Financial Services Industry: Hearings Before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred First Congress, Second Session, on H.R. 3054, H.R. 4441, and H.R. 5777, Bills to Provide for Self-regulation and to Improve the Disclosure to Customers of Investment Advisers, and to Amend the Federal Securities Laws to Equalize the Regulatory Treatment of Participants in the Securities Industry, July 11, 1990 Financial Services Industry Oversight ....U.S. Government Printing Office, 1991 - 812 lappuses |
Citi izdevumi - Skatīt visu
Bieži izmantoti vārdi un frāzes
accounts additional administrative advertising advice affiliates amended American AMERICAN BANKERS ASSOCIATION assets bank common trust Bank Holding Company bank's believe BHCA bill BOUCHER BREEDEN broker-dealers capital Chairman charge clients collective investment funds Committee common trust funds compensation competitive Comptroller Comptroller's proposal concerns conflicts of interest Congress consumers CPAs deposit insurance depository institution DIHC enforcement engage Exchange Act exemption existing FDIC fees fiduciary financial institutions financial planners financial services firewalls Glass-Steagall Act insurance agents investment adviser association Investment Advisers Act investment advisory Investment Company Act Investment Company Institute investors issue legislation loans McMILLEN mutual funds NAPFA NASAA NASD national banks national investment adviser operating permit person private right problems prohibit protection regulation regulatory restrictions right of action risk Section Securities Act securities activities securities firms Subcommittee subsidiaries thrift tion trust law U.S. banks underwriting violations