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. sējumsU.S. Government Printing Office, 1994 - 525 lappuses |
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AARP accounts advertising affiliated American Bankers Association annuities appropriate bank customers bank employees bank holding companies bank mutual fund bank sales bank's banking industry banking regulators beneficiaries broker broker-dealers certificates of deposit Chairman NEAL compliance CONGRESS THE LIBRARY consumer customer confusion depository institutions disclosure FDIC insured federal banking agencies Federal Deposit Insurance federal securities laws fees fiduciary financial institutions fund shares fund's Glass-Steagall Act GUIDELINES FOR BANKS income industry guidelines Interagency Statement investment adviser Investment Company Act Investment Company Institute issues mutual fund activities mutual fund industry mutual fund sales NASAA NASD national banks nondeposit investment products offer percent personnel policies portfolio procedures purchase referral regulatory requirements RETAIL INVESTMENT SALES retail sales risk sale of uninsured sales activities sales of mutual sales of nondeposit SCBA sell mutual funds shareholders SIPC Subcommittee subsidiary survey tellers third-party thrifts trust trust instrument uninsured products
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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.
222. lappuse - A member, in the conduct of his business, shall observe high standards of commercial honor and just and equitable principles of trade.
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...
12. lappuse - I commend the committee for the start, and I would be glad to answer questions at the appropriate time. [The prepared statement of Mr.