[18625]
March 4, 2005
TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-05
COMPLIANCE ADVISORY COMMITTEE No. 20-05
CHIEF COMPLIANCE OFFICER COMMITTEE No. 22-05
EQUITY MARKETS ADVISORY COMMITTEE No. 16-05
SEC RULES COMMITTEE No. 19-05
SMALL FUNDS COMMITTEE No. 6-05
RE: SEC AND NASD PHILADELPHIA OFFICES ANNOUNCE SECURITIES
CONFERENCE
Ari Gabinet, District Administrator of the Securities and Exchange Commission’s
Philadelphia District Office, has requested that we bring to your attention an upcoming
conference sponsored by the Philadelphia offices of the SEC and NASD (the conference
announcement is attached). The conference will provide attendees with an opportunity for an
open dialogue with the securities regulators on a wide variety of issues. Speakers will include
SEC Commissioner Roel Campos, Vanguard Group Chairman and CEO John J. Brennan, and
senior officials from the SEC and NASD. The conference will only be open to the registrant
community (no press or outside lawyers are invited). Further information regarding conference
registration will be provided as it becomes available.
Ari Burstein
Associate Counsel
Attachment (in .pdf format)