2013 Mutual Funds and Investment Management Conference
March 17–20, 2013
Palm Desert, CA

General Information

REGISTRATION INFORMATION

You may register online at www.ici.org/events, or you may complete the registration form and return it to ICI. Registrations will be accepted on a first-come, first-served basis. All registrations must be received by March 12, 2013. Registrations will not be accepted by phone.

REGISTRATION FEES:

*Associate members are limited to two conference registrations at the member rate. Associate members are SEC-registered investment advisers or FINRA-registered broker-dealers that are not the primary adviser or underwriter to an SEC-registered investment company.

REMITTANCE INSTRUCTIONS

ICI and FBA members may register for the conference beginning at 1:00 p.m. (ET) on January 7, 2013.

Nonmembers may register for the conference beginning at 1:00 p.m. (ET) on January 22, 2013.

If you register online at http://www.ici.org/events, please note that your credit card will be charged immediately upon receipt of your registration.

If you register by mail, please return the completed form with check to:

Investment Company Institute
Dept. 3077
Washington, DC 20061-3077

If you register by an express carrier, please return the completed form with check to:

Investment Company Institute
Attn: Accounting Department
1401 H Street, NW, Suite 1200
Washington, DC 20005-2148

Note: Payment for registration fees must accompany all registration forms. Do NOT send registration forms in advance of mailing a check. Registrations received without payment information will not be processed. A notice of confirmation will be emailed within five business days for online registrations, and within 10 business days for registrations with check payment.

Cancellations received up to March 8, 2013, will be subject to a $150 administrative fee. Notices of cancellation must be received in writing. After March 8, 2013, we regret that no registration fees can be refunded.

CONFERENCE MATERIALS

Conference materials will be furnished in electronic form only and will be available for download by conference registrants beginning March 12, 2013. A flash drive of conference materials will be distributed at the conference.

SOCIAL MEDIA

Follow us on Twitter @EventsAtICI for updates on special events, speakers, and conference materials.

MEDIA

Registration for this program is open to members of the media.

HOTEL INFORMATION

JW Marriott Desert Springs Resort and Spa
74855 Country Club Drive
Palm Desert, CA 92260

Check-in: 4:00 p.m.

Checkout: 11:00 a.m.

HOTEL RESERVATIONS

Reservations at the conference hotel are available to registered conference attendees only. Reservations will be guaranteed by a first night’s deposit or by a major credit card. Individual reservation cancellations must be received three days in advance of scheduled arrival. If cancellation is not received three days in advance, guests will be charged for one night’s room and tax. When cancelling, please retain the cancellation number quoted to you by the reservations agent. If you do not check in on your reserved arrival date, your entire reservation may be cancelled at the hotel’s discretion.

Reservations must be received by February 11, 2013. Reservations received after February 11 may not receive the conference room rate. Please note that the conference hotel will likely be completely booked before this cutoff date; new hotel reservations may not be made after the hotel room block has filled.

In order to make a reservation at the JW Marriott Desert Springs Resort and Spa, you must first register for the conference. Upon completion of your conference registration, you will be provided with a link to the hotel website to register for your hotel room. Due to high demand, only one hotel room may be reserved per registered attendee.

CONFERENCE DRESS

Business casual dress is customary. Admittance to conference events will only be permitted with registration name badge.

MEDIA

Registration for this program is open to members of the media.

CONFERENCE CHECK-IN

The ICI registration desk will be located in the JW Marriott Desert Springs Ballroom Foyer beginning Sunday, March 17, from 3:00 until 7:00 p.m. The registration desk will be open Monday, March 18, through Wednesday, March 20, from 7:00 a.m. until 30 minutes after the last conference session each day.

GUEST ATTENDANCE

Guests are welcome at the opening reception on Sunday evening.

CONTINUING EDUCATION (CLE)

Applicants will generally receive Continuing Legal Education credit, with the conference sponsors cooperating to certify attendance. Application for approval will be submitted by the Federal Bar Association to the appropriate state agency. This program should qualify for approximately 11 hours of CLE credit. Because the credit requirements vary from state to state and are governed by different regulatory agencies, we suggest that you contact your governing body to learn if this program meets your individual requirements.

CONTINUING LEGAL EDUCATION (CPE)

Upon completion of this program, each participant will be eligible for approximately 15 hours of CPE credit. The Investment Company Institute is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.

Learning objectives: To provide updates on current securities, tax, and other regulatory developments affecting mutual funds and investment advisers.

Program level: Basic

Delivery mode: Group-Live Course

No prerequisites or advance preparations are necessary for these programs. Please direct all questions regarding administrative policies or CPE credit to Judy Lee of the Investment Company Institute at jlee@ici.org or 202-218-3575.

FINANCIAL AID POLICY

ICI will make full or partial scholarships available for Institute conferences to lawyers and law students experiencing financial hardships. Under this policy, a financial hardship is defined as income of $35,000 or less.

To apply for financial aid, please submit a completed registration form, along with a letter stating your interest in attending the specific program. Law students must include a copy of their current student ID card. All requests for financial aid must be submitted at least four weeks prior to the start of the conference. Once your materials have been received, ICI will review them and inform you whether you have been approved for financial aid.

MISCELLANEOUS

ICI assumes no liability for nonrefundable transportation costs, hotel accommodations, or additional costs incurred by registrants. The program and speakers are subject to change without notice. Please check periodically for program updates on the ICI conference website at www.ici.org/events.

QUESTIONS/CONCERNS

Should you have any questions, please contact the Conference Division at 202-326-5968 or conferences@ici.org.