The Safe banking act of 1977: hearings before the Subcommittee on Financial Institutions Supervision, Regulation, and Insurance of the Committee on Banking, Finance, and Urban Affairs, House of Representatives, Ninety-fifth Congress, first session, on H.R. 9086U.S. Government Printing Office, 1977 |
From inside the book
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Page 2242
... Securities and Exchange Commission regarding title XI of H.R. 9086 2959 Rousselot , Hon . John H. , article submitted : " Insiders ' Bank Overdrafts Com- mon , