August 2, 1996
TO: OPERATIONS COMMITTEE No. 15-96
TRANSFER AGENT ADVISORY COMMITTEE No. 44-96
BROKER/DEALER ADVISORY COMMITTEE No. 15-96
BANK AND TRUST ADVISORY COMMITTEE No. 26-96
CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 1-96
RE: OPERATIONS CONFERENCE REGULATORY PANEL AGENDA
______________________________________________________________________________
By now you should have received the preliminary brochure for the Institute’s tenth
annual Operations Conference, October 20-23 at the Walt Disney World Dolphin Hotel in
Orlando, Florida. As you know, a regular feature of the conference is the panel on current
regulatory and operations issues. This year, in addition to having representatives from the SEC
and the IRS, we expect to have the NASD represented as well.
In order to help the panel identify the topics and issues of highest current concern, we
are requesting your ideas in advance. Please take a few moments to give us your thoughts as to
the specific issues you would like to see this panel address. The attached transmittal form may
be used for this purpose and returned to us via fax as instructed at the bottom of the form. If
you intend to respond, we would appreciate hearing from you as soon as possible but not later
than Friday, September 6.
Thanks in advance for your assistance.
Donald J. Boteler
Vice President - Operations
& Training
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