98, Federal Legislation Members No. 2-98, Primary Contacts- Member Complex No. 4-98, Public Information Committee No. 2-98, dated February 9, 1998. [9782] March 20, 1998 TO: BOARD OF GOVERNORS No. 15-98 FEDERAL LEGISLATION MEMBERS No. 3-98...

[9761] March 17, 1998 TO: BOARD OF GOVERNORS No. 13-98 RE: Notice of Meeting - May 6, 1998 ______________________________________________________________________________ The next regular meeting of the Board of Governors is scheduled for 9:30 am on Wednesday, May 6, 1998 at the...

[9763] March 17, 1998 TO: BOARD OF GOVERNORS No. 14-98 RE: Board of Governors Meetings for FY 1999 ______________________________________________________________________________ Attached please find the schedule for Board of Governors meetings for FY 1999. Please contact Larry Maffia...

1 The 30% test required an investment company seeking to qualify for tax purposes as a regulated investment company to receive less than 30% of its gross income from the sale of securities and other specified assets held for less than three months. [9757] March 16, 1998 TO: BOARD OF...

[9752] March 11, 1998 TO: BOARD OF GOVERNORS No. 11-98 INDUSTRY STATISTICS COMMITTEE No. 5-98 PUBLIC INFORMATION COMMITTEE No. 8-98 RESEARCH COMMITTEE No. 10-98 RE: LETTER TO EDITOR OF BARRON'S ______________________________________________________________________________ The attached...

[9704] March 10, 1998 TO: BOARD OF GOVERNORS No. 10-98 RE: FUTURE ROLE OF THE INSTITUTE DISCUSSION AT NEVIS BOARD MEETING ______________________________________________________________________________ Enclosed for your information is a summary of the Board's discussion of future...