March 22, 1995
TO: BANK BROKER/DEALER ADVISORY COMMITTEE No. 9-95
BROKER/DEALER ADVISORY COMMITTEE No. 10-95
DIRECT MARKETING COMMITTEE No. 19-95
HUMAN RESOURCES FORUM No. 8-95
MARKETING POLICY COMMITTEE No. 20-95
MEMBERS - ONE PER COMPLEX No. 35-95
OPERATIONS COMMITTEE No. 16-95
PENSION MEMBERS No. 19-95
SALES FORCE MARKETING COMMITTEE No. 19-95
SEC RULES COMMITTEE No. 44-95
SHAREHOLDER COMMUNICATIONS COMMITTEE No. 15-95
STATE LIAISON COMMITTEE No. 16-95
TRANSFER AGENT ADVISORY COMMITTEE No. 21-95
UNIT INVESTMENT TRUST COMMITTEE No. 33-95
RE: APRIL 11 CONFERENCE ON NEW CONTINUING EDUCATION
REQUIREMENTS
______________________________________________________________________________
As previously reported, the Securities and Exchange Commission recently adopted rule
amendments to require members of the National Association of Securities Dealers, Inc. ("NASD") to
participate in a continuing education program as developed by the Securities Industry/Regulatory
Council on Continuing Education (the "Council").
The Institute will hold a special one-day conference in Washington, DC on
April 11, 1995 to review the new requirements and offer drafting guidelines and other compliance ideas.
Speakers will include William R. Simmons, Chairman of the Council, other Council members,
representatives of the NASD, the New York Stock Exchange, and Institute member firms, and other
industry experts. Enclosed is a brochure on the conference.
This conference will not be repeated, so you'll want to be sure to take advantage of this one-time
opportunity.
Stephanie Brown
Director
Marketing & Training
Enclosure