September 26, 1989
TO: MEMBERS - ONE PER COMPLEX NO. 30-89
SEC RULES MEMBERS NO. 51-89
ACCOUNTING/TREASURERS COMMITTEE NO. 37-89
TRANSFER AGENT SHAREHOLDER ADVISORY COMMITTEE NO. 23-89
UNIT INVESTMENT TRUST MEMBERS NO. 47-89
CUSTODIAN ADVISORY COMMITTEE NO. 1-89
OPERATIONS MEMBERS NO. 28-89
INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 49-89
CLOSED-END FUND MEMBERS NO. 42-89
RE: 1989 SEC/ICI PROCEDURES CONFERENCE
__________________________________________________________
The Investment Company Institute will sponsor the 1989
SEC/ICI Procedures Conference on December 7-8, 1989, at the Grand
Hyatt Washington in Washington, DC.
As in past years, we will have panels with representatives
both from the industry and the SEC to discuss SEC disclosure
policy, no action positions and interpretations as well as rule
making and exemptive actions.
There are individual panels on closed-end funds, investment
advisers, unit investment trusts and insurance products. In
addition, there is a compliance panel led by SEC experts and a
panel on NASD issues, with NASD representatives.
Some of the specific topics which will be addressed include
the proposed revisions to the registration statement for closed-
end funds, unit investment trust advertising, exchange offers
under Rule 11a-3, investment adviser SRO proposal, newsletters
and Rule 12b-1 developments.
The enclosed program provides further details. A more
complete listing of topics to be discussed will be highlighted in
the final program which will be mailed at a later date.
To register for the conference, return the attached
registration form and appropriate fee to the Institute as early
as possible, but no later than November 22, 1989. Please make
your own hotel reservations at the Grand Hyatt Washington on the
attached hotel form or call the hotel directly at (202) 582-1234.
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The hotel is holding rooms for us until November 11, 1989. Also,
note the attached flyer describing the flight benefits made
available through Conference Air Services in Washington, DC. If
you have any questions regarding registration, please call Claire
Gurnee at (202) 955-3508.
We're looking forward to seeing you at the Procedures
Conference this year.
Amy B. Rosenblum
Assistant General Counsel
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