October 12, 1995
TO: COMPLIANCE COMMITTEE No. 41-95
RE: NOVEMBER 14 MEETING
______________________________________________________________________________
A meeting of the Compliance Committee has been scheduled for Tuesday, November
14. The meeting will be held at 2:00 p.m. in the Institute’s David Silver Conference Room.
We will discuss the following items at the meeting: (1) experience with the new Office of
Compliance Inspections and Examinations; (2) NASD customer complaint rule; (3) NASD
notice on mutual fund sales practices; (4) internal controls and oversight of derivatives
investments; and (5) no-action letter concerning "bunching" of client orders. Please let Frances
Stadler know if there are any other items that you would like to discuss at the meeting. She can
be reached at 202/326-5822 and her fax number is 202/326-5827.
Ellen Metzger
Chairperson
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Please detach and return to Elizabeth Lyons, (202/326-5827, fax) at the Investment Company
Institute, 1401 H Street, N.W., Washington, D.C., 20005-2148, by November 6, 1995.
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