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 22
... sell nondeposit investment products or to provide investment advice with respect to such products are adequately trained with regard to the specific products being sold or recommended . " 26 / The Statement does not , however ...
... sell nondeposit investment products or to provide investment advice with respect to such products are adequately trained with regard to the specific products being sold or recommended . " 26 / The Statement does not , however ...
Página 38
... sell our funds through your branches and perhaps you'll have some of your sales people sell our funds in your branches . Ms. MARGOLIES - MEZVINSKY . But that is very different . Do you anticipate that many more will come ? Mr. BARBASH ...
... sell our funds through your branches and perhaps you'll have some of your sales people sell our funds in your branches . Ms. MARGOLIES - MEZVINSKY . But that is very different . Do you anticipate that many more will come ? Mr. BARBASH ...
Página 43
... sell for yourself before the deal is consummated because you know that the market is going to be affected . Mr. BARBASH . There are requirements under the securities laws , under the Investment Company Act , that would cover the bank ...
... sell for yourself before the deal is consummated because you know that the market is going to be affected . Mr. BARBASH . There are requirements under the securities laws , under the Investment Company Act , that would cover the bank ...
Página 56
... sell subordinated debentures , or bonds , through the Lincoln branch system . By February 1989 , ACC had sold over $ 220 million in bonds to investors . In April 1989 , ACC declared bankruptcy and Lincoln was placed into conservatorship ...
... sell subordinated debentures , or bonds , through the Lincoln branch system . By February 1989 , ACC had sold over $ 220 million in bonds to investors . In April 1989 , ACC declared bankruptcy and Lincoln was placed into conservatorship ...
Página 57
... selling behav- ior had the bond representatives worked in a more traditional bank environment . Cross selling by Lincoln employees , during much of the bond sales program Lincoln employees cross sold ACC bonds . For exam- ple , if a ...
... selling behav- ior had the bond representatives worked in a more traditional bank environment . Cross selling by Lincoln employees , during much of the bond sales program Lincoln employees cross sold ACC bonds . For exam- ple , if a ...
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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...