[9387]
November 3, 1997
TO: SEC RULES COMMITTEE No. 105-97
RE: SEC YEAR 2000 COMPLIANCE QUESTIONNAIRE
______________________________________________________________________________
As discussed at the last meeting of the SEC Rules Committee, in connection with some recent
SEC examinations of mutual fund complexes, the examination staff has requested information about
Year 2000 compliance efforts. An example of the types of information the staff has requested is
attached. We have been informed by a member of the SEC staff that all mutual fund and investment
adviser examinations conducted this year (and possibly into next year) will cover Year 2000 compliance.
Frances M. Stadler
Associate Counsel
Attachment