Regulation of Financial InstitutionsThis casebook on regulations of financial institutions reflects a financial industry that has become increasingly integrated in the last 20 years. It brings together materials that traditionally have been covered in separate courses on banking law insurance law, securities regulation, mutual funds, and pensions. |
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Page 438
... legislation was enacted by Ohio and New Hampshire in 1885 . By 1913 twenty - three states had enacted anti - compact legislation . Insurers vigorously opposed this legislation . The sentiments of the American Underwriter were typical ...
... legislation was enacted by Ohio and New Hampshire in 1885 . By 1913 twenty - three states had enacted anti - compact legislation . Insurers vigorously opposed this legislation . The sentiments of the American Underwriter were typical ...
Page 659
... legislation was its imposition of federal authority over the underwriting process . ( Under the federal securities laws , " underwriting " is a term of art , see section 2 ( 11 ) of the 1933 Act , which entails the distribution of ...
... legislation was its imposition of federal authority over the underwriting process . ( Under the federal securities laws , " underwriting " is a term of art , see section 2 ( 11 ) of the 1933 Act , which entails the distribution of ...
Page 684
... legislation . The essential objective of securities legislation is to protect those who do not know market conditions from the overreachings of those who do . Such protection will mean little if it stops short of the point of ultimate ...
... legislation . The essential objective of securities legislation is to protect those who do not know market conditions from the overreachings of those who do . Such protection will mean little if it stops short of the point of ultimate ...
Contents
The Business of Financial Institutions | 1 |
BANKING HISTORY CHARTERING AND ANTITRUST | 27 |
The Chartering Process | 51 |
Copyright | |
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action activities administrative affiliates agency agreement antitrust application assets authority Bank Act bank holding company bank's BHCA Board broker broker-dealer business of insurance capital charter Citicorp claims clause commercial Commission Commissioner competition Comptroller Congress contracts corporate coverage creditors Crestmont customers decision demutualization deposit insurance depositors depository institutions directors Discover Card employee enacted enforcement engage ERISA Exchange Act FDIC Federal Reserve fiduciary financial institutions firms FIRREA funds insurance companies insurance regulation interest rates investment investors involved issue legislation lending letter of credit liability limited loan loss market makers McCarran-Ferguson Act NAIC NASD NASDAQ National Bank National Bank Act NYSE obligations operation participation payment percent petitioners policyholders premiums prohibited proposed purchase regulatory reinsurance response risk rules Savings Bank securities Seidman standard statute statutory substantial thrift trading transactions trust underwriting violation