May 5, 1995
TO: COMPLIANCE COMMITTEE No. 22-95
RE: JUNE 6 MEETING
______________________________________________________________________________
A meeting of the Compliance Committee has been scheduled for June 6th. The meeting will be
held at 2:00 p.m. in the InstituteGs David Silver Conference room.
We will discuss the following items at the meeting: (1) implementation of the InstituteGs personal
investing recommendations; (2) NASD continuing education requirements; (3) mutual fund internal
compliance; (4) the SECGs new Office of Compliance Inspections and Examinations; (5) “householding”
shareholder communications; (6) issues regarding implementation of T+3; and (7) prospectus disclosure
and responses to shareholder inquiries regarding a fundGs use of derivatives.
Please let me know if there are any other items that you would like to discuss at the meeting. My
direct number is 202/326-5824.
Please contact Eleanor Aguilar at 202/326-5814 by May 26th to let her know whether you will
be attending the meeting.
Amy B.R. Lancellotta
Associate Counsel