Additional Information and Draft Agenda for October 12th SEC Rules Committee Meeting

©2006 Investment Company Institute. All rights reserved. Information may be abridged and therefore incomplete. Communications from the Institute do not constitute, and should not be considered a substitute for, legal advice. [20365] September 25, 2006 TO: SEC RULES COMMITTEE No. 41-06 RE: ADDITIONAL INFORMATION AND DRAFT AGENDA FOR OCTOBER 12TH SEC RULES COMMITTEE MEETING As previously announced, an extended, in-person meeting of the SEC Rules Committee has been scheduled for Thursday, October 12th, with a dinner the night before. The meeting will take place at the Investment Company Institute, 1401 H Street, N.W., Washington, D.C., in the David Silver Conference Room on the 12th Floor. It will begin at 9:00 a.m. (Eastern time) and end at approximately 3:00 p.m. A schedule of events with additional details about the meeting is attached. Also attached is the draft agenda for the afternoon portion of the meeting. If there are other issues that you would like us to include on the agenda, please contact me at (202) 326-5822 or frances@ici.org. We are pleased to announce that Andrew (Buddy) Donohue, Director of the SEC’s Division of Investment Management, will speak at the meeting on Thursday morning and that Elisse Walter, Senior Executive Vice President, Regulatory Policy & Programs, NASD, will be our luncheon speaker. Committee Dinner A cocktail reception and dinner will be held the evening of Wednesday, October 11th at Teatro Goldoni, located at 1909 K St., N.W., Washington, D.C. The reception will begin at 6:30 p.m. and the dinner will begin at 7:15 p.m. All participants will be billed for their portion of the total cost. Please note that if you confirm attendance for the dinner and cancel within 48 hours of the scheduled event, you will still be charged for your portion of the pre-arranged dinner. The dinner is nearly filled to capacity; if necessary, we will create a waiting list and notify the members whom we place on that list. (For those who have already submitted their forms, please let us know if your plans change and you can no longer attend the meeting.) * * * 2 If you have not already done so, please indicate on the attached response form whether you or an alternate will attend the SEC Rules Committee meeting and dinner. (Only one person per complex may attend.) Please fax your response form to Barbara Watkins at (202) 326-5823 by Tuesday, October 3rd. We look forward to seeing you on October 11th and 12th. Frances M. Stadler Deputy Senior Counsel Attachment no. 1 (in .pdf format)