May 9, 1996
TO: SMALL FUNDS COMMITTEE No. 7-96
SMALL FUNDS MEMBERS No. 6-96
RE: Meeting Agenda - May 20, 1996
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By now, I hope you have made arrangements to join us for the Small Funds Meeting,
scheduled for Monday, May 20, 1996, in the Jefferson Room of the Washington Hilton Hotel,
1919 Connecticut Avenue NW, Washington, DC 20009. Continental breakfast will be offered at
9:00 a.m., with the meeting commencing shortly thereafter and running until approximately
3:00 p.m. Lunch will be served.
I have attached a proposed agenda for your review. I encourage your active
participation in the meeting; if there are items not on the agenda which are of interest to you,
please bring them to my or ICIs attention.
If you have not already done so, there is still time to register for the meeting; just return
the enclosed form to ICI as soon as possible.
I look forward to seeing you soon in Washington.
Lynne M. Cannon Charles A. Eby
Chairman Vice President
Small Funds Committee Information Services
Attachment
INVESTMENT COMPANY INSTITUTE
SMALL FUNDS MEETING
Monday, May 20, 1996
9:00 a.m. - 3:00 p.m.
Washington Hilton Hotel / Jefferson Room
1919 Connecticut Avenue, NW
Washington, DC 20009
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Proposed Agenda
9:00 a.m. Continental Breakfast
9:30 a.m. - 12:00 p.m. Morning Session
A. Anti-Trust Compliance Update
1. Review of Institute Policy
2. Discussion of "Frequently Asked Questions"
3. Briefing on Recent Justice Department actions against Trade Associations
B. Washington Scene
1. Fields Bill
2. Profile Prospectus
3. Risk Disclosure
C. ICI Staff Updates
1. SEC Regulatory Issues
- Amendments to Rule 2a-7
2. State Regulation
- Hawaii amends Exemption
- SRD update
- Collective Comment Letter
- NASD CRD Requirements
- Miscellaneous (Ohio, Florida, New Jersey)
3. Tax Issues
- IRS Audits
- Preferential Dividends
- Proposed Cost Basis Legislation
4. Training Programs
5. Operations
- NSCC Workshops
- Daily Fund Price Dissemination
- 401(k) Clearing Service
- IRA TOA Project
12:00 p.m. - 1:00 p.m. Luncheon (Lincoln West)
1:00 p.m. - 3:00 p.m. Afternoon Session
D. Member Discussion
1. Impact of Technology
- Internet
- Interactive Voice Response Technology
2. Marketing
- Share Classes - How Successful?
- Success of Websites
- Selling in Canada
- Rating Agencies
3. Distribution
- Financial Planning/Advisors
- "One Source" Programs
4. Service
- Quality Measurement
- Outsourcing Fulfillment
5. EDGAR Compliance
E. Miscellaneous Topics
1. ICINet Update
2. Small Funds Directory
F. Upcoming Conferences
SMALL FUNDS MEETING
Monday, May 20, 1996
Washington Hilton Hotel
1919 Connecticut Avenue, NW
Washington, DC 20009
I will attend the Small Funds Committee Meeting on May 20, 1996 in Washington, DC:
(please type or print)
NAME: _______________________________________
FIRM: _______________________________________
ADDRESS: _______________________________________
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TELEPHONE: ________________________ FAX: ______________________
AGENDA ITEMS SHEET
SUGGESTIONS OF TOPICS I WOULD LIKE TO SEE DISCUSSED AT THE MEETING:
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Please return this completed form to Jennifer Clark by fax (202/326-5959) or return mail to:
Jennifer Clark
Investment Company Institute
1401 H Street, NW, 11th Floor
Washington, DC 20005