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 ....
United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance
U.S. Government Printing Office, 1991 - 812 lappuses
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abuse accounts action activities additional administrative advertising advice Advisers Act advisory affiliates allow amended American applicable appropriate assets association authority believe benefit bill BOUCHER capital Chairman charge clients collective investment funds Commission Committee common trust funds compensation competitive Comptroller concerns conduct Congress consumers continue costs court customers deposit insurance disclosure effect enforcement engage established Exchange exemption existing fact federal fees fiduciary financial planners financial planning financial services firms fraud going governing holding company important increase individuals industry institutions interest investment adviser investors issue legislation limited mutual funds national banks objective offer operating organization permit person powers practices present problems prohibit proposed protection question reason recommendations registered regulation regulatory requirements restrictions result risk rule securities specific standards statement structure Subcommittee term violations
707. lappuse - For purposes of this subtitle, the term "common trust fund" means a fund maintained by a bank (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...
439. lappuse - ... any device, scheme, or artifice to defraud any client or prospective client; (2) to engage in any transaction, practice, or course of business which operates as a fraud or deceit upon any client or prospective client...
243. lappuse - Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or otherwise in furtherance of the purposes of this title.
262. lappuse - ... so liable sustains the burden of proof that he did not know, and in the exercise of reasonable care could not have known, of the existence of the facts by reason of which the liability is alleged to exist. There is contribution as in cases of contract among the several persons so liable.
145. lappuse - The initial registration of such company on this form will be deemed to be filed under both the Securities Act of 1933 and the Investment Company Act of 1940 unless it is indicated that the filing is made only for the purpose of one of such acts.
9. lappuse - Mr. Chairman and Members of the Committee: It is my pleasure to appear before you today to bring you up to date on the good news about the Naval Reserve and to look ahead to the future. I will discuss my "report card" for the past year and present our program for Fiscal Year 1986.
266. lappuse - Investment adviser" means any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities...
655. lappuse - The rather simple evaluation: if it walks like a duck, quacks like a duck, and looks like a duck, it is a duck, no matter what you call it.