Washington and Lee Law Review, Volume 41School of Law, Washington and Lee University, 1984 - Electronic journals |
From inside the book
Results 1-3 of 75
Page 1189
... holding company . See Securities Indus . Ass'n v . Board of Governors of Fed . Reserve Sys . , 716 F.2d 92 , 94 ( 2d Cir . 1983 ) ( court examined litigation concerning bank holding company dis- count brokerage service ) , petition for ...
... holding company . See Securities Indus . Ass'n v . Board of Governors of Fed . Reserve Sys . , 716 F.2d 92 , 94 ( 2d Cir . 1983 ) ( court examined litigation concerning bank holding company dis- count brokerage service ) , petition for ...
Page 1197
... holding company . " Since the bank exemption in the Exchange Act applies only to banks , the separate securities entity would have to register as a broker - dealer with the SEC . " The separate entity , therefore , would be sub- ject to ...
... holding company . " Since the bank exemption in the Exchange Act applies only to banks , the separate securities entity would have to register as a broker - dealer with the SEC . " The separate entity , therefore , would be sub- ject to ...
Page 1198
... holding companies to underwrite and deal in municipal revenue bonds and sponsor and manage mutual funds . " Banks could only offer the municipal revenue bond and mutual fund services through a bank holding company subsidiary . " The ...
... holding companies to underwrite and deal in municipal revenue bonds and sponsor and manage mutual funds . " Banks could only offer the municipal revenue bond and mutual fund services through a bank holding company subsidiary . " The ...
Other editions - View all
Common terms and phrases
2d Cir 5th Cir accompanying text discussion alleged amendment antitrust apply arbitration attorney bank securities broker-dealers buyout transactions cert CFTC claim clause Commission commodities compensation order conduct Cong constitutional contract Corp corporate court held dealer decision defendant's denied determining district court E.F. Hutton election enforcement equitable tolling doctrine Exchange Act extraterritorial fair federal courts federal securities laws fifth amendment futures contracts Glass-Steagall Act infra notes insider trading investment investors issue jurisdiction legislative history LHWCA limitations period litigation longshoreman Merrill Lynch minority shareholders NASD NLRA NLRB organized crime OSHRC party patent plaintiff pro-union employee protection purchase reasonable regulation rental requires RICO right of action scienter Second Circuit section 10(b securities activities Sess standard of liability statute statutory superseniority Supp supra note Supreme Court taxpayer tender offer third-party defendant tion Transfer Binder Turkette union United violation Virginia CPR