Oversight hearing on mutual funds: hidden fees, misgovernance and other practices that harm investors : hearing before the Financial Management, the Budget, and International Security Subcommittee of the Committee on Governmental Affairs, United States Senate, One Hundred Eighth Congress, second session, January 27, 2004
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richard J Hillman Director Financial Markets and Community Investment
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abuses additional advisory fees Alpha Attorney average basis points benefits billion Bogle breakpoint broker broker-dealers brokerage commissions Chairman compensation competition conflicts of interest directed brokerage disclose distribution Eliot Spitzer expense ratio fair value fees and expenses fiduciary duty fund advisers fund assets fund boards fund directors fund managers fund's governance independent index fund intermediaries investment advisers Investment Company Institute Investment Management issues late trading management fees market timers mutual fund companies mutual fund fees mutual fund industry mutual fund investors NASD Nesfield omnibus accounts paid payments percent portfolio securities portfolio transaction costs practices proposal prospectus purchase Putnam Investments recommendations regulators regulatory require revenue sharing Rule sales charges Scannell sell Senator Akaka Senator Fitzgerald Senator Lautenberg Senator Sununu soft dollar arrangements Spitzer statement structure Subcommittee Thank Thrift Savings Plan total expense ratio transparency Vanguard Wellington Fund