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

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407. 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.
390. lappuse - NASAA also is working with representatives of the Securities and Exchange Commission (SEC) and the National Association of Securities Dealers (NASD) to determine how we may best work together to protect consumers who purchase investment products on bank premises.
208. 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.
472. lappuse - Many forms of conduct permissible in a workaday world for those acting at arm's length, are forbidden to those bound by fiduciary ties. A trustee is held to something stricter than the morals of the market place. Not honesty alone, but the punctilio of an honor the most sensitive, is then the standard of behavior.
217. 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.
102. 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.
174. 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...
210. lappuse - ... willfully violated any provision of the Securities Act of 1933, the Securities Exchange Act of 1934...
14. 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.
378. lappuse - In this regard, if depository institution personnel recommend nondeposit investment products to customers, they should have reasonable grounds for believing that the specific product recommended is suitable for the particular customer on the basis of information disclosed by the customer.

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