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| U.S. Senate Committee on Homeland Security and Governmental Affairs |
| Subcommittee on Federal Financial Management, Government Information, and International Security |
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| Title: Mutual Funds: Trading Practices and Abuses that Harm Investors |
| Date: 11/3/03 |
| Time (EST): 10:30 AM |
| Place: Dirksen Senate Office Building, Rm. 342 |
| The purpose of the hearing is to explore the extent and impact of alleged trading abuses in the mutual fund industry and consider regulatory reforms necessary to mitigate such practices in the future. |
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| Member
Statements |
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| Witnesses
Testimony
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Panel 1
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Congressman
Richard H. Baker
[View
PDF]
, (R-LA)
, Chairman
, Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, Committee on Financial Services
, U.S. House of Representatives |
Panel 2
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Stephen M. Cutler
[View
PDF]
, Director, Division of Enforcement
, U.S. Securities and Exchange Commission
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Paul F. Roye
[View
PDF]
, (invited)
, Director, Division of Investment Management
, U.S. Securities and Exchange Commission
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The Honorable
William F. Galvin
[View
PDF]
, Secretary of the Commonwealth, Massachusetts
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Attorney General
Eliot L. Spitzer
[View
PDF]
, Office of the New York State Attorney General
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Mary L. Schapiro
[View
PDF]
, Vice Chairman and President of Regulatory Policy and Oversight
, NASD
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Panel 3
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John C. Bogle
[View
PDF]
, Founder and Former CEO
, The Vanguard Group
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Mercer E. Bullard
[View
PDF]
, Founder and President
, Fund Democracy
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Matthew P. Fink
[View
PDF]
, President
, Investment Company Institute
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