August 28, 1991
TO: MEMBERS - ONE PER COMPLEX NO. 39-91
STATE SECURITIES MEMBERS NO. 40-91
BLUE SKY GUIDE RECIPIENTS
RE: 1991-92 BLUE SKY COMPLIANCE WORKSHOPS
__________________________________________________________
As you may remember, the Institute held a series of Blue
Sky Compliance Workshops in 1987 and 1989. In response to the
tremendous number of requests, the Institute will be repeating
the workshops in four locations. The workshops will be held in
San Antonio, San Francisco, New York and Boston.
The program will cover all facets of registering a mutual
fund in the individual states. The workshops are designed for
employees who do blue sky work, as well as other employees who
handle state-related issues. The workshop panel consists of Mary
Anne Miller, Fidelity Services Company; Rosemary Milner, Delaware
Management Company, Inc.; Elizabeth Nystedt, The Boston Company
Advisors, Inc. and Thomas Joseph, Scudder Investors, Inc.
The dates and locations for the Blue Sky Compliance
Workshops are as follows:
o SAN ANTONIO November 19, 1991
Hilton Palacio Del Rio
200 South Alamo
San Antonio, TX 78205
(512) 222-1400
Rate: $115 single/double
Room Cut-off Date: October 18, 1991
o SAN FRANCISCO February 5, 1992
Hotel Nikko San Francisco
222 Mason Street
San Francisco, CA 94102
(415) 394-1111
Rate: $145.00 single/double
Room Cut-Off Date: January 1, 1992
o NEW YORK February 26, 1992
LeParker Meridien New York
118 West 57th Street
New York, NY 10019
(212) 245-5000
Rate: $180 single/$205 double
Room Cut-Off Date: February 4, 1992
o BOSTON March 18, 1992
The Back Bay Hilton
40 Dalton Street
Boston, MA 02115
(617) 236-1100
Rate: $89.00 single/double
Room Cut-Off Date: February 24, 1992
The workshops are scheduled to run from 9:00 am to 4:00 pm
with ample time for questions from attendees after each
presentation. Luncheon will be served at noon. A copy of the
preliminary agenda is attached.
Registration for the New York and Boston workshops is
restricted to employees of ICI member mutual funds. However, the
San Antonio and San Francisco workshops will be open to outside
law and accounting firms with ICI member connections. Please
register promptly as space may be limited. (Due to space
considerations, preference will be given to ICI members if
necessary.) To register, simply complete the form provided and
return it, along with a check for $175 for the first registrant
and $100 for each additional registrant within the same member
complex, to the Institute.
Please make your own hotel reservations. A block of rooms
has been reserved at each hotel under the name of the Investment
Company Institute, so be sure to mention the Institute when you
call.
For additional registration information, please call
Geoffrey Burke at (202) 955-3508. I look forward to seeing you
at one of the workshops!
Patricia Louie
Assistant General Counsel
Attachments
REGISTRATION FORM
INVESTMENT COMPANY INSTITUTE
BLUE SKY COMPLIANCE WORKSHOPS
LOCATION (check one)
SAN ANTONIO - November 19, 1991
SAN FRANCISCO - February 5, 1992
NEW YORK - February 26, 1992
BOSTON - March 18, 1992
PLEASE TYPE OR PRINT -- Name(s) and Title(s)
Registration Fee
Name of ICI Member Firm
$175 for First Registrant
Address
$100 for Each Additional
Registrant City, State, Zip
TOTAL FEES $
(check enclosed) Telephone
Return to: Investment Company Institute
1600 M Street, NW, Suite 600
Washington, DC 20036
ATTN: Geoffrey Burke
We would appreciate the following information so that we can
appropriately direct our presentation:
1. How many funds are there within your firm?
2. How many persons are responsible for your firm's
Blue Sky filings?
3. Do you have a particular problem or area of concern?
4. How long have you been working in the Blue Sky area?
BLUE SKY COMPLIANCE WORKSHOP
Sponsored by the
Investment Company Institute
Preliminary Agenda
Morning Session
8:30 - 9:00 am Registration and Coffee
9:00 - 9:10 am Welcome and Introduction
9:10 - 9:50 am Initial Registration in the States
9:50 - 10:25 am Blue Chip Exemption and Other
Unique State Requirements
10:25 - 10:40 am Break
10:40 - 11:05 am Series Funds
11:05 - 11:35 am State Restrictions
11:35 - Noon Going Effective
Noon - 1:15 pm Lunch
Afternoon Session
1:15 - 1:45 pm Amendment Procedures
1:45 - 2:15 pm Required Routine Filings
2:15 - 2:40 pm Renewals
2:40 - 2:55 pm Break
2:55 - 3:20 pm Exemptions
3:20 - 3:35 pm Overview of Broker/Dealer
Registration
3:35 - 4:15 pm New Developments