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April 26, 1999
TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 9-99
BANK INVESTMENT MANAGEMENT MEMBERS No. 1-99
BROKER/DEALER ASSOCIATE MEMBERS No. 2-99
COMPLIANCE ADVISORY COMMITTEE No. 16-99
CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 4-99
CONTINUING EDUCATION/TRAINING MEMBERS No. 3-99
DIRECT MARKETING COMMITTEE No. 7-99
INVESTMENT ADVISER ASSOCIATE MEMBERS No. 9-99
PRIMARY CONTACTS - MEMBER COMPLEX No. 48-99
PUBLIC INFORMATION COMMITTEE No. 21-99
SALES FORCE MARKETING COMMITTEE No. 7-99
SEC RULES MEMBERS No. 29-99
SHAREHOLDER COMMUNICATIONS COMMITTEE No. 6-99
RE: UPDATED TRAINING/COMPLIANCE RESOURCE
______________________________________________________________________________
The Investment Company Institute has updated its popular training/compliance resource, Dos and Don’ts
For Registered Representatives Who Provide Mutual Fund Advice. Newly added to this guide are easy-to-remember
“Dos and Don’ts” for complying with the NASD’s rules for telemarketing, opening mutual fund
accounts at financial institutions, complying with the Securities Industry Continuing Education Program,
and using degrees and designations. The guide’s other key points for complying with SEC and NASD
rules and regulations also have been updated.
The Dos and Don’ts is a valuable reference guide for mutual fund sales, marketing and compliance
professionals, including registered principals, brokers, financial planners, registered investment advisers,
bank representatives, wholesalers, sales desk managers and registered telephone representatives.
Additional copies of the brochure are available for 75 cents each; 70 cents each for orders of 100-999
copies; and 65 cents each for orders of 1000+ copies. Please use the enclosed form to place your orders.
If you would like your firm’s name, address, and logo imprinted on the back of this brochure, please call
Margot Ziperman in the Institute’s Public Information Department at 202/326-5881.
If you have any questions about the enclosed brochure or any of the Institute’s other training and
compliance resources, please call the Institute’s Training Group at 202/326-5868.
Linda Brenner
Director, Operations and Training
Enclosures