[13433]
April 23, 2001
TO: BROKER/DEALER ASSOCIATE MEMBERS No. 4-01
COMPLIANCE ADVISORY COMMITTEE No. 19-01
CONTINUING EDUCATION AND TRAINING MEMBERS No. 4-01
HUMAN RESOURCES MEMBERS No. 3-01
INVESTMENT ADVISER ASSOCIATE MEMBERS No. 4-01
PRIMARY CONTACTS - MEMBER COMPLEX No. 29-01
SEC RULES MEMBERS No. 34-01
RE: SEC FILINGS WORKSHOP VIDEOTAPES
The Investment Company Institute is pleased to announce that its 2001 SEC Filings
Workshop is now available on videotape. This workshop, which was targeted at mutual fund
legal and compliance professionals, addressed the impact new SEC rules (e.g., those concerning
fund governance, after-tax disclosure and fund names) will have on various SEC filings. In
addition, the workshop covered the disclosure requirements for Form N-1A and the procedures
with respect to filing registration statements, post-effective amendments, proxy statements, 24f-
2 notices and other routine filings. More information about the workshop topics and speakers is
included on the enclosed flyer.
One set of speaker handouts (large binder) will accompany all orders for the SEC Filings
Workshop videotape set (there are three videotapes per set, providing approximately 5½ hours
of training). The cost of the videotape set and binder is $500.
Please use the attached form to place your order for this cost-effective continuing
education resource. If you have any questions about the Institute’s continuing education
resources, please contact me at 202/326-5883 (email: brenner@ici.org) or visit our member-only
website at http://members.ici.org/training.
Linda Brenner
Director - Operations & Training
Enclosure