Board of Governors Content

* A bundled services arrangement is a comprehensive package of administrative, custodial and investment services offered by affiliated mutual funds entities or unaffiliated entities, such as a mutual fund company and an unaffiliated bank, to the defined contribution plan market. May...

* See Memorandum to SEC Rules Members No. 37-97 and Closed-End Investment Company Members No. 15-97, dated May 16, 1997. May 27, 1997 TO: BOARD OF GOVERNORS No. 34-97 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 21-97 SEC RULES COMMITTEE No. 54-97 RE: INSTITUTE AMICUS CURIAE MEMORANDUM...

May 21, 1997 TO: BOARD OF GOVERNORS No. 33-97 RE: January Board Meeting Dates __________________________________________________________ Arrival at the January Board of Governors meeting generally has begun on the last Sunday in January. This scheduling has meant that the Board of...

May 20, 1997 TO: BOARD OF GOVERNORS No. 32-97 RE: SEC RESPONSE TO CONGRESSMAN MARKEY ______________________________________________________________________________ As reported at the May 7 Board of Governors Meeting, Congressman Edward Markey transmitted a series of questions to SEC...

1 See Memorandum to Board of Governors No. 3-97, Federal Legislation Committee No. 1-97, and Public Information Committee No. 2-97, dated January 13, 1997. 2 See Memorandum to Board of Governors No. 6-97, Federal Legislation Members No. 3-97, and Public Information Committee No. 4-97...

May 13, 1997 TO: BOARD OF GOVERNORS No. 30-97 INVESTMENT COMPANY DIRECTORS No. 3-97 PRIMARY CONTACTS - MEMBER COMPLEX No. 28-97 SEC RULES COMMITTEE No. 51-97 RE: 1997 REGIONAL FORUMS FOR INVESTMENT COMPANY DIRECTORS _____________________________________________________________________...

April 28, 1997 TO: BOARD OF GOVERNORS No. 29-97 INVESTMENT ADVISER MEMBERS No. 14-97 SEC RULES COMMITTEE No. 43-97 STATE SECURITIES MEMBERS No. 4-97 UNIT INVESTMENT TRUST COMMITTEE No. 23-97 RE: INSTITUTE COMMENT LETTER ON 1997 CONFERENCE ON FEDERAL-STATE SECURITIES REGULATION _______...

April 11, 1997 TO: BOARD OF GOVERNORS No. 28-97 INVESTMENT COMPANY DIRECTORS No. 2-97 PRIMARY CONTACTS - MEMBER COMPLEX No. 23-97 RE: 1997 REGIONAL FORUMS FOR INVESTMENT COMPANY DIRECTORS ______________________________________________________________________________ As previously...

April 10, 1997 TO: BOARD OF GOVERNORS No. 25-97 BROKER/DEALER ASSOCIATE MEMBERS No. 5-97 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 12-97 PRIMARY CONTACTS - MEMBER COMPLEX No. 21-97 UNIT INVESTMENT TRUST COMMITTEE No. 20-97 RE: 1997 Membership Directory & Guide _________________________...

April 10, 1997 TO: BOARD OF GOVERNORS No. 26-97 FEDERAL LEGISLATION MEMBERS No. 6-97 PUBLIC INFORMATION COMMITTEE No. 11-97 RE: INSTITUTE TESTIFIES ON IRA EXPANSION AND AVERAGE COST BASIS PROVISIONS IN PRESIDENT’S BUDGET ________________________________________________________________...