Business practices of FDIC-insured institutions selling nondeposit investment products: hearing before the Subcommittee on Capital Markets, Securities, and Government Sponsored Enterprises of the Committee on Banking and Financial Services, House of Representatives, One Hundred Fourth Congress, second session, June 26, 1996, Volume 4
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Barbash Barry Director Division of Investment Management U S Securi
Wert James W Senior Executive Vice President and Chief Investment Offi
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ABASA annuities appropriate assets Association bank affiliated bank customers bank employees bank premises bank sales Bankers banking agencies banking regulators banks and thrifts Barbash broker broker-dealer brokerage Central Registration Depository Chairman Baker Chubb Securities CISC Commission compliance concerns conducted consumers customer confusion dealers depository institution ensure examination Fair Practice FDIC SURVEY FDIC-insured federal banking financial institutions financial services fund shares Government Sponsored Enterprises Interagency Guidelines Interagency Statement investment representatives investment risk issues KeyCorp LaFalce loss of principal MARKET TRENDS money market funds mutual fund investors mutual fund sales NASD member NASD Rules NASD's NASDR nondeposit investment products NONDEPOSIT INVESTMENT SALES offer operating oral disclosures percent recommendations registered representatives regulatory requirements retail sales Rules of Fair sales of mutual sales of nondeposit sales practices selling nondeposit investment Subcommittee SURVEY OF NONDEPOSIT uninsured investment products uninsured products