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The purpose of the hearing is to explore the extent and impact of alleged trading abuses in the mutual fund industry and consider regulatory reforms necessary to mitigate such practices in the future.
Chairman
Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, Committee on Financial Services
Director, Division of Enforcement
U.S. Securities and Exchange Commission
Director, Division of Investment Management
U.S. Securities and Exchange Commission
Secretary of the Commonwealth, Massachusetts
Office of the New York State Attorney General
Vice Chairman and President of Regulatory Policy and Oversight
NASD