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New York Governor Eliot Spitzer

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Notice the webcast and transcript is missing then checkout pages 1, 2, 3 and 13
 
 
 

Full Committee Hearing

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

Date:   Thursday, November 20, 2003 Time:   02:00 PM

Topic

The Committee will meet in OPEN SESSION to conduct the second in a series of hearings on the “Review of Current Investigations and Regulatory Actions Regarding the Mutual Fund Industry.”

Witnesses

Witness Panel 1

  1. Mr. Stephen M. Cutler
    Director - Division of Enforcement
    Securities and Exchange Commission
  2. Mr. Robert Glauber
    Chairman and CEO
    National Association of Securities Dealers
  3. Eliot Spitzer
    Attorney General
    State of New York
 
 
 
 
Full Committee Hearing

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

Date:   Tuesday, November 18, 2003 Time:   10:00 AM

Topic

The Committee will meet in OPEN SESSION to conduct the first in a series of hearings on the “Review of Current Investigations and Regulatory Actions Regarding the Mutual Fund Industry.”

Witnesses

Witness Panel 1

  1. Mr. William H. Donaldson
    Chairman
    Securities and Exchange Commission

Witness Panel 2

  1. Mr. Matthew P. Fink
    President
    Investment Company Institute
  2. Mr. Marc Lackritz
    President
    Securities Industry Association
 
 
SECChairman,WilliamDonaldson

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