Bank Sales of Mutual Funds: Hearing Before the Subcommittee on Financial Institutions Supervision, Regulation, and Deposit Insurance of the Committee on Banking, Finance, and Urban Affairs, House of Representatives, One Hundred Third Congress, Second Session, March 8, 1994, 4. sējums
United States, United States. Congress. House. Committee on Banking, Finance, and Urban Affairs. Subcommittee on Financial Institutions Supervision, Regulation, and Deposit Insurance
U.S. Government Printing Office, 1994 - 525 lappuses
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accounts action activities addition advertising adviser affiliated agencies American annuities applicable appropriate assets Association bank bank's Bankers believe beneficiaries Board bond broker broker-dealers brokerage Chairman NEAL charged common concerns conducted confusion CONGRESS consumer corporate customers deposit deposit insurance depository institutions disclosure efforts employees examination example fact FDIC federal banking fees going guidelines holding important income increased individual industry insured interest Investment Company investors involved issues laws LIBRARY mutual funds NASD nondeposit investment products offer percent person policies practices principal procedures protection purchase question rates receive recent regarding registered regulators regulatory representative requirements responsibility result retail risk rules sales of mutual savings securities sell serve shares sold standards statement survey trust trust instrument understand uninsured products
429. lappuse - These rules are designed to ensure that brokers observe high standards of commercial honor and just and equitable principles of fair trade in the conduct of their business.
223. lappuse - In recommending to a customer the purchase, sale, or exchange of any security, a member shall have reasonable grounds for believing that the recommendation is suitable for such customer upon the basis of the facts, if any, disclosed by such customer as to his other security holdings and as to his financial situation and needs.
206. lappuse - These guidelines are intended to work in tandem with the rules of the Securities and Exchange Commission ("SEC") and the National Association of Securities Dealers, Inc. ("NASD"), to the extent those rules are applicable.
215. lappuse - An investment in the Fund is not insured or guaranteed by the Federal Deposit Insurance Corporation or any other government agency. Although the Fund seeks to preserve the value of your investment at $1.00 per share, it is possible to lose money by investing in the Fund.
100. lappuse - ... conducts business pursuant to independent policies and procedures designed to inform customers and prospective customers of the affiliate that the affiliate is a separate organization from the bank and that investments recommended, offered or sold by the affiliate are not bank deposits, are not insured by the FDIC, and are not guaranteed by the bank nor are otherwise obligations of the bank.
172. lappuse - ... respect to such products are adequately trained with regard to the specific products being sold or recommended. Training should not be limited to sales methods, but should impart a thorough knowledge of the products involved, of applicable legal restrictions, and of customer protection requirements. If depository institution personnel sell or recommend securities, the training should be the substantive equivalent of that required for personnel qualified to sell securities as registered representatives.5...
236. lappuse - Title 9 of the California Code of Civil Procedure. Judgment upon the award of the arbitrator(s) may be entered in any court having jurisdiction.
208. lappuse - ... willfully violated any provision of the Securities Act of 1933, the Securities Exchange Act of 1934...