Proposed Mellon-Dreyfus Merger: Hearings Before the Subcommittee on Oversight and Investigations of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, Second Session, March 2 and 3, 1994, 4. sējumsU.S. Government Printing Office, 1994 - 972 lappuses |
No grāmatas satura
1.5. rezultāts no 100.
18. lappuse
... action for investors , 21 / and there is no banking law counterpart to the securities arbitration scheme for bank securities investors . Finally , banking agency enforcement programs historically have not emphasized investor protection ...
... action for investors , 21 / and there is no banking law counterpart to the securities arbitration scheme for bank securities investors . Finally , banking agency enforcement programs historically have not emphasized investor protection ...
41. lappuse
... action against ei- ther Mr. Frank Sly or the bank ? Mr. LEVITT . I suspect in the case of fraud you probably - you might have a private right of action . Mr. DINGELL . But I don't have the private right 41.
... action against ei- ther Mr. Frank Sly or the bank ? Mr. LEVITT . I suspect in the case of fraud you probably - you might have a private right of action . Mr. DINGELL . But I don't have the private right 41.
42. lappuse
... action that I would have under the securities laws ; do I ? Mr. LEVITT . No. I think that I would be very specific . Mr. DINGELL . Nor do I have the right to arbitration ; do I ? Mr. LEVITT . You have no right to arbitration . Mr ...
... action that I would have under the securities laws ; do I ? Mr. LEVITT . No. I think that I would be very specific . Mr. DINGELL . Nor do I have the right to arbitration ; do I ? Mr. LEVITT . You have no right to arbitration . Mr ...
48. lappuse
... action , which you brought against them , they would make a defense in saying that , " Our good friends at OCC ... actions , both in civil matters , but it would clearly constitute a defense in a criminal matter ; would it not ? Mr ...
... action , which you brought against them , they would make a defense in saying that , " Our good friends at OCC ... actions , both in civil matters , but it would clearly constitute a defense in a criminal matter ; would it not ? Mr ...
52. lappuse
... action for a civil money penalty in U.S. District Court obtaining a penalty of $ 750,000 for Citibank's failure to file timely missing securities re- ports . Mr. DINGELL . What is the difference then between the enforce- ment actions ...
... action for a civil money penalty in U.S. District Court obtaining a penalty of $ 750,000 for Citibank's failure to file timely missing securities re- ports . Mr. DINGELL . What is the difference then between the enforce- ment actions ...
Citi izdevumi - Skatīt visu
Bieži izmantoti vārdi un frāzes
accounts affiliates agencies American Continental annuities Arthur Levitt assets bank customers bank mutual fund bank's banking regulators broker-dealer brokerage Cahouet cancelled certificates capital certificates of deposit Chairman Citibank compliance Comptroller confusion CUSIPS Debentures December 31 deposit depository institution DINGELL disclosures Dreyfus Corporation Dreyfus Funds employees enforcement actions examination Exchange Act FDIC insured federal banking Federal Reserve federal securities laws fees filed Glass-Steagall Act guidelines holding company Interagency Statement interest investment adviser investment company involved issues letter LEVITT Lincoln Savings LUDWIG Mellon Bank Corporation Mellon-Dreyfus merger NASAA NASD National Bank nondeposit investment products Office operating subsidiary percent personnel procedures proposed prospectus purchase registered regulatory representatives requirements risk rules savings and loan SCHAEFER Section Securities and Exchange securities certificates sell SIPC sold staff Subcommittee teller third party transaction transfer agent uninsured products violations
Populāri fragmenti
419. lappuse - To exercise by its board of directors or duly authorized officers or agents, subject to law, all such incidental powers as shall be necessary to carry on the business of banking; by discounting and negotiating promissory notes, drafts, bills of exchange, and other evidences of debt; by receiving deposits; by buying and selling exchange, coin, and bullion; by loaning money on personal security; and by obtaining, issuing, and circulating notes according to the provisions of this title.
113. lappuse - These securities have not been approved or disapproved by the Securities and Exchange Commission nor has the Commission passed upon the accuracy or adequacy of this prospectus. Any representation to the contrary Is a criminal offense.
416. lappuse - Subsidiaries will be subject to substantial regulatory requirements under the federal securities laws, applicable state laws and the Rules of Fair Practice of the National Association of Securities Dealers, Inc.
27. lappuse - BEFORE THE SUBCOMMITTEE ON TELECOMMUNICATIONS AND FINANCE OF THE HOUSE COMMITTEE ON ENERGY AND COMMERCE...
422. lappuse - The business of dealing in securities and stock by the association shall be limited to purchasing and selling such securities and stock without recourse, solely upon the order, and for the account of, customers, and in no case for its own account, and the association shall not underwrite any issue of securities or stock...
667. lappuse - The four federal banking agencies the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, the Office of the Comptroller of the Currency, and the Office of Thrift Supervision are issuing this Statement to provide uniform guidance to depository institutions engaging in these activities.
427. lappuse - ... primarily engaged in the issue, flotation, underwriting, public sale, or distribution, at wholesale or retail, or through syndicate participation, of stocks, bonds, or other similar securities...
10. lappuse - Before the Subcommittee on Telecommunications and Finance of the House Committee on Energy and Commerce...
240. lappuse - The Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation...
327. lappuse - Directors has reasonable cause to believe that the bank is about to violate, a law, rule, or regulation, or any condition imposed in writing by the Board of Directors in connection with the granting of an application or other request...