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Nominations Of: Richard Cordray and Mary Jo White

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S. HRG. 113–13 NOMINATIONS OF: RICHARD CORDRAY AND MARY JO WHITE HEARING BEFORE THE COMMITTEE ON BANKING, HOUSING, AND URBAN AFFAIRS UNITED STATES SENATE ONE HUNDRED THIRTEENTH CONGRESS FIRST SESSION ON NOMINATIONS OF: RICHARD CORDRAY, OF OHIO, TO BE DIRECTOR OF THE BUREAU OF CONSUMER FINANCIAL PROTECTION MARY JO WHITE, OF NEW YORK, TO BE A MEMBER OF THE SECURITIES AND EXCHANGE COMMISSION MARCH 12, 2013 Printed for the use of the Committee on Banking, Housing, and Urban Affairs ( Available at: http://www.fdsys.gov/ U.S. GOVERNMENT PRINTING OFFICE 80–698 PDF WASHINGTON : 2013 For sale by the Superintendent of Documents, U.S. Government Printing Office Internet: bookstore.gpo.gov Phone: toll free (866) 512–1800; DC area (202) 512–1800 Fax: (202) 512–2104 Mail: Stop IDCC, Washington, DC 20402–0001 VerDate Nov 24 2008 14:29 May 23, 2013 Jkt 048080 PO 00000 Frm 00001 Fmt 5011 Sfmt 5011 L:\HEARINGS 2013\03-12 NOMINATIONS OF CORDRAY AND WHITE\HEARING\31213.TX COMMITTEE ON BANKING, HOUSING, AND URBAN AFFAIRS TIM JOHNSON, South Dakota, Chairman JACK REED, Rhode Island MIKE CRAPO, Idaho CHARLES E. SCHUMER, New York RICHARD C. SHELBY, Alabama ROBERT MENENDEZ, New Jersey BOB CORKER, Tennessee SHERROD BROWN, Ohio DAVID VITTER, Louisiana JON TESTER, Montana MIKE JOHANNS, Nebraska MARK R. WARNER, Virginia PATRICK J. TOOMEY, Pennsylvania JEFF MERKLEY, Oregon MARK KIRK, Illinois KAY HAGAN, North Carolina JERRY MORAN, Kansas JOE MANCHIN III, West Virginia TOM COBURN, Oklahoma ELIZABETH WARREN, Massachusetts DEAN HELLER, Nevada HEIDI HEITKAMP, North Dakota CHARLES YI, Staff Director GREGG RICHARD, Republican Staff Director LAURA SWANSON, Deputy Staff Director GLEN SEARS, Deputy Policy Director CATHERINE GALICIA, Counsel GREG DEAN, Republican Chief Counsel MIKE PIWOWAR, Republican Chief Economist DAWN RATLIFF, Chief Clerk RIKER VERMILYE, Hearing Clerk SHELVIN SIMMONS, IT Director JIM CROWELL, Editor (II) VerDate Nov 24 2008 14:29 May 23, 2013 Jkt 048080 PO 00000 Frm 00002 Fmt 0486 Sfmt 0486 L:\HEARINGS 2013\03-12 NOMINATIONS OF CORDRAY AND WHITE\HEARING\31213.TX CONTENTS TUESDAY, MARCH 12, 2013 Page Opening statement of Chairman Johnson ............................................................. 1 Opening statements, comments, or prepared statements of: Senator Crapo ................................................................................................... 2 NOMINEES Richard Cordray, of Ohio, to be Director of the Bureau of Consumer Financial Protection .............................................................................................................. 7 Prepared statement .......................................................................................... 37 Biographical sketch of nominee ....................................................................... 40 Responses to written questions of: Senator Crapo ............................................................................................ 69 Senator Menendez ..................................................................................... 73 Senator Vitter ............................................................................................ 78 Senator Johanns ........................................................................................ 81 Senator Kirk .............................................................................................. 83 Senator Moran ........................................................................................... 113 Senator Coburn ......................................................................................... 114 Mary Jo White, of New York, to be a Member of the Securities and Exchange Commission ........................................................................................................... 8 Prepared statement .......................................................................................... 50 Biographical sketch of nominee ....................................................................... 52 Responses to written questions of: Chairman Johnson and Senator Crapo ................................................... 132 Senator Crapo ............................................................................................ 132 Senator Reed .............................................................................................. 137 Senator Menendez ..................................................................................... 139 Senator Brown ........................................................................................... 141 Senator Warner ......................................................................................... 