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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accounts affiliates agencies American Continental annuities Arthur Levitt assets bank customers bank mutual fund bank's banking regulators broker-dealer brokerage Cahouet cancelled certificates capital certificates of deposit Chairman Citibank compliance Comptroller confusion CUSIPS Debentures December 31 deposit depository institution DINGELL disclosures Dreyfus Corporation Dreyfus Funds employees enforcement actions examination Exchange Act FDIC insured federal banking Federal Reserve federal securities laws fees filed Glass-Steagall Act guidelines holding company Interagency Statement interest investment adviser investment company involved issues letter LEVITT Lincoln Savings LUDWIG Mellon Bank Corporation Mellon-Dreyfus merger NASAA NASD National Bank nondeposit investment products Office operating subsidiary percent personnel procedures proposed prospectus purchase registered regulatory representatives requirements risk rules savings and loan SCHAEFER Section Securities and Exchange securities certificates sell SIPC sold staff Subcommittee teller third party transaction transfer agent uninsured products violations
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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 113 - 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 416 - Subsidiaries will be subject to substantial regulatory requirements under the federal securities laws, applicable state laws and the Rules of Fair Practice of the National Association of Securities Dealers, Inc.
Página 27 - BEFORE THE SUBCOMMITTEE ON TELECOMMUNICATIONS AND FINANCE OF THE HOUSE COMMITTEE ON ENERGY AND COMMERCE...
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 667 - The four federal banking agencies — the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, the Office of the Comptroller of the Currency, and the Office of Thrift Supervision — are issuing this Statement to provide uniform guidance to depository institutions engaging in these activities.
Página 427 - ... primarily engaged in the issue, flotation, underwriting, public sale, or distribution, at wholesale or retail, or through syndicate participation, of stocks, bonds, or other similar securities...
Página 10 - Before the Subcommittee on Telecommunications and Finance of the House Committee on Energy and Commerce...
Página 240 - The Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation...
Página 327 - Directors has reasonable cause to believe that the bank is about to violate, a law, rule, or regulation, or any condition imposed in writing by the Board of Directors in connection with the granting of an application or other request...