Congressional Testimony

  1. Testimony on legislative proposals to relieve the red tape burden on investors and job creators, Subcommittee on Capital Markets and Government Sponsored Enterprises, Committee on Financial Services, U.S. House of Representatives (May 23, 2013)
  2. Testimony on the 10th anniversary of the Sarbanes-Oxley Act of 2002 before the Subcommittee on Capital Markets and Government Sponsored Enterprises, Committee on Financial Services, U.S. House of Representatives (July 26, 2012)
  3. Testimony on cost-benefit analysis in SEC rulemaking before the Subcommittee on TARP, Financial Services and Bailouts of Public and Private Programs, Committee on Oversight and Government Reform, U.S. House of Representatives (Apr. 17, 2012)
  4. Testimony on crowdfunding regulation before the Subcommittee on TARP, Financial Services and Bailouts of Public and Private Programs, Committee on Oversight and Government Reform, U.S. House of Representatives (Sep. 15, 2011)
  5. Testimony on money market fund regulation before the Subcommittee on Capital Markets and Government Sponsored Enterprises, Committee on Financial Services, U.S. House of Representatives (June 24, 2011)
  6. Testimony on competition and consolidation in financial markets before the Subcommittee on Intellectual Property, Competition and the Internet, Committee on the Judiciary, U.S. House of Representatives (Apr. 1, 2011)
  7. Testimony on investor protection before the Committee on Financial Services, U.S. House of Representatives (Oct. 6, 2009)
  8. Testimony on strengthening SEC’s enforcement responsibilities before the Subcommittee on Securities, Insurance, and Investment, Committee on Banking, Housing and Urban Affairs, U.S. Senate (May 7, 2009)
  9. Testimony on the 401(k) Fair Disclosure for Retirement Security Act of 2009, before the before the Subcommittee on Health, Employment, Labor, and Pensions, Committee on Labor and Education, U.S. House of Representatives (Apr. 22, 2009)
  10. Testimony on the importance of independent investment advisory services provided to defined contribution plan participants before the Subcommittee on Health, Employment, Labor, and Pensions, Committee on Labor and Education, U.S. House of Representatives (Mar. 24, 2009)
  11. Testimony on enhancing investor protection and the regulation of the securities markets before the Senate Committee on Banking, Housing and Urban Affairs (Mar. 10, 2009)
  12. Testimony before the Senate Special Committee on Aging on 401(k) fee disclosure (Oct. 24, 2007) (Statement, Accompanying Chart)
  13. Fund Democracy testimony before Subcommittee on Domestic Policy, House Committee on Oversight and Government Reform regarding investment company status and regulation of hedge fund managers (July 11, 2007) (testimony)
  14. Testimony of Fund Democracy on 529 plans before the Subcommittee on Financial Management, the Budget and International Security, Senate Committee on Governmental Affairs (Sep. 30, 2004) (testimony)
  15. Testimony of Fund Democracy on financial products sold to military personnel before the the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, Committee on Financial Services, U.S. House of Representatives (Sep. 9, 2004) (testimony)
  16. Testimony of Fund Democracy on 529 plans before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, Committee on Financial Services, U.S. House of Representatives (June 2, 2004) (testimony)
  17. Testimony on the need for mutual fund legislation before the Senate Committee on Banking, Housing and Urban Affairs (Mar. 23, 2004) (testimony)
  18. Testimony on the mutual fund scandal before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, Committee on Financial Services, U.S. House of Representatives (Nov. 4, 2003) (testimony)
  19. Testimony on the mutual fund scandal before the Subcommittee on Financial Management, the Budget and International Security, Senate Committee on Governmental Affairs (Nov. 3, 2003)(testimony)
  20. Testimony of Fund Democracy before House Subcommittee on Capital Markets regarding The Mutual Funds Integrity and Fee Transparency Act of 2003 (June 18, 2003)(testimony)

Other Testimony

  1. Testimony of Fund Democracy before the Advisory Council on Employee Welfare and Pension Benefit Plans, Department of Labor (Aug. 5, 2004) (testimony)
  2. Testimony before the Committee on Economic Matters, Maryland House of Delegates regarding Senate Bill 264, which provides effective immunity for independent fund directors (Mar. 28, 2001) (testimony)