Brokerage and Related Commercial Bank Services: Hearings Before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, Ninety-fourth Congress, Second Session, in Furtherance of the Study of the Securities Activities of Commercial Banks ...U.S. Government Printing Office, 1976 - 1140 páginas |
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advertising agency American Stock Exchange amount ASIP Automatic Investment Service bank's Banque bonds broker broker-dealers brokerage services capital CARRIERS CORPORATION cash certificate Chase Manhattan Bank checking account Chemical Bank clients commercial banks commission common stock competition Comptroller Corporation cost customers dealer dividend reinvestment plans employees execution F. L. Putnam Federal Fenner & Smith fractional shares full shares Glass-Steagall Act income individual investors interest investment banking Investment Plan investor protection issues Limited member organization ment Merrill Lynch monthly investment mutual funds odd lot offer options Paine Webber participant payroll deductions percent portfolio recommendations registered regulation regulatory requirements rules securities activities securities firms securities industry Security Pacific Bank sell Senator WILLIAMS service charge Sharebuilder Plan Shareowners small investor statement Subcommittee tion trading transactions trust underwriting York Stock Exchange
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Página 279 - ... stock without recourse, solely upon the order, and for the account of, customers, and in no case for its own account, and the association shall not underwrite any issue of securities or stock: Provided, That the association may purchase for its own account investment securities under such limitations and restrictions as the Comptroller of the Currency may by regulation prescribe.
Página 440 - No officer, director, or employee of any corporation or unincorporated association, no partner or employee of any partnership, and no individual, primarily engaged in the issue, flotation, underwriting, public sale, or distribution, at wholesale or retail, or through syndicate participation, of stocks, bonds, or other similar securities...
Página 206 - And it ought to be remembered that there is nothing more difficult to take in hand, more perilous to conduct, or more uncertain in its success, than to take the lead in the introduction of a new order of things.
Página 299 - The power of an administrative officer or board to administer a federal statute and to prescribe rules and regulations to that end is not the power to make law — for no such power can be delegated by Congress — but the power to adopt regulations to carry into effect the will of Congress as expressed by the statute. A regulation which does not do this, but operates to create a rule out of harmony with the statute, is a mere nullity.
Página 440 - The business of dealing in securities and stock by the association shall be limited to purchasing and selling such securities and stock without recourse, solely upon the order, and for the account of, customers...
Página 442 - Indicate any other directorships held by each director or person nominated or chosen to become a director in any company with a class of securities registered pursuant to section 12 of the Exchange Act or subject to the requirements of section 15(d) of such Act or any company registered as an investment company under the Investment Company Act of 1940, 15 USC 80a-1, et seq., as amended, naming such company.
Página 440 - ... the business of receiving deposits subject to check or to repayment upon presentation of a passbook, certificate of deposit, or other evidence of debt, or upon request of the depositor...
Página 455 - For the reasons hereinafter enumerated, transactions in securities as commonly conducted upon securities exchanges and over-the-counter markets are affected with a national public interest...
Página 891 - To grant by special permit to national banks applying therefor, when not in contravention of State or local law...
Página 897 - As used in this section the term "investment securities" shall mean marketable obligations, evidencing indebtedness of any person, copartnership, association, or corporation in the form of bonds, notes, and/or debentures commonly known as investment securities under such further definition of the term "investment securities" as may by regulation be prescribed by the Comptroller of the Currency.