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Communications from the Institute do not constitute, and should not be considered a substitute for, legal advice.
[18759]
April 8, 2005
TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 18-05
COMPLIANCE ADVISORY COMMITTEE No. 30-05
CHIEF COMPLIANCE OFFICER COMMITTEE No. 34-05
EQUITY MARKETS ADVISORY COMMITTEE No. 20-05
SEC RULES COMMITTEE No. 27-05
SMALL FUNDS COMMITTEE No. 12-05
RE: SEC AND NASD PHILADELPHIA OFFICES ANNOUNCE SECURITIES
CONFERENCE
As we previously informed you, 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 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). The conference invitation, program, and registration information
are attached.
Ari Burstein
Associate Counsel
Attachment
Attachment (in .pdf format)