Testimony Archives

2006

  • Testimony of Don D. Kittell, Executive Vice President, Securities Industry Association - Subcommittee on Financial Institutions and Consumer Credit; Hearing entitled "Improving Financial Literacy: Working Together to Develop Private Sector Coordination and Solutions" - September 28, 2006
  • Testimony of Kevin Conery on Behalf of The Bond Market Association Before the U.S. House of Representatives at Hearing on Improving Transparency in State Regulation of Insurer Investments - September 20, 2006
  • Testimony of Marc E. Lackritz, President, Securities Industry Association Before the Subcommittee On Financial Institutions And Consumer Credit: "A Review Of Regulatory Proposals On Basel Capital And Commercial Real Estate" - September 14, 2006
  • Testimony of Steve Judge, Senior Vice President, Government Affairs, the Securities Industry Association: "China's Capital Markets" - August 22, 2006
    -- Promoting Fair And Transparent Regulation Discussion Paper (pdf)
  • Testimony of Marc E. Lackritz, President, Securities Industry Association Before The House Financial Services Committee, Subcommittee On Oversight & Investigations: "Diversity: The GAO Perspective" - July 12, 2006
  • Testimony Of George Sutton, Esquire On Behalf Of The Securities Industry Association Before The House Financial Services Committee Subcommittee On Financial Institutions And Consumer Credit “ILC’s – A Review Of Charter, Ownership, And Supervision Issues” - July 12, 2006
  • Testimony of Mr. Gregory Ferris, Managing Director, Global Business Continuity Planning, Morgan Stanley on Behalf of TBMA & SIA before the Subcommittee on Oversight and Investigations, Hearing entitled "Pandemic Influenza Preparedness in the Financial Services Sector" - June 29, 2006 (pdf)
  • FSCC Testimony before the House Energy and Commerce Committee hearing on Social Security Numbers in Commerce: Reconciling Beneficial Uses with Threats to Privacy - May 11, 2006
  • Testimony of Marc E. Lackritz, President, Securities Industry Association before the Committee on Financial Services Subcommittee on Capital Markets - March 29, 2006
  • Testimony of Micah S. Green, President, The Bond Market Association, Before the U.S. House of Representatives, at Hearing on Tax-Preferred Bonds - March 16, 2006
  • Testimony of Marc E. Lackritz, President, Securities Industry Association, “A Review Of Self-Regulatory Organizations In The Securities Markets” - March 9, 2006
  • Testimony on behalf of SIA before the Minnesota Senate Judiciary Committee on the Uniform Securities act (2002), HF 2514 (bill number) - March 2, 2006
  • Testimony of Marin Gibson, SIA Assistant VP and Counsel, State Government Affairs, before the Finance Committee in Support of HB 529 and HB 2096 (Pennsylvania 529 Plans) - February 2, 2006

2005

  • Testimony of Ben A. Plotkin, Chairman and CEO, Ryan Beck & Co. on “Self-Regulatory Organizations: Exploring the Need for Reform” - November 17, 2005
  • Testimony Of Marc E. Lackritz, President, Securities Industry Association Before The Subcommittee On Capital Markets, Insurance And Government Sponsored Enterprises, "Self-Regulatory Organizations: Exploring The Need For Reform" - November 17, 2005
  • Testimony Of Marc E. Lackritz, President, Securities Industry Association Before The House Committee On Financial Services Subcommittee On Domestic And International Monetary Policy, Trade And Technology On Increasing Efficiency And Economic Growth Through Trade In Financial Services - November 15, 2005
  • Testimony Of Oliver I. Ireland On Behalf Of The Financial Services Coordinating Council Before The Subcommittee On Financial Institutions And Consumer Credit On H.R. 3997 The "Financial Data Protection Act Of 2005" - November 9, 2005
  • Testimony of Ira D. Hammerman, Senior Vice President and General Counsel, the SIA, "Examining the Financial Services Industry's Responsibility to Prevent Identity Theft and Protect Sensitive Consumer Financial Information" - September 22, 2005
  • Testimony of the Securities Industry Association, "Examining the Commodity Futures Modernization Act of 2000 and Recent Market Developments" - September 8, 2005
  • Testimony of The Bond Market Association, "Examining the Commodity Futures Modernization Act of 2000 and Recent Market Developments" - September 8, 2005
  • Statement of The Bond Market Association at Hearing on Legislative Solutions for the Rating Agency Duopoly - June 29, 2005
  • Testimony Of Marc E. Lackritz, President, Securities Industry Association Before the Subcommittee on Domestic and International Monetary Policy, Trade and Technology, "The US-EU Economic Relationship: What Comes Next?" - June 16, 2005
  • Statement of The Bond Market Association Before The President's Advisory Panel on Federal Tax Reform - June 9, 2005
  • Testimony of Micah S. Green, President, The Bond Market Association, Before the U.S. House of Representatives, at Hearing on Legislative Solutions to Abusive Mortgage Lending Practices - May 24, 2005
  • Testimony of Marc E. Lackritz President, Securities Industry Association Before the Committee on Banking, Housing and Urban Affairs United States Senate, "Regulation NMS and Recent Market Developments," - May 18, 2005
  • Testimony of Marc E. Lackritz, President, Securities Industry Association, Before the House Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises, "A Review of the Securities Arbitration System," - March 17, 2005
  • Testimony of Micah S. Green, President, The Bond Market Association, Before the U.S. Senate, at Hearing on the Reauthorization of the Commodity Futures Modernization Act - March 10, 2005
  • Testimony of Micah S. Green, President, The Bond Market Association, Before the U.S. House of Representatives, at Hearing on the Reauthorization of the Commodity Futures Modernization Act - March 9, 2005
  • Testimony of Kim Chamberlain, Vice President and Counsel, State Government Affairs, Securities Industry Association, Before the Assembly Committee on Colleges and Universities - February 22, 2005
  • Testimony of Kim Chamberlain, Vice President and Counsel, State Government Affairs, Securities Industry Association, Before the Senate Financial and Governmental Organizations and Elections Committee - February 21, 2005
  • Testimony of Micah S. Green, President, The Bond Market Association, Before the U.S. Senate, at Hearing on the Role of Credit Rating Agencies in the Capital Markets - February 8, 2005

2004

  • Statement of The Bond Market Association Before U.S., House of Representatives at Hearing on Select Tax Issues - October 7, 2004
  • Statement For The Record on Behalf Of The Financial Services Coordinating Council - American Bankers Association American, Council of Life Insurers American Insurance Association, Securities Industry Association Before The Subcommittee on Commerce, Trade And Consumer Protection - September 28, 2004
  • Statement of Charles Toth on Behalf of The College Savings Foundation And The Securities Industry Association - Higher Education Financing In Strengthening U.S. Competitiveness In A Global Economy - July 22, 2004
  • Written Testimony - "Regulation NMS and Developments in Market Structure" - July 22, 2004  
  • Testimony of Marc E. Lackritz, President, Securities Industry Association Before Subcommittee on Oversight & Investigations "Diversity In The Financial Services Industry And Access To Capital For Minority-Owned Businesses: Challenges And Opportunities" - July 15, 2004
  • Senate Testimony of Steven Judge, Senior Vice President, Government Affairs, Securities Industry Association: "Examination Of The Gramm-Leach-Bliley Act Five Years After Its Passage" - July 13, 2004  
  • Testimony of Micah S. Green, President, The Bond Market Association, at Hearing on Promoting Homeownership by Ensuring Liquidity in the Subprime Mortgage Market - June 23, 2004
  • Testimony of Michael J. Alix, Senior Managing Director, Bear Stearns & Co, Inc. Before The Subcommittee on Financial Institutions And Consumer Credit - "The New Basel Accord: Private Sector Perspectives" - June 22, 2004
  • Testimony of Micah S. Green, President, The Bond Market Association, at Oversight Hearing on Bond Market Regulation - June 17, 2004
  • Testimony of Richard E. Thornburgh, Chairman, Securities Industry Association, The U.S.-EU Financial Markets Dialogue: Transatlantic Good News - June 17, 2004
  • Statement of Marc E. Lackritz, President, Securities Industry Association Before The Subcommittee On Capital Markets, Insurance And Government Sponsored Enterprises - "Investing For The Future: 529 State Tuition Savings Plans" - June 2, 2004
  • Senate Testimony of Chet Helck, President, Raymond James Financial, Inc, Before The Committee on Banking, Housing, And Urban Affairs - "Review Of Current Investigations And Regulatory Actions Regarding The Mutual Fund Industry: Fund Costs And Distribution Practices" - March 31, 2004
  • Statement of The Bond Market Association at Hearing on the Federal Government 's Role in Empowering Americans to Make Informed Financial Decisions - March 30, 2004
  • Senate Testimony of William A. Bridy, President, Financial Data Services, Inc., Before The Committee on Banking, Housing, And Urban Affairs - "Review of Current Investigations and Regulatory Actions Regarding the Mutual Fund Industry: Fund Operations and Governance" - March 2, 2004
  • Testimony of Larry Craig, Chairman, The Bond Market Association, at Hearing on Predatory Lending: Are Federal Agencies Protecting Older Americans From Financial Heartbreak - February 24, 2004
  • Testimony of Kim Chamberlain, Vice President And Counsel, State Government Affairs, For The SIA Before The Missouri Senate Financial And Governmental Organization Committee Supporting Missouri S.B. 933; Equal Tax Treatment To All Qualified 529 Plans - February 2, 2004
  • US Senate Testimony of Marc E. Lackritz, President, SIA, Before The Subcommittee on Financial Management, The Budget, And International Security - "Oversight Hearing On Mutual Funds: Hidden Fees, Misgovernance And Other Practices That Harm Investors" - January 27, 2004
  • Written Testimony Of Kim Chamberlain, Vice President And Counsel, State Government Affairs, For The SIA, Supporting Missouri H.B. 959; Equal Tax Treatment To All Qualified 529 Plans - January 27, 2004
  • Testimony of Kim Chamberlain, Vice President And Counsel, State Government Affairs, Securities Industry Association, Before The Assembly Committee On Colleges And Universities - January 13, 2004
  • Corresponding 529 Talking Points – pdf 5.0

