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 4
United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations
U.S. Government Printing Office, 1994 - 972 pages
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accounts action activities addition adviser affiliates agencies American annuities applicable appropriate approval asked assets Association authority bank's believe bonds branch cancelled capital certificates Chairman Citibank Commission Company compliance Comptroller concerns confusion consumer continue Corporation customers Debentures December deposit DINGELL disclosures discuss Dreyfus employees enforcement engage examination Exchange FDIC federal going institution insured interest investment products investors involved issues laws letter Lincoln Savings loans LUDWIG matter Mellon Bank mutual funds National Bank nondeposit investment offered operating party person Policy practices problem procedures proposed prospectus protection purchase questions received regarding registered regulators regulatory representatives requirements respect response risk rules securities securities laws sell shares sold specific staff statement subsidiary suitability third transaction transfer understand uninsured violations
Page 419 - 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.
Page 416 - 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.
Page 27 - BEFORE THE SUBCOMMITTEE ON TELECOMMUNICATIONS AND FINANCE OF THE HOUSE COMMITTEE ON ENERGY AND COMMERCE...
Page 422 - 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...
Page 667 - 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.
Page 427 - ... 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...
Page 10 - Before the Subcommittee on Telecommunications and Finance of the House Committee on Energy and Commerce...
Page 240 - The Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation...