February 22, 1991
TO: COMPLIANCE COMMITTEE NO. 2-91
RE: DRAFT AGENDA FOR MARCH 5 MEETING
__________________________________________________________
As we stated in the notice of the March 5 meeting, one of
the topics that will be discussed at the meeting is NASD issues.
(See Memorandum to Compliance Committee No. 1-91, dated January
14, 1991) Attached is a draft agenda of NASD issues for the
March 5th Committee meeting, which was prepared by Timothy Wasson
of Federated Investors. As you can see, there are a number of
questions posed on the agenda which should be considered prior to
the meeting. In addition to NASD issues, and if time permits, we
also will discuss compliance issues that arise in connection with
retirement plans (e.g., are confirmations sent to 401K
participants, are retirement brochures sent to prospective
investors). Please let me know if there are any other agenda
items that you would like to discuss at the meeting.
I am looking forward to seeing you on March 5.
Amy B.R. Lancellotta
Assistant General Counsel
Attachment