Securities Compliance Handbook: 1994 EditionProbus Publ., 1994 - 136 pages |
Contents
Overview of Bank Securities Laws | 3 |
The GlassSteagall | 4 |
The Securities Acts Amendments of 1975 | 10 |
Copyright | |
3 other sections not shown
Common terms and phrases
affiliated bank assets authorized available-for-sale bank dealer bank holding company bank or thrift bank regulatory agencies bank's BHCA borrower broker-dealer capital collateral Company Act compliance counterparty credit risk curities custodial holdings customer securities customer's deposit derivatives activities disclosure employees ensure establish exempt FDIC FDICIA Federal Reserve Act Federal Reserve Board FFIEC financial derivatives financial institution firewalls foreign Glass-Steagall Act ineligible securities insider trading institution's insured investment adviser investment company issued issuer ITSFEA lender institution limits loans maintained member banks ment MSRB Rule municipal securities dealer mutual funds national banks nonbank nonmember banks obligations overseas percent permitted policies and procedures Policy Statement portfolios prohibits purchase recordkeeping registered regulations repurchase agreement restrictions rities Section 20 subsidiary secu Securities Act securities activities securities lending selling specific syndicate third party tion tomer Type I securities U.S. government underwriting and dealing