Full Committee Hearing

Consolidation of NASD and the Regulatory Functions of the NYSE: Working Towards Improved Regulation

Date:   Thursday, May 17, 2007 Time:   02:30 PM

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Topic

The Subcommittee on Securities, Insurance and Investment will meet in OPEN SESSION to conduct a hearing on “Consolidation of NASD and the Regulatory Functions of the NYSE: Working Towards Improved Regulation.”

Witnesses

Witness Panel 1

  1. Mr. Richard Ketchum
    Chief Executive Officer
    NYSE Regulation, Inc.
  2. Ms. Mary Schapiro
    Chairman and Chief Executive Officer
    NASD
  3. Mr. Erik Sirri
    Director, Division of Market Regulation
    Securities and Exchange Commission

Witness Panel 2

  1. Mr. Joseph Borg
    President
    North American Securities Administrators Association
  2. Mr. John Coffee
    Adolf A. Berle Professor of Law
    Columbia Law School
  3. Mr. Marc Lackritz
    Chief Executive Officer and President
    Securities Industry and Financial Markets Association