June 5, 1996
TO: COMPLIANCE COMMITTEE No. 13-96
DIRECT MARKETING COMMITTEE No. 17-96
HUMAN RESOURCES FORUM No. 3-96
MEMBERS - ONE PER COMPLEX No. 45-96
MEMBERS INTERESTED IN CONTINUING EDUCATION/TRAINING No. 4-96
OPERATIONS MEMBERS No. 24-96
SALES FORCE MARKETING COMMITTEE No. 19-96
RE: FORMATION OF CONTINUING EDUCATION AND TRAINING ADVISORY
GROUP AND MAILING LIST
______________________________________________________________________________
On May 16, 1996, the Institute held a meeting of members interested in Continuing Education
and Training issues. At that meeting, Institute staff announced the formation of a new advisory
group for member training and compliance personnel involved with developing industry
training programs and/or ensuring compliance with the Securities Industry Continuing
Education Program. Attached for your information is a summary of that meeting.
Membership in the newly-formed Continuing Education and Training Advisory Group, which
is an advisory group to the Institutes Operations Committee, will be limited to two
representatives per member fund group--one compliance person and one training/continuing
education person. (This policy is more liberal than the Institutes usual policy of allowing only
one representative per fund complex because many fund groups have more than one person
responsible for their continuing education program.) Only those who are members of the
advisory group (or a substitute for that member) will be permitted to attend group meetings.
The Institute has also created a special mailing list for those who are interested in staying
informed on continuing education and training issues, but are not members of the advisory
group. To assign Institute-member fund group personnel to either the Continuing Education
and Training Advisory Group or the mailing list, please complete and return the attached
response form at your earliest convenience.
The Continuing Education and Training Advisory Group will meet twice annually. Its next
meeting will be held October 23-24, 1996 at the Disney Dolphin Hotel in Orlando, Florida.
The meeting date has been scheduled to coincide with the end of the Institutes Operations
Conference, which will be held October 20-23 at the Disney Dolphin Hotel. More detailed
information on this meeting, as well as the Operations Conference, will be sent out in mid-July
to members of the Continuing Education and Training Advisory Group.
If you have any questions or suggestions for the new advisory group, please call me at 202/326-
5869.
Stephanie Brown
Assistant Vice President,
Training and Marketing
Enclosures