Securities Activities of Commercial Banks, Hearings Before the Subcommitteeon Securities of ...,94-1 ...,December 9 and 10,1975.110:1:United States: Congress, Volúmenes22-231975 - 454 páginas |
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Página 2
... exempt from all but the antifraud sections of the Federal securities laws . At issue is the con- cern as to whether these exemptions deprive investors , and particu- larly small investors , of the necessary protections of the securities ...
... exempt from all but the antifraud sections of the Federal securities laws . At issue is the con- cern as to whether these exemptions deprive investors , and particu- larly small investors , of the necessary protections of the securities ...
Página 12
... exemption of the Securities Act to avoid the burden and costs of full registration . Senator WILLIAMS . What are the reasons for these restrictions ? Is protection against conflicts , protection against undue economic con- centration ...
... exemption of the Securities Act to avoid the burden and costs of full registration . Senator WILLIAMS . What are the reasons for these restrictions ? Is protection against conflicts , protection against undue economic con- centration ...
Página 32
... exemption for banks in the Investment Advisers Act of 1940 , these banks have not registered as investment advisers with the Securities and Exchange Commission . In other cases , banks have operated as investment advisers through ...
... exemption for banks in the Investment Advisers Act of 1940 , these banks have not registered as investment advisers with the Securities and Exchange Commission . In other cases , banks have operated as investment advisers through ...
Página 58
... exempt Bond Market , " The Journal of Political Economy , vol . 79 , no . 4 ( July / August 1971 ) ; and Wm . Paul Smith , Commercial Bank Entry into Revenue Bond Underwriting ; Competitive Impact & Public Benefits , Washington , D.C ...
... exempt Bond Market , " The Journal of Political Economy , vol . 79 , no . 4 ( July / August 1971 ) ; and Wm . Paul Smith , Commercial Bank Entry into Revenue Bond Underwriting ; Competitive Impact & Public Benefits , Washington , D.C ...
Página 100
... exemptions from certain pro- visions of the federal securities laws , 31 / and ( b ) regular com- mercial banking activities . In this regard , the submissions speci- fied ( a ) qualification and training standards for personnel , 32 ...
... exemptions from certain pro- visions of the federal securities laws , 31 / and ( b ) regular com- mercial banking activities . In this regard , the submissions speci- fied ( a ) qualification and training standards for personnel , 32 ...
Términos y frases comunes
advisory services agency accounts assets automatic investment services bank holding companies bank participation bank securities activities bank's Bankers banking activities banking industry banking system banks offering broker broker-dealer capital markets Chairman CIRT Clearing House commercial banks Committee common trust fund competition Comptroller conflicts of interest Cong Congress corporate Currency customers dealer dividend reinvestment plans economic examination exemption Federal Reserve System Federal securities laws fiduciary Glass-Steagall Act individual retirement accounts Investment Advisers Act investment advisory investment banking Investment Company Act Investment Company Institute investment management IRA trusts issuer issues Keogh Plans legislation loans ment Merrill Lynch municipal mutual fund NASD national banks NYSE operation permitted potential private placements prohibited purchase questions registered regulation regulatory requirements revenue bonds Securities Act securities and investment securities business securities industry securities markets security affiliates Security Pacific Senator WILLIAMS Study Outline Subcommittee tion transactions Trust Company trust department underwriting violations
Pasajes populares
Página 59 - 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 209 - The limitations and restrictions herein contained as to dealing in, underwriting and purchasing for its own account, investment securities shall not apply to obligations of the United States, or general obligations of any State or of any political subdivision thereof, or obligations issued under authority of the Federal Farm Loan Act, as amended, or issued by the thirteen banks for cooperatives or any of them or the Federal Home Loan Banks...
Página 148 - common trust fund" means a fund maintained by a bank (as defined in section 104) — (1) exclusively for the collective investment and reinvestment of moneys contributed thereto by the bank in its capacity as a trustee, executor, administrator, or guardian...
Página 216 - broker" is a person lawfully engaged in the business of effecting transactions in securities for the account of others.
Página 208 - Seventh. To exercise by its board of directors, or duly authorized officers or agents, all powers specifically granted by the provisions of this Act and such incidental, powers as shall be necessary to carry on the business of banking within the limitations prescribed by this Act.
Página 216 - States; such securities issued or guaranteed by corporations in which the United States has a direct or indirect interest...
Página 214 - ... controls in any manner the election of a majority of its directors, trustees, or other persons exercising similar functions...
Página 219 - ... cooperative association as defined in the Agricultural Marketing Act, approved June 15, 1929, as amended...
Página 216 - System shall, by such rules and regulations as it may deem necessary or appropriate in the public interest or for the protection of investors, exempt, either unconditionally or upon specified terms and conditions or for stated periods, from the operation of this subsection and the rules and regulations thereunder.
Página 219 - ... on which the issuer has total assets exceeding $1,000,000 and a class of equity security (other than an exempted security) held of record by...