Board of Governors Content

[9268] September 29, 1997 TO: BOARD OF GOVERNORS No. 55-97 RE: Update Regarding October Board Meeting ______________________________________________________________________________ Representative Steny Hoyer, (D-MD), Co-Chair of the House Democratic Steering Committee and a key...

[9161] September 24, 1997 TO: BOARD OF GOVERNORS No. 54-97 PRIMARY CONTACTS - MEMBER COMPLEX No. 61-97 RE: INSTITUTE MAILING LIST FOR INVESTMENT COMPANY DIRECTORS ______________________________________________________________________________ In November 1994, the Institute asked each...

1 The ICI submitted initial comments in opposition to the use of such ratings in February, responding to NASDR
s request for comment on the use of bond fund risk ratings in supplemental sales literature. See Memorandum to Board of Governors No. 10-97, Advertising Subcommittee No. 9-97...

[9219] September 5, 1997 TO: BOARD OF GOVERNORS No. 52-97 INVESTMENT COMPANY DIRECTORS No. 6-97 PRIMARY CONTACTS - MEMBER COMPLEX No. 58-97 SEC RULES COMMITTEE No. 84-97 RE: 1997 INVESTMENT COMPANY DIRECTORS CONFERENCE __________________________________________________________________...

[9140] August 26, 1997 TO: BOARD OF GOVERNORS No. 51-97 RE: October Board Meeting ______________________________________________________________________________ The first meeting of the Board of Governors for Fiscal Year 1998 is scheduled for Thursday, October 9, 1997 at 9:30 am in...

1 Strougo v. Padegs, 964 F. Supp. 783 (S.D.N.Y. 1997). See Memorandum to SEC Rules Members No. 37-97 and Closed- End Investment Company Members No. 15-97, dated May 16, 1997. 2 See Memorandum to Board of Governors No. 34-97, Closed-End Investment Company Committee No. 21-97 and SEC...

[9178] August 18, 1997 TO: BOARD OF GOVERNORS No. 49-97 RE: PROPOSED MINUTES OF MAY 1997 BOARD OF GOVERNORS MEETING ______________________________________________________________________________ Attached hereto is a copy of the minutes of the May 7, 1997 board meeting which are...

* NASD Notice to Members 97-50 (August 1997). [9172] August 15, 1997 TO: BOARD OF GOVERNORS No. 48-97 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 29-97 UNIT INVESTMENT TRUST COMMITTEE No. 52-97 RE: NASDR REQUESTS COMMENT ON CASH COMPENSATION ___________________________________________...

August 1, 1997 TO: BOARD OF GOVERNORS No. 47-97 FEDERAL LEGISLATION MEMBERS No. 12-97 PRIMARY CONTACTS - MEMBER COMPLEX No. 49-97 PUBLIC INFORMATION COMMITTEE No. 23-97 RE: CONGRESS SENDS PRESIDENT TAX BILL REPEALING 30-PERCENT LIMIT AND EXPANDING IRAs ________________________________...

July 31, 1997 TO: BOARD OF GOVERNORS No. 46-97 SEC RULES MEMBERS No. 55-97 RE: CHAIRMAN LEVITT REMARKS AT AMERICAN SAVINGS EDUCATION COUNSEL ______________________________________________________________________________ Arthur Levitt, Chairman of the U.S. Securities and Exchange...