Regulation of Financial Institutions: Selected Statutes, Regulations and Forms
This volume of selected statutes and regulations is designed to supplement the casebook, Regulation of Financial Institutions (1999) by Jackson and Symons. It includes selected statutes and regulations applicable to depository institutions, insurance companies, pension plans, securities firms, capital markets, investments advisers, and investment companies in the United States.
91 pages matching activities in this book
Results 1-3 of 91
What people are saying - Write a review
We haven't found any reviews in the usual places.
National Bank Act
Federal Reserve Act
Home OwnersLoan Act
47 other sections not shown
Other editions - View all
acquired activities affiliated person amount application appropriate Federal banking approval assets authority bank holding company bank's board of directors broker or dealer capital centum chapter client Commission conservator or receiver contract Corporation credit union deemed determines directly or indirectly effect employee executive officer exempt extension of credit Federal banking agency Federal Reserve System fees fiduciary filed funds institution's insured depository institution investment adviser issuer lease limited loan or extension market maker means member bank national bank national securities exchange necessary or appropriate obligations outstanding participation payment penny stock percent period prescribe principal underwriter prohibited protection of investors purposes pursuant to section qualified registered investment company registration statement respect rules and regulations savings association securities issued self-regulatory organization specified subparagraph subsection subsidiary term thereof Tier 2 capital transaction trust unit investment trust violation voting securities