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 360
... petitioners ' argument , the Director did not find that control ownership alone constituted " other benefit " sufficient to justify imposition of second - tier penalties in this case . The Director did state that petitioners ' control ...
... petitioners ' argument , the Director did not find that control ownership alone constituted " other benefit " sufficient to justify imposition of second - tier penalties in this case . The Director did state that petitioners ' control ...
Page 719
... Petitioners appealed the ALJ's decision to the Commission , which held that petitioners had violated the prohibitions of fraud and manipulation in securities dealings contained in section 17 ( a ) of the Securities Act of 1933 , and ...
... Petitioners appealed the ALJ's decision to the Commission , which held that petitioners had violated the prohibitions of fraud and manipulation in securities dealings contained in section 17 ( a ) of the Securities Act of 1933 , and ...
Page 738
... Petitioners contend that the SEC failed to demonstrate that they violated the securities rules willfully . They claim that only acts of omission have been shown ( e . g . , failure to file reports , failure to meet net capital ...
... Petitioners contend that the SEC failed to demonstrate that they violated the securities rules willfully . They claim that only acts of omission have been shown ( e . g . , failure to file reports , failure to meet net capital ...
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