Securities Activities of Commercial Banks, Hearings Before the Subcommitteeon Securities of ...,94-1 ...,December 9 and 10,1975.110:1:United States: Congress, 22-23권1975 - 454페이지 |
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... issues .. Section II - Automatic investment services_ A. Description_ .. B. Securities laws_ C. Banking laws and regulations . D. Recent developments_ E. Questions and issues . Section III - Individual portfolio management services_ A ...
... issues .. Section II - Automatic investment services_ A. Description_ .. B. Securities laws_ C. Banking laws and regulations . D. Recent developments_ E. Questions and issues . Section III - Individual portfolio management services_ A ...
페이지
... issues . Section V - Tax - benefited retirement plans- 199 199 200 200 201 201 202 A. Description_ .. 202 1. Keogh plans --- 203 2. Individual retirement accounts . 203 B. Securities laws___ 203 1. Keogh plans-- 203 2. Individual ...
... issues . Section V - Tax - benefited retirement plans- 199 199 200 200 201 201 202 A. Description_ .. 202 1. Keogh plans --- 203 2. Individual retirement accounts . 203 B. Securities laws___ 203 1. Keogh plans-- 203 2. Individual ...
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Congress. Treasury Department - Continued Issues paper titled " Public Policy Aspects of Bank Securities Activ- Page ities " Continued III . Description of current activities of commercial banks in the securities area .. Agency- or ...
Congress. Treasury Department - Continued Issues paper titled " Public Policy Aspects of Bank Securities Activ- Page ities " Continued III . Description of current activities of commercial banks in the securities area .. Agency- or ...
2 페이지
... issue is the con- cern as to whether these exemptions deprive investors , and particu- larly small investors , of the necessary protections of the securities laws . Many of the regulatory problems pertaining to securities and in ...
... issue is the con- cern as to whether these exemptions deprive investors , and particu- larly small investors , of the necessary protections of the securities laws . Many of the regulatory problems pertaining to securities and in ...
3 페이지
... issues raised in connection with the subcommittee's study of the securities activities of commercial banks . The study outline prepared by the subcommittee indicates a desire to reexamine the provisions of Federal banking and securities ...
... issues raised in connection with the subcommittee's study of the securities activities of commercial banks . The study outline prepared by the subcommittee indicates a desire to reexamine the provisions of Federal banking and securities ...
자주 나오는 단어 및 구문
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
인기 인용구
59 페이지 - 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.
209 페이지 - 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...
148 페이지 - 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...
216 페이지 - broker" is a person lawfully engaged in the business of effecting transactions in securities for the account of others.
208 페이지 - 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.
216 페이지 - States; such securities issued or guaranteed by corporations in which the United States has a direct or indirect interest...
214 페이지 - ... controls in any manner the election of a majority of its directors, trustees, or other persons exercising similar functions...
219 페이지 - ... cooperative association as defined in the Agricultural Marketing Act, approved June 15, 1929, as amended...
216 페이지 - 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.
219 페이지 - ... 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...