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January 21, 2000
TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 2-00
BROKER/DEALER ASSOCIATE MEMBERS No. 2-00
COMPLIANCE ADVISORY COMMITTEE No. 4-00
CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 2-00
CONTINUING EDUCATION/TRAINING MEMBERS No. 2-00
DIRECT MARKETING COMMITTEE No. 4-00
HUMAN RESOURCES FORUM No. 2-00
PRIMARY CONTACTS - MEMBER COMPLEX No. 5-00
PUBLIC INFORMATION COMMITTEE No. 4-00
RESEARCH COMMITTEE No. 4-00
SALES FORCE MARKETING COMMITTEE No. 4-00
SEC RULES COMMITTEE No. 13-00
SHAREHOLDER COMMUNICATIONS COMMITTEE No. 3-00
RE: CORRECTED NOTICE: ADVERTISING COMPLIANCE SEMINARS
_____________________________________________________________________________
As we previously informed you, the Investment Company Institute will hold one-day seminars on the
basics of mutual fund advertising and sales literature regulation and electronic distribution in three cities
this year. Please disregard the previous memo—it contained outdated pricing information.
Seminar speakers will include Thomas Pappas, Director, Advertising and Investment Companies
Regulation, National Association of Securities Dealers Regulation, Inc.; Steve Miyao, Senior Vice
President of kasina, LLC, a management consulting firm that provides e-business strategy consulting
services and products to financial services firms; as well as industry executives. The seminars are
designed for mutual fund company employees involved with marketing, communications, electronic
distribution and compliance.
Registration for these seminars will be limited to employees of Institute member organizations and their
advertising/design/public relations agencies. Agency personnel will be required to produce a letter from
the ICI member with which they have a business relationship. Please register early, as space will be
limited. Also, please keep in mind that it may not be possible to accommodate walk-in registrations.
Preliminary agendas for each of the sessions are attached. The Investment Company Institute reserves
the right to alter the agendas as needed.
The seminars will begin at 9:30 am and end at approximately 4:15 pm. Lunch will be served. Business
attire is appropriate for the seminars.
Dates and Locations:
New York, NY Tuesday, April 4 The Roosevelt Hotel
Madison Avenue at 45th Street
New York, NY 10017
212/661-9600
Room Rates: $205.00 single/double Reserve by: March 13, 2000
San Francisco, CA Thursday, April 13 The Radisson Miyako Hotel
1625 Post Street
San Francisco, CA 94115
415/922-3200
Room Rates: $169.00 single/double Reserve by: March 15, 2000
Boston, MA Friday, June 2 The Colonnade Boston
120 Huntington Avenue
Boston, MA 02116
617/424-7000
Room Rates: $195 single/double Reserve by: May 9, 2000
Please make your own hotel reservations by calling the hotel directly. To receive the special room rate
that has been arranged at the hotel you must mention the Investment Company Institute when making
your reservation. Also, you must reserve your hotel room by the date indicated to obtain the rate.
How to Register:
To register, complete the attached registration form and return it, along with a check made payable to
the Investment Company Institute for $275 per registrant (non-members should submit a check of $375
per registrant). Participation in each program is limited, so please register as soon as possible. Please note
that cancellations received within ten (10) business days of the seminar will incur a $100 administrative
fee. Cancellations must be received in writing. We regret that no refund can be made after the program.
Every effort will be made to hold these seminars on the dates and in the cities listed. However, due to
unforeseeable circumstances, it may be necessary to cancel or reschedule some of the meetings. Should
it become necessary to cancel one or more of the seminars, the Institute assumes no liability for non-
refundable transportation costs, hotel accommodations or additional costs incurred by registrants.
More Information:
For more registration or logistical information, please contact the Conference Division at 202/326-5968.
For additional information on the program, please contact me at 202/326-5883.
Linda Brenner
Director, Operations and Training
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