Securities Regulatory Equality: Hearing Before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, Second Session, on H.R. 3447, a Bill to Amend the Federal Securities Laws to Equalize the Regulatory Treatment of Participants in the Securities Industry, April 14, 1994, Volumen4U.S. Government Printing Office, 1994 - 285 páginas |
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affiliated person American Bankers Association assets Association bank customers bank holding companies bank mutual fund bank premises bank securities activities banking organizations banking regulators banks and thrifts broker dealers brokerage firm certificates of deposit Chairman Commission conduct CONGRESS THE LIBRARY consumer Corporation custodian disclosure engage ensure examination exemptions federal banking agencies Federal Reserve federal securities laws fiduciary functional regulation Glass-Steagall Act guidelines Interagency Statement investment adviser Investment Advisers Act Investment Company Act Investment Company Institute investor protection issued LAWARE legislation Levitt LIBRARY OF CONGRESS Ludwig Mellon Mellon Bank municipal securities mutual fund activities mutual fund sales NASAA NASD national banks percent prohibit proprietary funds purchase registered broker-dealers requirements retail risk rules safety and soundness sales activities sales of mutual sales practices sales representative Section Securities Act securities firms securities regulators sell securities shareholders SIPC Subcommittee subsidiaries transactions underwriting
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Página 102 - 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...
Página 33 - See Stock Exchange Regulation: Hearings on HR 7852 and HR 8720 Before the House Comm. on Interstate and Foreign Commerce. 73d Cong., 2d Sess.
Página 207 - Bank securities are exempt from the registration requirements of the Securities Act of 1933, and banks are excluded from the definitions of "broker...
Página 40 - Board of Governors of the Federal Reserve System, Federal Deposit Insurance Corporation, Office of the Comptroller of the Currency, National Credit Union Administration, Office of Thrift Supervision, and the Department of Housing and Urban Development.
Página 105 - Part 5 operating subsidiary rules, which will permit subsidiaries of national banks to engage in activities that are "part of or incidental to the business of banking," but not permissible for the parent bank to engage in directly.
Página 252 - Securities and Exchange Commission (SEC) and the National Association of Securities Dealers (NASD), did not detect the undisclosed market timing arrangements and late trading abuses.
Página 187 - Chairman of the US Securities and Exchange Commission Before the Subcommittee on Securities of the Senate Committee on Banking and Urban Affairs, November 10, 1993.
Página 55 - SECURITIES AND EXCHANGE COMMISSION, BEFORE THE SUBCOMMITTEE ON TELECOMMUNICATIONS AND FINANCE OF THE HOUSE COMMITTEE ON ENERGY AND COMMERCE...
Página 232 - FDIC; • are not deposits or other obligations of the institution and are not guaranteed by the institution; and, • are subject to investment risks, including possible loss of the principal invested.
Página 182 - In addition, officers and employees of bank subsidiaries should be instructed not to express any opinion with respect to advisability of purchase of securities of any investment company for which the bank holding company acts as investment adviser. Customers of banks in a bank holding company system who request information on an unsolicited basis regarding any investment company for which the bank holding company acts as investment adviser may be furnished the name and address of the fund and its...