Regulation of Financial Institutions: Selected Statutes, Regulations and FormsThis 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. |
Contents
National Bank Act | 1 |
Interpretations concerning preemption of certain State laws | 7 |
Acting as insurance agent or broker | 13 |
Copyright | |
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Common terms and phrases
acquired action activities affiliate agreement amount application appointment appropriate Federal banking approval assets authority bank holding company bank's board of directors branch broker or dealer capital restoration plan centum claim clause Commission conservator or receiver contract Corporation court credit union deemed depository institution's described directly or indirectly District effect employee executive officer extension of credit Federal banking agency Federal Reserve Federal Reserve Act Federal Reserve System fiduciary filed institution-affiliated party insurance fund insured depository institution interest investment adviser issuer lease liability limited loan holding company loan or extension member bank national bank national securities exchange notice Notwithstanding obligations outstanding participation payment penny stock percent period person prescribed prohibited purchase purposes registered investment company regulation respect rules savings association securities exchange specified subparagraph subsection subsidiary term Tier 1 capital trust undercapitalized underwriter violation voting