May 7, 1993
TO: COMPLIANCE COMMITTEE NO. 8-93
RE: NOTICE OF MEETING, JUNE 3, 1993
__________________________________________________________
A meeting of the Compliance Committee has been scheduled
for 10:00 a.m. on June 3, 1993. The meeting will be held in the
Institute's David Silver conference room. Lunch will be served
after the meeting. We will discuss the following topics at the
meeting: (1) registration of telephone personnel, (2)
documentation required under rule 2a-7, (3) problems with SEC
inspections, (4) electronic monitoring legislation, (5) ICI
Mutual compliance requirements, and (6) Form U-5 filings. Please
let me know if there are any other items that you would like us
to include on the agenda.
Please indicate in the space provided below whether you, or
an alternate, plan to attend the meeting and return this form to
the Institute.
Ellen Metzger
Chairperson
Please respond and fax this notice to Laura Pawlowski at (202)
659-1519 by May 26, 1993.
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COMPLIANCE COMMITTEE MEETING
LUNCHEON
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