2003

  • Testimony of Marc E. Lackritz, President, Securities Industry Association - "Review of Current Investigations and Regulatory Actions Regarding the Mutual Fund Industry" -- November 18, 2003
  • Testimony of Micah S. Green, President, The Bond Market Association, at Hearing to Review Eurex's Pending Application for Designation as a U.S. Futures Exchange - November 6, 2003
  • Testimony of Micah S. Green, President, The Bond Market Association, at Hearing on Protecting Homeowners: Preventing Abusive Lending While Preserving Access to Credit - November 5, 2003
  • Written Testimony of the SIA, "United States-China Economic Relations and China's Role in the Global Economy" -- October 30-31, 2003
  • Testimony of Robert Strong, Vice President And Executive Director, Securities Industry Foundation For Economic Education, Before The Subcommittee On Education Reform - "Financial Literacy Education: What Do Students Need To Know To Plan For The Future?" - October 28, 2003
  • Testimony of Donald D. Kittell, Executive Vice President, Securities Industry Association, Before the U. S. House of Representatives Committee on Financial Services Subcommittee on Oversight and Investigations - "Government and Industry Efforts to Protect Our Money During Blackouts, Hurricanes and Other Disasters" - October 20, 2003
  • Testimony of Marc E. Lackritz, President, Securities Industry Association before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises – "Reviewing U.S. Capital Market Structure: The New York Stock Exchange and Related Issues" - October 16, 2003
  • Testimony of Michael Gaffney, First Vice President, Co-Head, Global Tax, Merrill Lynch & Co. on behalf of the SIA - "An Examination of U.S. Tax Policy and Its Effect on the Domestic and International Competitiveness of U.S.- Based Operations" - July 15, 2003
  • Testimony of John C. Dugan, Partner, Covington & Burling on behalf of the FSCC, ABA, ACLI, AIA, SIA - "Fair and Accurate Credit Transactions Act of 2003" - July 9, 2003
  • Micah S. Green, President, The Bond Market Association, Testimony Before The Financial Services Committee, U.S. House of Representatives, on the Basel II Capital Accord - June 19, 2003
  • Micah S. Green, President, The Bond Market Association, Testimony Before the Committee on Banking, Housing and Urban Affairs, U.S. Senate, on the Basel II Capital Accord - June 18, 2003
  • "Jumpstarting the Economy: Increasing Investment in the Equity Markets" Testimony of James W. Stuckert Chairman, SIA Regional Firms Committee Chairman and CEO, J.J.B. Hilliard and W.L. Lyons, Inc. - May 22, 2003
  • Statement of The Bond Market Association at Hearing on Financing Our Nation's Roads - May 6, 2003
  • Testimony Of Marc E. Lackritz, President Of The Securities Industry Association: Opening Trade In Financial Services – The Chile Singapore Example - April 1, 2003
  • Written Testimony of John H. Schaefer, President and Chief Operating Officer, Individual Investor Group, Morgan Stanley & Co. on behalf of The Securities Industry Association - "Proposal To End The Double Tax On Corporate Earnings In The President's Economic Growth Proposals" - March 5, 2003
  • Statement of Ronald Stack, Chairman, Mucicipal Securities Division, The Bond Market Association, on President Bush's Jobs and Growth Plan - March 5, 2003
  • Statement of The Bond Market Association at Hearing on Proposed Changes to Bankruptcy Laws - March 4, 2003
  • Testimony Of Don Kittell Executive Vice President Securities Industry Association - "Recovery And Renewal: Protecting The Capital Markets Against Terrorism Post 9/11" - February 12, 2003

