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 ....U.S. Government Printing Office, 1991 - 812 lappuses |
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accounts additional administrative advertising advice affiliates amended American AMERICAN BANKERS ASSOCIATION assets bank common trust Bank Holding Company bank's believe BHCA bill BOUCHER BREEDEN broker-dealers capital Chairman charge clients collective investment funds Committee common trust funds compensation competitive Comptroller Comptroller's proposal concern conflicts of interest Congress consumers CPAs deposit insurance depository institution DIHC enforcement engage Exchange Act exemption existing FDIC fees fiduciary financial institutions financial planners financial services firewalls Glass-Steagall Act insurance agents investment adviser association Investment Advisers Act investment advisory Investment Company Act Investment Company Institute investors issue legislation loans McMILLEN mutual funds NAPFA NASAA NASD national banks national investment adviser operating permit person private right problems prohibit protection regulation regulatory restrictions right of action risk Section Securities Act securities activities securities firms Subcommittee subsidiaries thrift tion trust law U.S. banks underwriting violations
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529. lappuse - ... 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.
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...
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.
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.
122. lappuse - The Investment Company Institute is the national association of the American investment company industry. Its membership includes 4,582 open-end investment companies ('mutual funds'), 433 closed-end investment companies and 13 sponsors of unit investment trusts.
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...
490. lappuse - ... reasonably expect to be completed with professional competence. B. Due Professional Care. Exercise due professional care in the performance of professional services. C. Planning and Supervision. Adequately plan and supervise the performance of professional services. D. Sufficient Relevant Data. Obtain sufficient relevant data to afford a reasonable basis for conclusions or recommendations in relation to any professional services performed.
594. 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...
724. lappuse - In a common trust fund maintained by the bank for the collective investment of cash balances received or held by a bank in its capacity as trustee, executor, administrator or guardian...
263. lappuse - The rights and remedies provided by this act are in addition to any other rights or remedies that may exist at law or in equity, but this act does not create any cause of action not specified in this section or section 202(e).