Reports on Banks Securities Activities of the Securities and Exchange Commission Pursuant to Section 11A(e) of the Securities and Exchange Act of 1934 (Public Law 94-29).U.S. Government Printing Office, 1977 - 549 lappuses |
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acquisition and divestiture administered advertising Amex associated persons Automatic Investment Service average bank customers bank or affiliate Bank Study Questionnaire bank's banks interviewed banks offering basis broker or dealer broker-dealers brokerage commissions brokers and dealers charges Comptroller Comptroller's corporate financing cost customer transaction service deductions deposit accounts dividend reinvestment plans employee benefit Employee Stock Purchase equity ESPPS Exchange Act Rule execution FDIC federal banking agencies Federal Reserve Board federal securities laws firms Glass-Steagall Act Initial Report insured investment management investors issuer lease financings ment merger Merrill Lynch million NASD national banks no-action non-bank affiliate number of banks optional cash payments orders original issue plans percent period procedures registered regulation Regulatory Differences respect Schedule SEC staff letter Section Securities Act self-regulatory organizations September 30 service fee Sharebuilder shares held shares purchased stock purchase plans Supp supra note tion trust assets York Stock Exchange
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141. lappuse - In recommending to a customer the purchase, sale or exchange of any security, a member shall have reasonable grounds for believing that the recommendation is suitable for such customer upon the basis of the facts, if any, disclosed by such customer as to his other security holdings and as to his financial situation and needs.
399. lappuse - common trust fund" means a fund maintained by a bank (as defined in section 104) — (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...
78. lappuse - ... under common control with, the person specified. (b) Control. The term "control" (including the terms "controlling", "controlled by" and "under common control with") means the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a person, whether through the ownership of voting securities, by contract...
236. lappuse - Commission with respect to registration, any statement which was at the time and in the light of the circumstances under which it was made false or misleading with respect to any material fact, or who has omitted to state in any such application or report any material fact which is required to be stated therein...
235. lappuse - Commission uuder this title, or in any proceeding before the Commission with respect to registration, any statement which was at the time and in the light of the circumstances under which it was made false or misleading with respect to any material fact, or...
236. lappuse - Judgment, or decree of any court of competent jurisdiction from acting as an investment adviser, underwriter, broker, or dealer, or as an affiliated person or employee of any investment company, bank, or insurance company, or from engaging in or continuing any conduct or practice in connection with any such activity, or in connection with the purchase or sale of any security...
119. lappuse - If (1) such broker or dealer, whether prior or subsequent to becoming such, or (2) any partner, officer, director, or branch manager of such broker or dealer (or any person occupying a similar status or performing similar functions), or any person directly or Indirectly controlling or controlled by such broker or dealer...
132. lappuse - A member, in the conduct of his business, shall observe high standards of commercial honor and just and equitable principles of trade.
199. lappuse - In the event of the failure of such bank the owners of the funds held in trust for investment shall have a lien on the bonds or other securities so set apart in addition to their claim against the estate of the bank.
199. lappuse - National bank shall receive in its trust department deposits of current funds subject to check or the deposit of checks, drafts, bills of exchange, or other items for collection or exchange purposes.