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[19015]
July 13, 2005
TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 52-05
COMPLIANCE ADVISORY COMMITTEE No. 46-05
RE: SEC’S CONTACT INFORMATION FOR CCO OUTREACH PROGRAMS
As you may know, the Securities and Exchange Commission’s Office of Compliance
Inspections and Examinations (OCIE) and the Division of Investment Management have
organized several outreach activities to better communicate with investment company and
investment adviser chief compliance officers. These activities include the CCO Seminars that
are being conducted at various locations throughout the United States as well as plans for a
periodic newsletter and annual conference for CCOs. We understand that each SEC regional
and district office is providing notice of conferences to firms in their region. If your SEC
regional office has not previously advised you of these activities, and you are interested in
receiving such information, you may want to contact such office. Attached is a list of the phone
numbers and e-mail addresses for each of the regional offices.
Tamara K. Salmon
Senior Associate Counsel
Attachment (in .pdf format)