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 93.
1. lappuse
... suitability considerations , the creation of conflicts of interest , lack of adequate safeguards , protection of consumers , and careful and appropriate regard for the public interest . As the SEC will testify today , bank mutual fund ...
... suitability considerations , the creation of conflicts of interest , lack of adequate safeguards , protection of consumers , and careful and appropriate regard for the public interest . As the SEC will testify today , bank mutual fund ...
7. lappuse
... suitability and sales practice rules , and financial responsibility requirements to banks and bank employees involved in securities sales . The bill would also address the conflicts of interest between banks and their affiliated ...
... suitability and sales practice rules , and financial responsibility requirements to banks and bank employees involved in securities sales . The bill would also address the conflicts of interest between banks and their affiliated ...
13. lappuse
... suitability considerations when they recommend investments . See " Should You Buy Mutual Funds from Your Bank ? " , Consumer Reports , March 1994 , at 148 ; S. Lipin , " U.S. Warns Banks on Failure to Comply with Guidelines in Selling ...
... suitability considerations when they recommend investments . See " Should You Buy Mutual Funds from Your Bank ? " , Consumer Reports , March 1994 , at 148 ; S. Lipin , " U.S. Warns Banks on Failure to Comply with Guidelines in Selling ...
17. lappuse
... , " American Banker , Jan. 31 , 1994 , at 18 ; see also " GAO to Send Banks Questionnaire on Mutual Fund Activity , " Wall Street Letter , Feb. 14 , 1994 , at 7 . 11 qualification , suitability , and other sales practice issues 17.
... , " American Banker , Jan. 31 , 1994 , at 18 ; see also " GAO to Send Banks Questionnaire on Mutual Fund Activity , " Wall Street Letter , Feb. 14 , 1994 , at 7 . 11 qualification , suitability , and other sales practice issues 17.
18. lappuse
... suitability , and other sales practice issues . 20 / For example , federal banking law contains no counterpart to the testing and qualifications programs ( e.g. , the Series 7 examination ) administered by the securities self ...
... suitability , and other sales practice issues . 20 / For example , federal banking law contains no counterpart to the testing and qualifications programs ( e.g. , the Series 7 examination ) administered by the securities self ...
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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...