Compilation of Securities Laws Within the Jurisdiction of the Committee on Financial Services: Including Securities Act of 1933, Securities Exchange Act of 1934 ..., Volumen4U.S. Government Printing Office, 2001 |
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Página 10
... trustee in bankruptcy , with the approval of the court ; ( 8 ) Any insurance or endowment policy or annuity contract or optional annuity contract , issued by a corporation subject to the supervision of the insurance commissioner , bank ...
... trustee in bankruptcy , with the approval of the court ; ( 8 ) Any insurance or endowment policy or annuity contract or optional annuity contract , issued by a corporation subject to the supervision of the insurance commissioner , bank ...
Página 28
... TRUSTEES . - Notwithstanding sub- section ( b ) or ( c ) , a covered class action that seeks to enforce a contractual agreement between an issuer and an indenture trustee may be maintained in a State or Federal court by a party to the ...
... TRUSTEES . - Notwithstanding sub- section ( b ) or ( c ) , a covered class action that seeks to enforce a contractual agreement between an issuer and an indenture trustee may be maintained in a State or Federal court by a party to the ...
Página 65
... trustee capacity , or effects transactions in a fiduciary capacity in its trust department or other department that is regularly examined by bank exam- iners for compliance with fiduciary principles and standards , and- ( I ) is chiefly ...
... trustee capacity , or effects transactions in a fiduciary capacity in its trust department or other department that is regularly examined by bank exam- iners for compliance with fiduciary principles and standards , and- ( I ) is chiefly ...
Página 69
... trustee , executor , adminis- trator , registrar of stocks and bonds , transfer agent , guardian , assignee , receiver , or custodian under a uni- form gift to minor act , or as an investment adviser if the bank receives a fee for its ...
... trustee , executor , adminis- trator , registrar of stocks and bonds , transfer agent , guardian , assignee , receiver , or custodian under a uni- form gift to minor act , or as an investment adviser if the bank receives a fee for its ...
Página 70
... TRUSTEE , AND FIDUCIARY TRANS- ACTIONS . - The bank buys or sells securities for invest- ment purposes- ( I ) for the bank ; or ( II ) for accounts for which the bank acts as a trustee or fiduciary . ( iii ) ASSET - BACKED TRANSACTIONS ...
... TRUSTEE , AND FIDUCIARY TRANS- ACTIONS . - The bank buys or sells securities for invest- ment purposes- ( I ) for the bank ; or ( II ) for accounts for which the bank acts as a trustee or fiduciary . ( iii ) ASSET - BACKED TRANSACTIONS ...
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Términos y frases comunes
action affiliate amount application appropriate regulatory agency assets authority bank holding company Board broker or dealer business development company centum certificate clearing agency Commission Commodity Commodity Exchange Act contract court deemed defined in section determines directors effect employee exempt Federal Reserve System filed financial institution foreign government securities broker government securities dealer Gramm-Leach-Bliley Act holders indenture securities investment adviser issuer jurisdiction ment municipal securities dealer national securities exchange necessary or appropriate pany paragraph participant payment penny stock prescribe protection of investors provisions public interest purchase purposes pursuant to section records registered investment company registration statement respect rities rule or regulation rules and regulations secu Securities Act Securities Exchange Act security futures product self-regulatory organization sion SIPC specified subparagraph subsection subsidiary term thereof tion trading transaction trustee underwriter unit investment trust United States Code violation