Review of Current Investigations and Regulatory Actions Regarding the Mutual Fund Industry: The Regulatory Landscape
Wednesday, March 10, 2004
10:00 AM
538 Dirksen Senate Office Building
The Committee will meet in OPEN SESSION to conduct the sixth in a series of hearings on "A Review of Current Investigations and Regulatory Actions Regarding the Mutual Fund Industry: The Regulatory Landscape."
Witnesses
Panel 1
Honorable David M. Walker
[view testimony]
Comptroller General of the United States
Ms. Lori Richards
[view testimony]
Director, Office of Compliance, Inspections, and Examinations
Securities and Exchange Commission
Mr. Paul Roye
[view testimony]
Director, Division of Investment Management
Securities and Exchange Commission
Ms. Mary Schapiro
[view testimony]
Vice Chairman of NASD and President of NASD Regulatory Policy & Oversight
National Association of Securities Dealers