April 17, 1995
TO: BROKER/DEALER ADVISORY COMMITTEE No. 16-95
RE: BDAC MEETING 5/3/95 & 5/4/95 IN BOSTON, MA
______________________________________________________________________________
Enclosed please find an updated agenda and attendees list for the upcoming ICI Broker Dealer
Advisory Committee Meeting to be held Wednesday, May 3, 1995 and Thursday, May 4, 1995 at the
Boston harbor Hotel in Boston, MA. A preliminary schedule for the two days is as follows:
Wednesday, May 3, 1995:
8:00 AM - 12:30 PM NSCC Enhancements Committee Meeting
12:30 PM - 2:00 PM Lunch
2:00 PM - 6:00 PM Broker Dealer Advisory Committee Meeting
6:45 PM - 8:15 PM Deck Tour
8:30 PM Dinner
Thursday, May 4, 1995:
8:00 AM - 1:00 PM Broker Dealer Advisory Committee Meeting
1:00 PM Closing Lunch
Dress for the meetings and dinner will be neat casual. If you have any questions regarding the
meetings, please do not hesitate to contact me at 202/326-5848. I look to seeing you in Boston.
Kevin Farragher
Director of Operations
Distribution & Service
INVESTMENT COMPANY INSTITUTE
BROKER/DEALER ADVISORY COMMITTEE MEETING
MAY 3-4, 1995
BOSTON, MA
UPDATED PRELIMINARY AGENDA
I. Introduction & Review of Minutes M. Harris
of Previous Meeting
II. Enhancements Review Committee Update C. Daly
J. Boehm
A. Cusip Profile J. Colao
B. Retirement Plan Indicator
on NSCC Record Layouts M. Hayes
C. CDSC Waiver Issue J. Colao
D. Update on Networking
Record Type 20 Use J. Boehm
E. Other Projects
III. Trust System's Use of Fund/SERV
and Networking C. Hayes
IV. Extended Corrections Update C. Hayes
V. NSCC No-Load & Money Market
Participation Update J. Vrettos
VI. ACAT Fund/SERV Mandate Update J. Vrettos
VII. NSCC Participant Update J. Vrettos
VIII. Networking Year End Tax Record R. Enz
IX. Final T+3 Preparation Update
A. Rule 22e vs. Rule 15c6-1 D. Boteler
B. Effect of T+3 on W9 Presentment
to Funds B. Winter
C. T+3 ssues from the Floor
X. Taxable Implications of Mandatory
Div Reinvest on SWP Account Update T. Iandolo
- 2 -
XI. Legislative/Regulatory Update K. Farragher
A. SIPC Disclosure
B. 10b-10 No Action Letter
C. Transfer on Death
D. Indexing & Other Tax Issues
XII. 3rd Party Check Processing T. Des Pres
XIII. CCH Meeting Update D. Boteler
XIV. Operations Committee Meeting Update D. Boteler
XV. Transfer Agency Advisory Committee Update R. Rainville
XVI. DTC Update F. Petrillo
XVII. ICI Update K. Farragher
XVIII. Other Issues Open