Proposed Mellon-Dreyfus Merger: Hearings Before the Subcommittee on Oversight and Investigations of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, Second Session, March 2 and 3, 1994, Volumen4U.S. Government Printing Office, 1994 - 972 páginas |
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Página 15
... employees and bank examiners receive specific training in the securities laws and practices of the securities markets . Finally , the Commission recommended that the federal banking agencies be required to consult regularly with the ...
... employees and bank examiners receive specific training in the securities laws and practices of the securities markets . Finally , the Commission recommended that the federal banking agencies be required to consult regularly with the ...
Página 20
... employees delayed designating the account for which trades were conducted until after the trades were executed and then allocated more favorable trades to a private profit - sharing plan for the adviser's employees and less favorable ...
... employees delayed designating the account for which trades were conducted until after the trades were executed and then allocated more favorable trades to a private profit - sharing plan for the adviser's employees and less favorable ...
Página 28
... employee of a bank that acts as custodian to a transfer agent . H.R. 3447 would also allow the Commission to include ... employees of any one bank who may be members of an investment company's board of directors . C. Common Trust Funds ...
... employee of a bank that acts as custodian to a transfer agent . H.R. 3447 would also allow the Commission to include ... employees of any one bank who may be members of an investment company's board of directors . C. Common Trust Funds ...
Página 57
... employees had previously worked , bond representatives on occasion ended up working in the same branch where they had previously been a teller or other Lincoln employee . Use of inexperienced bond sales representatives , ACC typically ...
... employees had previously worked , bond representatives on occasion ended up working in the same branch where they had previously been a teller or other Lincoln employee . Use of inexperienced bond sales representatives , ACC typically ...
Página 58
... employees based on bond sales . To encourage bond sales branch - wide goals for the sale of bonds were frequently set . Often , if those goals were met , a bonus would be paid to all employees of the branch . Bonuses included cash ...
... employees based on bond sales . To encourage bond sales branch - wide goals for the sale of bonds were frequently set . Often , if those goals were met , a bonus would be paid to all employees of the branch . Bonuses included cash ...
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Términos y frases comunes
accounts affiliates annuities applicable appropriate approval Arthur Levitt assets bank customers bank holding company bank securities activities bank's banking regulators bonds broker broker-dealers brokerage Cahouet cancelled certificates capital Chairman Citibank compliance Comptroller consumer CUSIPS Dan Schaefer Debentures December 31 depository institution deposits DINGELL disclosures Dreyfus Corporation Dreyfus Funds enforcement actions engage entities examination Exchange Act federal banking laws Federal Reserve federal securities laws fiduciary filed Glass-Steagall Act guidelines Interagency Statement investment advisers investment company involved issues letter LEVITT Lincoln Savings LUDWIG Mellon Bank Corporation merger mutual funds NASD national banks nondeposit investment products OCC's Office operating subsidiary oversight personnel policies and procedures proposed prospectus purchase pursuant registered regulatory requirements risk rules safety and soundness sales of mutual SCHAEFER Section Securities and Exchange sell SIPC sold staff Subcommittee third party transaction transfer agent underwriting uninsured products violations
Pasajes populares
Página 419 - To exercise by its board of directors or duly authorized officers or agents, subject to law, all such incidental powers as shall be necessary to carry on the business of banking; by discounting and negotiating promissory notes, drafts, bills of exchange, and other evidences of debt; by receiving deposits; by buying and selling exchange, coin, and bullion; by loaning money on personal security; and by obtaining, issuing, and circulating notes according to the provisions of this title.
Página 749 - In recommending to a customer the purchase, sale or exchange of any security, a member shall have reasonable grounds for believing that the recommendation is suitable for such customer upon the basis of the facts, if any, disclosed by such customer as to his other security holdings and as to his financial situation and needs.
Página 121 - These securities have not been approved or disapproved by the Securities and Exchange Commission nor has the Commission passed upon the accuracy or adequacy of this prospectus. Any representation to the contrary Is a criminal offense.
Página 29 - BEFORE THE SUBCOMMITTEE ON TELECOMMUNICATIONS AND FINANCE OF THE HOUSE COMMITTEE ON ENERGY AND COMMERCE...
Página 739 - Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940...
Página 611 - ... review and study, on a continuing basis, the application, administration, and execution of those laws, or parts of laws, the subject matter of which is within the jurisdiction of that committee.
Página 313 - SEC and the rules of Fair Practice of the National Association of Securities Dealers...
Página 422 - The business of dealing in securities and stock by the association shall be limited to purchasing and selling such securities and stock without recourse, solely upon the order, and for the account of, customers, and in no case for its own account, and the association shall not underwrite any issue of securities or stock...
Página 611 - ... within the jurisdiction of that committee, and the organization and operation of the Federal agencies and entities having responsibilities in or for the administration and execution thereof, in order to determine whether such laws and the programs thereunder are being implemented and carried out in accordance with the intent of the Congress and whether such programs should be continued, curtailed, or eliminated. In addition, each such committee shall review and study any conditions or circumstances...
Página 635 - Federal financial institutions regulatory agencies" means the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, the Office of the Comptroller of the Currency, the Office of Thrift Supervision, the National Credit Union Administration, the Resolution Trust Corporation, the Federal National Mortgage Association, and the Federal Home Loan Mortgage Corporation. "Federally related transaction...