Full Committee Hearing

Review of Current Investigations and Regulatory Actions Regarding the Mutual Fund Industry: The Regulatory Landscape

Date:   Wednesday, March 10, 2004 Time:   10:00 AM

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Topic

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

Witness Panel 1

  1. Ms. Lori Richards
    Director, Office of Compliance, Inspections, and Examinations
    Securities and Exchange Commission
  2. Mr. Paul Roye
    Director, Division of Investment Management
    Securities and Exchange Commission
  3. Ms. Mary Schapiro
    Vice Chairman of NASD and President of NASD Regulatory Policy & Oversight
    National Association of Securities Dealers
  4. Honorable David M. Walker
    Comptroller General of the United States