September 5, 1996
TO: COMPLIANCE COMMITTEE No. 27-96
CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 3-96
DIRECT MARKETING COMMITTEE No. 26-96
MARKETING POLICY COMMITTEE No. 30-96
MEMBERS INTERESTED IN CONTINUING EDUCATION/TRAINING No. 7-96
MEMBERS INTERESTED IN PUBLIC INFORMATION No. 1-96
PUBLIC INFORMATION COMMITTEE No. 35-96
RESEARCH COMMITTEE No. 31-96
SALES FORCE MARKETING COMMITTEE No. 29-96
SEC RULES COMMITTEE No. 94-96
SHAREHOLDER COMMUNICATIONS COMMITTEE No. 17-96
SMALL FUNDS COMMITTEE No. 20-96
SUBCOMMITTEE ON ADVERTISING No. 25-96
RE: VIDEOTAPES OF ADVERTISING/MARKETING SEMINARS NOW AVAILABLE
______________________________________________________________________________
Training employees on the basics of advertising and marketing mutual funds, including the
relevant SEC and NASD rules and regulations, just became a little easier with the availability of the
Institute’s 1996 Advertising/Marketing Seminar videotapes.
As you are aware, the Institute’s regional advertising/marketing seminars, which were held in July
this year, are designed to assist newcomers to the mutual fund industry, as well as those who are
new to the marketing function and those looking for a refresher on fund marketing issues. The one-
day sessions feature presentations on the legal, strategic, and creative aspects of marketing mutual
funds directly to consumers and through various sales forces.
This year, seminar speakers included Thomas Pappas, Associate Director, Advertising and
Investment Companies Regulation, of the NASD Regulation, Inc., as well as industry legal and
marketing experts. The attached agenda provides more detailed information about the seminar.
If you would like to order videotapes and seminar materials to use in training new marketing,
communications, and compliance personnel--including writers, designers, marketing managers,
product managers, advertising managers, and others--simply complete the attached order form and
return it to the Institute at the address provided. If you would like to place a telephone order using
Visa or Mastercard, please call Michelle Worthy at 202/326-5872. The cost of the videotapes and
seminar materials is $150.
Stephanie Brown
Assistant Vice President
Training and Marketing
Linda Brenner
Director, Sales Force Marketing
and Financial Planning Services
Attachments