[10236]
August 28, 1998
TO: BANK AND TRUST ADVISORY COMMITTEE No. 12-98
OPERATIONS COMMITTEE No. 36-98
TRANSFER AGENT ADVISORY COMMITTEE No. 52-98
RE: BROKER/DEALER ADVISORY COMMITTEE MEETING -- NOVEMBER 4
______________________________________________________________________________
The next meeting of the Broker Dealer Advisory Committee will be held on November 4
at the Sheraton Chicago Hotel and Towers. This has been designated as an "open" meeting.
Therefore, we are inviting organizations who are not represented on the committee to attend
and receive an update on committee activities. Attendance is limited to one representative
per firm.
The meeting will be held from 1 - 5 pm; a buffet luncheon will be served at 12:30 pm.
Business casual attire. The Institute will be hosting the annual Operations Conference at the
Sheraton from November 1-4 and accommodations are available to conference and meeting
attendees at a rate of $199 single/double. You may call the Sheraton Chicago at 1-800-233-4100
and identify yourself as an Investment Company Institute Conference attendee to secure the
conference room rate. Please be sure to call no later than September 30 to make your room
reservations.
A list of firms represented on the Broker Dealer Advisory Committee is attached. If
your firm is not represented on the committee and you would like to attend, please fax back the
attached response form with the appropriate information to Beatrice Williar at fax number
202/326-5853 by September 30.
Please contact Justine Phoenix at 202/326-5850 (justine@ici.org) if you have any
questions regarding the Broker Dealer Advisory Committee.
Mark Harris Justine Phoenix
Van Kampen Investor Services, Inc. Director - Operations/
Chairman - Broker Dealer Advisory Committee Distribution & Service
REPRESENTATION ON
INVESTMENT COMPANY INSTITUTE
BROKER DEALER ADVISORY COMMITTEE
AIM Fund Services
Alliance Fund Distributors
American Funds Service Company
Colonial
Dean Witter
Depository Trust Company
A. G. Edwards
Federated Investors
Franklin Templeton
Gruntal and Company
Hilliard-Lyons
Edward D. Jones
Kemper Service Company
Lord, Abbett
Merrill Lynch Financial Data Services, Inc.
MFS Service Center, Inc.
National Financial Services
National Securities Clearing Corporation
Oppenheimer Shareholder Services
Paine Webber
Pioneering Services
Piper Jaffray
Putnam Investments
Raymond James & Associates
Salomon Smith Barney
Van Kampen Investor Services
Pershing
Vendor Advisory Group
ADP
DST
First Data Investor Services
SIS
SunGard
PLEASE FAX TO BEATRICE WILLIAR AT 202/326-5853
BY SEPTEMBER 30
INVESTMENT COMPANY INSTITUTE
BROKER DEALER ADVISORY COMMITTEE MEETING
NOVEMBER 4, 1998
SHERATON CHICAGO HOTEL AND TOWERS
MEETING RESPONSE FORM
_ YES, I WOULD LIKE TO ATTEND THE MEETING
In addition to your name and company, please indicate your address so that we may
send you a meeting agenda and meeting room location two weeks prior to the meeting.
NAME:
FIRM:
ADDRESS:
TELEPHONE: