[10503]
November 20, 1998
TO: ACCOUNTING/TREASURERS MEMBERS No. 40-98
BANK INVESTMENT MANAGEMENT MEMBERS No. 10-98
CLOSED-END INVESTMENT COMPANY MEMBERS No. 41-98
COMPLIANCE ADVISORY COMMITTEE No. 38-98
INVESTMENT ADVISER ASSOCIATE MEMBERS No. 36-98
INVESTMENT ADVISER MEMBERS No. 37-98
PRIMARY CONTACTS - MEMBER COMPLEX No. 111-98
SEC RULES MEMBERS No. 101-98
TRANSFER AGENT ADVISORY COMMITTEE No. 77-98
UNIT INVESTMENT TRUST MEMBERS No. 34-98
RE: FINAL PROGRAM FOR 1998 SECURITIES LAW PROCEDURES CONFERENCE
______________________________________________________________________________
The ICI Education Foundation will sponsor the 1998 Securities Law Procedures Conference on
December 7 and 8 at the Renaissance Washington DC Hotel, 999 Ninth Street, NW, Washington DC.
Enclosed is the final program brochure.
Paul Roye, Director of the Division of Investment Management of the U.S. Securities and
Exchange Commission will give the keynote address to begin the conference. Representatives from the
mutual fund industry, the U.S. Securities and Exchange Commission, NASD Regulation, Inc., and
outside counsel will comprise five panels that will focus their discussion on issues including Current
Rulemaking; Technology Issues; No-action Positions, Interpretations and Exemptive Applications;
Compliance Issues; and NASD Issues. Please refer to the enclosed brochure for further details.
If you have not yet registered for the conference, please return the registration form and the
appropriate fee to the Institute’s Conference Division as soon as possible. Conference registration
cancellations will be subject to a $250 administrative fee. To make your hotel reservations, please call
the Renaissance Washington DC Hotel at 202/898-9000. Please call soon to reserve your room.
Please call our Conference Division at 202/326-5968 if you have any questions regarding
registrations. We look forward to seeing you in December.
Liane Walker
Legal Projects Coordinator
Enclosure