2002

  • Testimony of Micah S. Green, President, The Bond Market Association, Before a Hearing of the New York State Assembly on How the Bond Markets Reacted and Responded to the Terrorist Attacks on September 11, 2001. - October 8, 2002
  • Testimony of Christopher M. McGhee, The Bond Market Association, Before the U.S. House of Representatives at a Hearing on the Risk-Linked Securities Market - October 8, 2002
  • Testimony of Keith Utsey, Vice President and Counsel/Managing Director, State Government Affairs, Securities Industry Association - S1556 (Kenny) - Business Tax Reform Act -- June 17, 2002
  • Testimony of Marc E. Lackritz, President, Securities Industry Association - Written Statement Of Marc E. Lackritz Before The House Oversight & Investigations Subcommittee -- May 23, 2002
  • Testimony of Marc E. Lackritz, President, Securities Industry Association - The European Union's Financial Services Action Plan -- May 22, 2002
  • Testimony of Randy Hardock of Davis & Harman LLP - On Behalf Of The Securities Industry Association At The Internal Revenue Service Hearing Regarding The Taxation Of Statutory Stock Options (REG-142686-01) -- May 14, 2002
  • Statement of The Bond Market Association Before the Consumer Affairs Committee, The New York City Council, Hearing on Introduction 67-A - May 6, 2002
  • Testimony of Marc E. Lackritz, President, Securities Industry Association - The Corporate and Auditing Accountability, Responsibility and Transparency Act of 2002 (H.R. 3763) -- March 13, 2002

2001

  • Testimony of Marc E. Lackritz - President, Securities Industry Association - on China's Capital Markets -- December 6, 2001  
  • Discussion Paper - Promoting Fair and Transparent Regulation -- December 6, 2001
  • Testimony of C. Warren Axelrod, Ph.D., Board of Managers, FS/ISAC LLC - Cyber Security: Private-Sector Efforts Addressing Cyber Threats -- November 15, 2001
  • Testimony of Marc E. Lackritz -President, Securities Industry Association - Dismantling the Financial Infrastructure of Global Terrorism --
    October 3, 2001  
  • Testimony of Marc E. Lackritz -President, Securities Industry Association - Market Information -- July 26, 2001 
  • Statement of Steve Judge - Senior Vice President, Government Affairs, Securities Industry Association - Hearing on Trade In Financial Services -- June 26, 2001 
  • Statement of Marc E. Lackritz - President, Securities Industry Association - SIA's Best Practices for Research -- June 14, 2001 
  • Testimony of Donald D. Kittell, Executive Vice President, Securities Industry Association - Decimalization of the Securities Markets -- May 24, 2001 
  • Testimony of Stuart J. Kaswell - Senior Vice President and General Counsel, Securities Industry Association - Regulation FD -- May 17, 2001 
  • Testimony of Marc E. Lackritz - Before the House Judiciary Committee on Anti-Spam Legislation -- May 10, 2001
  • Statement of Securities Industry Association on The Promotion Of Capital Availability To American Businesses -- April 4, 2001
  • Testimony of Marc Lackritz - Before Senate on The Issue of Securities Transaction Fees -- February 14 , 2001 
  • Testimony of Lon Gorman, President of Schwab Capital Markets and Vice Chairman of The Charles Schwab Corporation - Securities Transaction and Company Registration Fees -- February 14, 2001

