107TH CONGRESS } COMMITTEE PRINT COMMITTEE COMPILATION OF SECURITIES LAWS WITHIN THE JURISDICTION OF THE INCLUDING SECURITIES ACT OF 1933 SECURITIES EXCHANGE ACT OF 1934 INVESTMENT COMPANY ACT OF 1940 INVESTMENT ADVISERS ACT OF 1940 SECURITIES INVESTOR PROTECTION ACT OF 1970 71-377 PREPARED FOR THE USE OF THE COMMITTEE ON FINANCIAL SERVICES MARCH 2001 Stanford Law Library MAY 2 5 2001 U.S. GOVERNMENT PRINTING OFFICE WASHINGTON: 2001 For sale by the Superintendent of Documents, U.S. Government Printing Office Stanford Law Library 3 6105 062 890 137 HOUSE COMMITTEE ON FINANCIAL SERVICES MICHAEL G. OXLEY, Ohio, Chairman JAMES A. LEACH, Iowa MARGE ROUKEMA, New Jersey, Vice Chair SUE W. KELLY, New York PAUL E. GILLMOR, Ohio CHRISTOPHER COX, California DAVE WELDON, Florida STEVEN C. LATOURETTE, Ohio ERIC CANTOR, Virginia FELIX J. GRUCCI, JR., New York MELISSA A. HART, Pennsylvania SHELLEY MOORE CAPITO, West Virginia MIKE FERGUSON, New Jersey PATRICK J. TIBERI, Ohio JOHN J. LAFALCE, New York JAMES H. MALONEY, Connecticut MAX SANDLIN, Texas GREGORY W. MEEKS, New York FRANK MASCARA, Pennsylvania JAY INSLEE, Washington JANICE D. SCHAKOWSKY, Illinois CHARLES A. GONZALEZ, Texas STEPHANIE TUBBS JONES, Ohio MICHAEL E. CAPUANO, Massachusetts HAROLD E. FORD JR., Tennessee KEN LUCAS, Kentucky RONNIE SHOWS, Mississippi JOSEPH CROWLEY, New York WILLIAM LACY CLAY, Missouri STEVE ISRAEL, New York BERNARD SANDERS, Vermont TERRY HAINES, Chief Counsel and Staff Director (II) |