151 Senator Hagan ........................................................................................... 151 Senator Warren ......................................................................................... 153 Senator Vitter ............................................................................................ 162 Senator Johanns ........................................................................................ 165 Senator Toomey ......................................................................................... 165 Senator Moran ........................................................................................... 169 ADDITIONAL MATERIAL SUPPLIED FOR THE RECORD Letter submitted by Representative Steve Stivers of Ohio .................................. 171 (III) VerDate Nov 24 2008 14:29 May 23, 2013 Jkt 048080 PO 00000 Frm 00003 Fmt 5904 Sfmt 5904 L:\HEARINGS 2013\03-12 NOMINATIONS OF CORDRAY AND WHITE\HEARING\31213.TX VerDate Nov 24 2008 14:29 May 23, 2013 Jkt 048080 PO 00000 Frm 00004 Fmt 5904 Sfmt 5904 L:\HEARINGS 2013\03-12 NOMINATIONS OF CORDRAY AND WHITE\HEARING\31213.TX NOMINATIONS OF: RICHARD CORDRAY, OF OHIO, TO BE DIRECTOR, BUREAU OF CONSUMER FINANCIAL PROTECTION; MARY JO WHITE, OF NEW YORK, TO BE A MEMBER, SECURITIES AND EXCHANGE COMMISSION TUESDAY, MARCH 12, 2013 U.S. SENATE, COMMITTEE ON BANKING, HOUSING, AND URBAN AFFAIRS, Washington, DC. The Committee met at 10:04 a.m., in room SD–538, Dirksen Sen- ate Office Building, Hon. Tim Johnson, Chairman of the Com- mittee, presiding. OPENING STATEMENT OF CHAIRMAN TIM JOHNSON Chairman JOHNSON. I call this hearing to order. Today we consider the President’s nominees to head the CFPB and the SEC. In response to the financial crisis, the Wall Street Reform Act charged these two agencies with leading roles in restor- ing consumer and investor confidence in our financial system. Richard Cordray has been nominated to lead the CFPB and has served as Director since January 2012. Prior to that, Director Cordray was Chief of Enforcement at the CFPB. He has a long his- tory of public service, including serving as Ohio’s attorney general, State treasurer, State representative, and Solicitor General. We will hear more about Director Cordray when Senator Brown intro- duces him. Since his first confirmation hearing in September 2011, Director Cordray has appeared before this Committee more than any other financial regulator. During that time, he has proved to be a strong leader of the CFPB. He has completed many of the rules required by Wall Street reform, including a well-received final QM rule. He listens and has crafted strong rules that take into account all sides of an issue. He has laid the groundwork for nonbank regulation. He has brought to light the financial challenges faced by students, el- derly Americans, servicemembers, and their families. He has taken important enforcement actions against banks that took advantage of customers. So I ask what more can Richard Cordray do to de- serve an up-or-down vote? I hope we can move forward with Rich- ard Cordray’s confirmation. (1) VerDate Nov 24 2008 14:29 May 23, 2013 Jkt 048080 PO 00000 Frm 00005 Fmt 6633 Sfmt 6633 L:\HEARINGS 2013\03-12 NOMINATIONS OF CORDRAY AND WHITE\HEARING\31213.TX 2 Mary Jo White has been nominated to be a member of the SEC and will be formally introduced by Senator Schumer. As Members of this Committee have begun to get to know her in the past few weeks, it is clear Ms. White has an impressive resume. As the U.S. Attorney for the Southern District of New York, she was tough and respected. As a lawyer at Debevoise, she has an understanding of the complex issues facing the financial system. This is a critical time in the SEC’s history as it works on a range of rules and policy issues. These include the Volcker Rule, deriva- tives, credit rating agencies, hedge funds, standards for broker- dealers and investment advisers, corporate disclosures, market structure, the JOBS Act, and money market funds, just to name a few. Wall Street reform increased the SEC’s duties to better protect investors and oversee the market, but Congress has not increased the Commission’s budget enough to keep up. I look forward to learning more from Ms. White on how she will approach these chal- lenging issues. As we mark the 5-year anniversary of Bear Stearns’ failure this month, we are reminded why we need strong cops on the beat en- forcing our investor and consumer protection laws. I am pleased that the President has nominated Mary Jo White to lead the SEC and Richard Cordray to continue leading the CFPB. Both are well- qualified, thoughtful leaders who bring law enforcement experience to the job. As such, I hope we can move these nominees through the Committee in a timely manner. I now turn to Ranking Member Crapo for his opening statement. STATEMENT OF SENATOR MIKE CRAPO
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