Full Committee Hearing

Enhancing Investor Protection and the Regulation of Securities Markets – Part II

Date:   Thursday, March 26, 2009 Time:   09:30 AM

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Topic

The witnesses on Panel I will be: The Honorable Mary Schapiro, Chairman, U.S. Securities and Exchange Commission; and The Honorable Fred Joseph, President, North American Securities Administrators Association. The witnesses on Panel II will be The Honorable Richard C. Breeden, Former Chairman, U.S. Securities and Exchange Commission; The Honorable Arthur Levitt, Jr., Former Chairman, U.S. Securities and Exchange Commission; and The Honorable Paul S. Atkins, Former Commissioner, U.S. Securities and Exchange Commission. The witnesses on Panel III will be: Mr. Richard Ketchum, Chairman and CEO, FINRA; Mr. Ronald A. Stack, Chair, Municipal Securities Rulemaking Board; Ms. Barbara Roper, Director of Investment Protection, Consumer Federation of America; Mr. David G. Tittsworth, Executive Director and Executive Vice President, Investment Adviser Association; Mr. James Chanos, Chairman, Coalition of Private Investment Companies; Ms. Rita Bolger, Senior Vice President and Associate General Counsel, Standard & Poor’s, Global Regulatory Affairs; and Mr. Daniel Curry, President, DBRS, Inc.

Witnesses

Majority Statements

  1. Senator Christopher J. Dodd

Witness Panel 1

  1. Honorable Fred Joseph
    President
    North American Securities Administrators Association
  2. Honorable Mary Schapiro
    Chairman
    U.S. Securities and Exchange Commission

Witness Panel 2

  1. Honorable Paul S. Atkins
    Former Commissioner
    U.S. Securities and Exchange Commission
  2. Honorable Richard C. Breeden
    Former Chairman
    U.S. Securities and Exchange Commission
  3. Honorable Arthur Levitt
    Former Chairmen
    U.S. Securities and Exchange Commission

Witness Panel 3

  1. Honorable Richard Baker
    President and CEO
    Managed Funds Association
  2. Ms. Rita Bolger
    Senior Vice President and Associate General Counsel
    Standard & Poor’s, Global Regulatory Affairs
  3. Mr. James Chanos
    Chairman
    Coalition of Private Investment Companies
  4. President Daniel Curry
    President
    DBRS, Inc.
  5. Mr. Richard Ketchum
    Chairman and CEO
    FINRA
  6. Ms. Barbara Roper
    Director of Investor Protection
    Consumer Federation of America
  7. Mr. Ronald A. Stack
    Chair
    Municipal Securities Rulemaking Board
  8. Mr. David G. Tittsworth
    Executive Director and Executive Vice President
    Investment Adviser Association