Annual Financial Services Institute, Volume 1Practising Law Institute, 1985 - Banking law |
Contents
CONTENTS | 9 |
Current Bank Brokerage and Other Securities | 19 |
III | 28 |
Copyright | |
24 other sections not shown
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Common terms and phrases
adviser advisor agency agent Agreement application approved Association authority bank holding companies bank's Banking Act Board of Governors bonds branch brokerage services brokered deposits BTCo Capital T Account certificates of deposit Citibank collective investment collective investment fund commercial banks commercial paper Commission common trust funds Comptroller Comptroller's Congress corporate customers deposit broker discount brokerage distribution employees engaged ERISA exemption FDIC Federal Reserve System fiduciary financial planners Glass-Steagall Act institutions insured nonmember bank investment advice investment company Investment Company Institute investment fund investors IRA trust issue issuer joint venture limited loan McFadden Act ment Merrill Lynch money market Mortgage mutual fund national banks offered operation paragraph participation permitted plaintiff Portfolio principal prohibited proposed purchase pursuant registered restrictions rule Schwab Section 16 securities activities selling shares statute subsidiary or affiliate tion transactions trust assets trust department underwriting violation