Hearings

Hearing entitled “Ensuring Appropriate Regulatory Oversight of Broker-Dealers and Legislative Proposals to Improve Investment Adviser Oversight”

2128 Rayburn HOB, 0 Tuesday, September 13, 2011 @ 10:00

Printed Hearing 112-58

H.R. ____, "Investment Adviser Oversight Act of 2011"

Opening Statement of Representative Hinojosa

WITNESS LIST

  • Mr. William E. Dwyer III, Chairman, Financial Services Institute
  • Mr. Ken Ehinger, President and Chief Executive Officer, M Holdings Securities, Inc., on behalf of the Association for Advanced Life Underwriting
  • Mr. Terry Headley, President, National Association of Insurance and Financial Advisors
  • Mr. Steven D. Irwin, Commissioner, Pennsylvania Securities Commission, on behalf of the North American Securities Administrators Association
  • Mr. Richard G. Ketchum, Chairman and Chief Executive Officer, Financial Industry Regulatory Authority
  • Ms. Barbara Roper, Director of Investor Protection, Consumer Federation of America
  • Mr. John G. Taft, Chief Executive Officer, RBC Wealth Management, on behalf of the Securities Industry and Financial Markets Association
  • Mr. David Tittsworth, Executive Director/Executive Vice President, Investment Adviser Association

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Statement for the Record submitted by The American College

Statement for the Record submitted by the American Council of Life Insurers (ACLI)

Statement for the Record submitted by the Bond Dealers of America (BDA)

Statement for the Record submitted by the Financial Planning Coalition

Statement for the Record submitted by the Financial Services Roundtable

Statement for the Record submitted by the Independent Insurance Agents and Brokers of America (IIABA)

Statement for the Record submitted by the Investment Company Institute (ICI)

Statement for the Record submitted by the Managed Funds Association (MFA)

"Protecting Investors—Establishing the SEC Fiduciary Duty Standard" (AARP Research Report)



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