PDF《IN THE》

Rubber Co. v. Bruch,

489 U.S.

101 (1989)29 Forsythe v. Sun Life Fin., Inc.,

417 F.Supp.2d

100 (D. Mass. 2006)28 Galfand v. Chestnutt Corp.,

545 F.2d

807 (2d Cir. 1976)16 Gallus v. Ameriprise Fin. Inc.,

561 F.3d

816 (8th Cir. 2009)passim Gartenberg v. Merrill Lynch Asset Mgmt., Inc.,

694 F.2d

923 (2d Cir. 1982)passim Grutter v. Bollinger,

539 U.S.

306 (2003)9 In re Dreyfus Mut. Funds Fee Litig.,

428 F. Supp. 2d

342 (D. Pa. 2005)28 vi Jones v. Harris Assocs. L.P.,

527 F.3d

627 (7th Cir. 2008)passim Kalish v. Franklin Advisers, Inc.,

742 F. Supp.

1222 (S.D.N.Y. 1990)32 Krantz v. Prudential Invs. Fund Mgmt. L.L.C.,

305 F.3d

140 (3d Cir. 2002)28 LaRue v. DeWolff, Boberg &

Assocs.,

552 U.S. __,

128 S.Ct.

1020 (2008)2 Merrill Lynch, Pierce, Fenner &

Smith v. Dabit,

547 U.S.

71 (2006)2 Migdal v. Rowe Price-Fleming Int'

l, Inc.,

248 F.3d

321 (4th Cir. 2001)28,

32 NLRB v. Amax Coal Co.,

453 U.S.

322 (1980)29 Plyler v. Doe,

457 U.S.

202 (1982)9 SEC v. Edwards,

540 U.S.

389 (2004)2 SEC v. Zandford,

535 U.S.

813 (2002)2 Sins v. Janus Capital Mgmt., L.L.C.,

2006 WL

3746130 (D. Colo. 2006)28 vii Stoneridge Inv. Partners, LLC v. Scientific-Atlanta,

128 S. Ct.

761 (2008)2 Strigliabotti v. Franklin Res., Inc.,

2005 WL

645529 (N.D. Cal. 2005)28 Varity Corp. v. Howe,

516 U.S.

489 (1996)2 Zucker v. Aim Advisors, Inc.

371 F. Supp. 2d

845 (S.D. Tex. 2005)28 FEDERAL STATUTES AND LEGISLATIVE HISTORY Internal Revenue Code IRC § 529,

26 U.S.C. § 529.9 The Investment Company Act of

1940 (ICA) § 36,

15 U.S.C. § 80a-1 et seq.27 Investment Company Amendments Act of 1970, § 36(b),

15 U.S.C. § 80a-35(b)passim § 36(b)(1),

15 U.S.C. § 80a-35(b)(1)28 S. Rep. No. 91-184, 91st Cong., 2d Sess. (1969), as reprinted in

1970 U.S.C.C.A.N. 4897.16, 31, 32,

35 Report of the Securities and Exchange Commission on the Public Policy Implications of Investment Company Growth, H.R.Rep. No. 2337, 89th Cong., 2d Sess. (1966)17 viii Role of Indep. Dirs. of Inv. Cos., Securities Act Release No. 33-7754 [1999-2000 Transfer Binder] Fed. Sec. L. Rep. (CCH) (Oct. 14, 1999)25 OTHER AUTHORITIES AARP, COMPARISON OF 401(K) PARTICIPANTS'

UNDERSTANDING OF MODEL FEE DISCLOSURE FORMS DEVELOPED BY THE DEPARTMENT OF LABOR AND AARP (2008)23 William A. Birdthistle, Compensating Power: An Analysis of Rents and Rewards in the Mutual Fund Industry,

80 TUL. L. REV.

1401 (2006) ...

5 John C. Bogle, Lecture, A New Order of Things: Bringing Mutuality to the Mutual Fund,

43 WAKE FOREST L. REV.

1089 (2008)14 John C. Bogle, Honing the Competitive Edge in Mutual Funds, Remarks Before the Smithsonian Forum

5 (Mar. 23, 1999) (transcript on file with the authors)25 Strengthening Worker Retirement Security: Before the H. Comm. On Education and Labor, 111th Cong.

5 (2009) (statement of John C. Bogle, Founder and Former Chief Executive of the Vanguard Group), available at http://edlabor.house.gov/documents/111/pdf/ testimony/20090224JohnBogle Testimony.pdf.7, 12,

24 ix Mercer E. Bullard, The Mutual Fund Summit: Context and Commentary,

73 MISS. L.J.

1129 (2004)18 Mercer E. Bullard, The Visible Hand In Government- Sponsored Financial Services: Why States Should Not Be Allowed to Offer

529 Plans,

74 U. CIN. L. REV.

1265 (2006)9, 10,

21 Are Hidden 401(k) Fees Undermining Retirement Security?: Hearing Before the H. Comm. On Education &

Labor, 110th Cong. (2007) (testimony of Stephen J. Butler, President of Pension Dynamics Corporation, Author and Weekly Financial Columnist on Undermining Worker'