1Member fund groups with total assets less than $750 million
(excluding money market funds).
April 18, 1995
TO: SMALL FUNDS COMMITTEE No. 7-95
SMALL FUNDS MEMBERS No. 4-95
RE: SMALL FUNDS MEETING, MAY 17, 1995 - SECOND NOTICE
______________________________________________________________________________
This is to remind you that a Small Funds1 Meeting has been scheduled for Wednesday, May 17,
1995 from 9:30 a.m. until approximately 3:00 p.m. at the Washington Hilton Hotel at 1919 Connecticut
Avenue, N.W. in Washington, D.C. Lunch will be served. The Small Funds Meeting precedes the start of
the Institute's General Membership Meeting. Following the Small Funds Meeting, Registration for the
GMM and Exhibit Hall will be open. Later that evening, the Institute's Welcoming Reception will be
held. For your information, enclosed is a Program about the General Membership Meeting, including a
GMM registration form. If you need additional brochures/registration forms, please contact Ms. Marti
Yocum at 202/326-5969.
Following the usual practice, we are requesting that each of you provide a list of items on the
attached form which are important to you and relevant to the committee, to assist us in preparing the
agenda for the meeting. As many of you know, the Small Funds Group is an effective forum for the
exchange of practical and useful information and we would like each of you to participate actively in the
meeting, especially in regard to those items of interest to you.
Attached is a form to register for the Small Funds Meeting which also provides space for your
suggested discussion topics. Please complete the form and return it to Delores Campbell at Investment
Company Institute as soon as possible. A preliminary agenda is enclosed for your review. We look
forward to seeing you in May.
Lynne M. Cannon Charles A. Eby
Chairman - Small Funds Committee Vice President - ICI
Small Funds Meeting
Washington, D.C.
May 17, 1995
_________________________________________________________________________________
___
Preliminary Agenda
A. Washington Scene
1. Fields Bill
2. Prospectus Simplification
3. Risk Disclosure
B. Regulatory Issues
C. Tax Issues
1. Tax Bill
2. Advisor Tax Issues
D. Operations
1. FundServe Update
2. T+3 Update
3. Mutual Fund Price Reporting to NASD
4. Fraud and Loss Control Workshop
E. Distributor Issues
1. Advantages/Disadvantages of Distributing
through "One Source" Providers
2. Working with Financial Planners
3. Soft Dollar Disclosure
4. Non-Affiliated Sales Force Distributor
5. Hiring Wholesalers
F. Marketing Issues
1. Use of the Internet
2. Strategic Alliances
3. Small Funds - Load vs. No Load Comparison
G. Miscellaneous
1. EDGAR Filing Services
2. Fund Accounting Software
3. Asset Allocation Software
4. Blue Sky Registration Services
5. ICINet Introduction
6. 401(k) Plans
7. Rating Agncies: Better Tracking?