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, Volume 4U.S. Government Printing Office, 1994 - 972 pages |
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accounts affiliates annuities applicable appropriate approval Arthur Levitt assets bank customers bank holding company bank's banking regulators bonds broker broker-dealers brokerage Cahouet cancelled certificates capital Chairman Citibank compliance Comptroller CONGRESS THE LIBRARY consumer CUSIPS Dan Schaefer Debentures December 31 depository institution deposits DINGELL disclosures Dreyfus Corporation Dreyfus Funds enforcement actions engage entity examination Exchange Act FDIC insurance federal banking laws Federal Reserve federal securities laws fiduciary filed Glass-Steagall Act guidelines Interagency Statement investment adviser investment company involved issues letter LEVITT Lincoln Savings LUDWIG Mellon Bank Corporation merger mutual funds NASD national banks nondeposit investment products OCC's Office operating subsidiary oversight personnel policies and procedures proposed prospectus purchase pursuant regulatory requirements risk rules safety and soundness SCHAEFER Section Securities and Exchange sell SIPC sold staff Subcommittee third party transaction transfer agent underwriting uninsured products violations
Popular passages
Page 277 - 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...
Page 755 - 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.
Page 117 - 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.
Page 25 - BEFORE THE SUBCOMMITTEE ON TELECOMMUNICATIONS AND FINANCE OF THE HOUSE COMMITTEE ON ENERGY AND COMMERCE...
Page 418 - 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...
Page 471 - SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the bank has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
Page 670 - ... law, funds held by a national bank as fiduciary shall not be invested in stock or obligations of, or property acquired from, the bank or its directors, officers, or employees...
Page 309 - SEC and the rules of Fair Practice of the National Association of Securities Dealers...
Page 631 - Federal financial institutions regulatory agencies" means the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, the Office of the Comptroller of the Currency, the Office of Thrift Supervision, the National Credit Union Administration, the Resolution Trust Corporation, the Federal National Mortgage Association, and the Federal Home Loan Mortgage Corporation. "Federally related transaction...
Page 246 - The Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation...