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Commission Guidance Regarding the Duties and Responsibilities of Investment Company Boards of Directors with Respect to Investment Adviser Portfolio Trading Practices

[Release No. 34-58264; File No. S7-22-08]


Oct. 10, 2008 Jameson A. Baxter, Chairman of the Contract Committee of the Trustees of the Putnam Funds and Paul L. Joskow, Chair of the Brokerage Committee of the Trustees of the Putnam Funds
Oct. 7, 2008 Kurt N. Schacht, CFA, Executive Director, CFA Centre for Financial Market Integrity, CFA Institute and Jonathan J. Stokes, Director, Standards of Practice, CFA Centre for Financial Market Integrity, CFA Institute
Oct. 6, 2008 Jill D. Eng, on behalf of the Committee on Investment Management Regulation of the New York City Bar
Oct. 6, 2008 Kelly C. Abernathy, General Counsel, Chief Compliance Officer, Capital Institutional Services, Inc., Dallas, Texas
Oct. 1, 2008 Richard Leggett, Chairman, Investorside Research Association, New York, New York
Oct. 1, 2008 Monique S. Botkin, Senior Counsel, Investment Adviser Association
Oct. 1, 2008 Steven M. Joenk, Chair, Chief Executive Officer and President, AXA Premier VIP Trust
Oct. 1, 2008 Sanford Bragg, President & CEO, Integrity Research
Oct. 1, 2008 Lee A. Pickard and William D. Edick, Pickard and Djinis LLP, Counsel to the Alliance in Support of Independent Research
Oct. 1, 2008 David Oestreicher, Vice President and Chief Legal Counsel, T. Rowe Price Associates, Inc.
Oct. 1, 2008 Philip L. Kirstein, Chair, Committee on Investment Management Regulation of the New York City Bar
Oct. 1, 2008 David B. Smith, Jr., Executive Vice President and General Counsel, Mutual Fund Directors Forum
Oct. 1, 2008 Donald W. Glazer
Oct. 1, 2008 Karrie McMillan, General Counsel, Investment Company Institute
Oct. 1, 2008 Cynthia M. Clarke, General Counsel, Wellington Management Company, LLP
Oct. 1, 2008 Ira D. Hammerman, Senior Managing Director, General Counsel, Securities Industry and Financial Markets Association
Sep. 30, 2008 D. Bruce Johnsen, J.D., Ph.D. Professor of Law
Sep. 30, 2008 John D. Meserve, Executive Managing Director, BNY ConvergEx Group, LLC, New York, New York
Sep. 30, 2008 Robert W. Uek, Chair, IDC Governing Council
Sep. 29, 2008 William L. Armstrong, Chairman of the Board, Oppenheimer Funds, Denver, Colorado
Sep. 8, 2008 Wayne McAlpine, President & CEO, Commission Direct Inc.
Sep. 8, 2008 Jeffrey C. Keil, Principal, Keil Fiduciary Strategies LLC, Littleton, Colorado
Sep. 5, 2008 Bill George
Aug. 26, 2008 Robert M. Braun, CFA, Trumbull, Connecticut
Aug. 13, 2008 Bill George, Encino, California
Aug. 8, 2008 Bill George, Encino, California
Jul. 30, 2008 Bill George

 

 

 

 

 

http://www.sec.gov/comments/s7-22-08/s72208.shtml

Modified: 10/16/2014