[11346]
October 27, 1999
TO: COMPLIANCE ADVISORY COMMITTEE No. 42-99
RE: DRAFT AGENDA FOR NOVEMBER 4th MEETING
______________________________________________________________________________
Attached is a draft agenda for the next meeting of the Compliance Advisory Committee,
scheduled for Thursday, November 4th at 10:00 a.m. in the David Silver Conference Room on the 12th
floor at the Institute. As previously indicated, Gene Gohlke of the SEC’s Office of Compliance
Inspections and Examinations will be joining us for an informal discussion of current issues at
approximately 11:30 a.m. Lunch will be served following this part of the meeting.
Many Committee members have expressed an interest in discussing the recent amendments to
Rule 17j-1. At the meeting, we would like to solicit the Committee’s assistance in identifying issues
raised by the amendments. In addition, we will discuss any other personal investing/codes of ethics
issues that members wish to raise. To allow adequate time, we plan to take up Rule 17j-1 and related
issues after lunch.
If you have not already done so, please fax your response to Cheryl DeShields at (202) 326-5827
or call (202) 326-5823 to let her know if you will attend the meeting.
Frances M. Stadler
Deputy Senior Counsel
Attachment