September 26, 1991
TO: COMPLIANCE COMMITTEE NO. 6-91
RE: NOTICE OF MEETING; NOVEMBER 7, 1991
__________________________________________________________
The next meeting for the Compliance Committee has been
scheduled for November 7, 1991 at 10:00 a.m. The meeting will be
held in the Institute's conference room.
At the meeting, we will discuss compliance issues that have
arisen under the recent amendments to Rule 2a-7 of the 1940 Act
(governing money market funds) and to the rules under Section 16
of the 1934 Act (concerning reports of directors, officers and
principal stockholders). We also will discuss the new NASD
customer account information rule and the NASD's position on the
use of "negative response" letters to switch customers from one
mutual fund to another. In addition, if there are any topics
that you would like the Committee to address at the November 7th
meeting, please notify me prior to the meeting.
Please contact Michele Dugue by November 1, 1991 at
202/955-3515 to let her know whether or not you will be attending
the meeting.
I am looking forward to seeing you on November 7.
Amy B.R. Lancellotta
Assistant General Counsel