2000

  • Testimony of the Securities Industry Association Regarding H. R. 4541- The Commodity Futures Modernization Act of 2000 -- July 18, 2000
  • Testimony of the Securities Industry Association Regarding H. R. 4541- The Commodity Futures Modernization Act of 2000 -- June 26, 2000
  • Testimony of Marc E. Lackritz, President, Securities Industry Association - Hearing of Capital Markets and the New Economy -- June 7, 2000
  • Statement of Marc E. Lackritz, President, Securities Industry Association - Permanent Normal Trade Relations (PNTR) with China and China's entry into the World Trade Organization (WTO)   --  May 9, 2000
  • Testimony of Marc E. Lackritz - Before The Subcommittee on Employer Employee Relations on the Prohibited Transaction Provisions of ERISA -- March 10, 2000
  • Testimony of Hardwick Simmons, President and Chief Executive Officer, Prudential Securities, Inc. - Securities Transaction Fees  --  February 28, 2000
  • Testimony of Marc E. Lackritz, President, Securities Industry Association - Over the Counter Derivatives Markets and the Commodity Exchange Act  -- February 15, 2000
  • Testimony of Gerald T. Lins, General Counsel, ING Furman Selz Asset Management - Cross-trading of Securities  -- February 10, 2000

1999

  • Statement for the Record by Steve Judge on U.S. Preparations for the World Trade Organization Ministerial Meeting -- August 5, 1999
  • Testimony of Stephen J. Nelson Vice President, Herzog Heine Geduld on the subject of Securities Transaction Fees -- July 27, 1999
  • Written Statement of Brandon Becker on Behalf of SIA Before Subcommittee on Financial Institutions and Consumer Credit, Hearings on H.R. 10 --
    July 21, 1999
  • Testimony of Jane Carlin, Chairwoman, Over-The-Counter Derivative Products Committee, SIA, on Commodity Futures Trading Commission Reauthorization -- May 20, 1999
  • Testimony of Edward D. Kleinbard on the subject of the Revenue Provisions in the President's Fiscal Year 2000 Budget -- April 27, 1999
  • Testimony of Marc E. Lackritz, President, Securities Industry Association - Hearing on Securities Transaction and Other Fees -- March 24, 1999
  • Testimony of Marc E. Lackritz, President, Securities Industry Association - Hearing on The Financial Services Modernization Act of 1999 --
    February 25, 1999
  • Oral and Written Testimony of Roy J. Zuckerberg, Securities Industry Association - Hearing on H.R. 10, The Financial Services Act of 1999 -- February 10, 1999

1998

  • Testimony of  Donald Kittell, Executive Vice President, Securities Industry Association on Year 2000 Testing in the Securities Industry -- September 17, 1998
  • Written Statement of the Securities Industry Association Before the Subcommittee on Tax, Finance, and Exports on Retirement Savings Issues for Small Employers -- September 16, 1998
  • Written Statement of the Securities Industry Association by Stuart J. Kaswell, General Counsel, on Mandatory Arbitration Agreements in Securities Industry Employment Contracts -- July 31, 1998 
  • Written Statement of the Securities Industries Association by Jim Higgins on H.R. 10, The Financial Services Act of 1998 -- June 18, 1998
  • Testimony of Marc E. Lackritz, President, Securities Industry Association - Hearing on Over-The-Counter Derivatives -- June 10, 1998
  • Written Statement of the Securities Industry Association on the Proposals to Restructure the Internal Revenue Service -- February 25, 1998

1997

  • Polizzotto Testimony on Behalf of the Securities Industry Association on Private Securities Litigation Reform Act of 1995 -- July 24, 1997
  • Lackritz Testimony Regarding H.R. 10 the "Financial Services Competitiveness Act of 1997" -- May 14, 1997
  • Lackritz Testimony Hearing on Social Security Privatization's Impact on the Stock Market -- April 30, 1997
  • Higgins Testimony Concerning Savings & Investment Initiatives -- March 19, 1997
  • Gordon Testimony Concerning Revenue Provisions in Fiscal Year 1998 Budget -- March 12, 1997
  • Written Testimony Regarding S. 257 "The Commodity Exchange Act Amendments of 1997" -- February 28, 1997

 

More Information

Index of Archived Testimony