October 5, 1989
TO: SMALL FUNDS MEMBERS NO. 8-89
RE: SMALL FUNDS CONFERENCE - REMINDER
NOVEMBER 15-17, 1989
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We wish to remind you that the Institute's annual Small
Funds Conference is scheduled for November 15-17, 1989 at the
Hotel del Coronado, 1500 Orange Avenue, Coronado, California
92118.
For those of you who have never attended this meeting, the
discussion sessions involve a free exchange of ideas and
information between participants. The members who have attended
tell us these sessions have been most valuable and provide
important contacts for follow-up information. The Institute
staff presents a thorough overview of its activities covering
virtually all its departments. Thus, this conference provides an
opportunity to be brought up to date on many important Institute
matters affecting the industry as well as matters which may
affect your particular fund group.
As you can see from the preliminary agenda of topics, we
are planning a most interesting meeting. Moreover, as in
previous years, suggestions for discussion agenda items are
warmly invited and a separate sheet is attached to the
registration form for your comments. Please complete it now
along with your registration form.
Preliminary Agenda
1. Proposed Tax Legislation
A. Use of ex-dividend date for RIC income recognition
purposes
B. Increase in ordinary income minimum distribution rate
from 97% to 98%
C. Denial of loss as a result of payment of sales loads
for exchanges within 30 days
D. Indexation of capital assets
1. fund level
2. shareholder level
3. equity not debt
4. individuals not corporations
E. Deductibility of mutual fund expenses -- 67(c)
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2. Proposed legislation to authorize self regulatory
organizations for investment advisers
3. Possible IRA legislation
4. SEC Matters
A. 12b-1/NASD regulation
B. Newsletters - proposal for SEC interpretation
C. SEC proposal requiring identification of portfolio
managers
D. SEC suggestion for management and discussion analysis
for mutual funds
E. Final SEC order in TIAA-CREF proceeding
F. Possible revision of Rule 2a-7 for money market funds
5. ICI Mutual Insurance Company
6. Operations Matters
A. EDGAR developments
B. Check aging surveys
C. Updated Transfer Agent Survey
D. FundSERV/Networking automated settlement system
E. Quality of Service project
7. "FUNDS" communications and information enhancements
8. Marketing Matters
A. Institute "Channels of Distribution" Research
B. Institute Market Penetration Research
C. New Institute brochures and booklets
If you have any questions or wish to discuss the Conference
in more detail, please do not hesitate to call me at 800/523-
0864.
The meeting will begin on Thursday morning, November 16 and
will continue through lunch on Friday, November 17. The
Conference fee for members is $65.00. In addition, there is a
$35.00 luncheon/dinner fee for spouses or guests. Please
complete the attached green registration form and return it along
with the registration fee to Rita Pemberton at the Institute by
Friday, October 27, 1989.
The Institute has reserved a block of rooms at varying
rates depending upon the accommodations you select (see attached
hotel Room Reservation Request) for the nights of November 15 and
16 (the Hotel del Coronado has also agreed to accept reservations
three days prior to and three days after the dates of November 15
and 16). You must make your hotel reservations by completing and
-3-
returning the attached hotel Room Reservation Request along with
the appropriate deposit (one night's room rate) directly to the
Hotel del Coronado. Please note that hotel reservations must be
received by them no later than October 15, 1989 and they must be
in writing and accompanied by a deposit.
I look forward to seeing you in November.
John Cannon
Chairman
Attachments
SMALL FUNDS CONFERENCE
CONFERENCE REGISTRATION FORM
(Room Reservation Request must be sent directly to the Hotel.)
Hotel del Coronado
Coronado, California
November 15-17, 1989
PLEASE TYPE OR PRINT
________________________________ _____________________
NAME (Conference Registrant) TITLE
_____________________________________________________________
FIRM
_____________________________________________________________
ADDRESS
___________________________________________________________
CITY STATE ZIP CODE
TELEPHONE NO: (____) ________________
REGISTRATION FEE:
_____ $65.00 for each Conference Registrant
_____ $35.00 for each spouse or guest
Name of Spouse or Guest: ____________________
TOTAL FEES: $ _________ (check enclosed)
Please return this completed green registration form by Friday,
October 27, 1989 to:
Rita Pemberton
Investment Company Institute
1600 M Street, N.W. - Suite 600
Washington, D.C. 20036
NOTE: Send the Room Reservation Request directly to the Hotel
del Coronado by October 15, 1989.
SMALL FUNDS CONFERENCE
Hotel del Coronado
Coronado, California
November 15-17, 1989
AGENDA ITEMS SHEET
SUGGESTIONS FOR AGENDA:
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RETURN TO: Rita Pemberton
Investment Company Institute
1600 M Street, N.W. - 6th Floor
Washington, D.C. 20036