Securities Activities of Commercial Banks, Hearings Before the Subcommitteeon Securities of ...,94-1 ...,December 9 and 10,1975.110:1:United States: Congress, 22-23±Ç1975 - 454ÆäÀÌÁö |
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... specific hearings and analytical work . I am , therefore , hopeful that we can continue in the future as we have in the past , to work in harmony with all agencies and interested persons in order to advance our common paramount goals ...
... specific hearings and analytical work . I am , therefore , hopeful that we can continue in the future as we have in the past , to work in harmony with all agencies and interested persons in order to advance our common paramount goals ...
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... specific activity was excluded from the prohibitions under the act at that time and I guess what I'm saying is that it's my personal view that such an ac- tivity is appropriate . I don't see at this time any need to expand the scope of ...
... specific activity was excluded from the prohibitions under the act at that time and I guess what I'm saying is that it's my personal view that such an ac- tivity is appropriate . I don't see at this time any need to expand the scope of ...
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... specific legislation but performance would be reviewed in light of common law standards ap- plicable to fiduciaries , such as the prudent man rule . Again , these are traditional functions that have been performed by trust departments ...
... specific legislation but performance would be reviewed in light of common law standards ap- plicable to fiduciaries , such as the prudent man rule . Again , these are traditional functions that have been performed by trust departments ...
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... it is also clear that the competition isn't nearly equal because of the absence of law in one area and the presence of law in another area . You were here . Did that impress you ? Mr. YEO . Yes . Well , take the specific 20.
... it is also clear that the competition isn't nearly equal because of the absence of law in one area and the presence of law in another area . You were here . Did that impress you ? Mr. YEO . Yes . Well , take the specific 20.
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Congress. Mr. YEO . Yes . Well , take the specific matter of custodial accounts . They are , on the basis of my experience , reviewed as part of the ex- amination procedure by the relevant banking regulatory agency . So that I would ...
Congress. Mr. YEO . Yes . Well , take the specific matter of custodial accounts . They are , on the basis of my experience , reviewed as part of the ex- amination procedure by the relevant banking regulatory agency . So that I would ...
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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
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59 ÆäÀÌÁö - 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 ÆäÀÌÁö - 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 ÆäÀÌÁö - 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 ÆäÀÌÁö - broker" is a person lawfully engaged in the business of effecting transactions in securities for the account of others.
208 ÆäÀÌÁö - 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 ÆäÀÌÁö - States; such securities issued or guaranteed by corporations in which the United States has a direct or indirect interest...
214 ÆäÀÌÁö - ... controls in any manner the election of a majority of its directors, trustees, or other persons exercising similar functions...
219 ÆäÀÌÁö - ... cooperative association as defined in the Agricultural Marketing Act, approved June 15, 1929, as amended...
216 ÆäÀÌÁö - 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 ÆäÀÌÁö - ... 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...