Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

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Thursday, September 8, 2011

House Committee Posts Witness List for Hearing on Regulation of Securities Professionals

The Capital Markets Subcommittee of the House Financial Services Committee has posted the list of witnesses for the Sept. 13, hearing entitled “Ensuring Appropriate Regulatory Oversight of Broker-Dealers and Legislative Proposals to Improve Investment Adviser Oversight.”   It has also posted a discussion draft of a bill for the registration and oversight of national investment adviser associations.

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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