Broker Compensation Issues
Companies Receiving Subpoenas
Legal Documents
Copy of Complaint
Compliant for Injunctive Relief
Copy of Settlement Agreement
Proposed Consent Decree and Permanent Injunction
Proposed Regulations
Notice of Proposed Regulatory Action
Regulation Summary
Initial Statement of Reasons
Text of Regulation
Testimony
Commissioner's Testimony
November 16, 2004. U.S. Senate. (As presented to the Subcommittee on Financial Management, Budget, and International Security Committee on Governmental Affairs.) Commissioner Garamendi Addresses U.S. Senate Hearing on Hidden Broker Commissions.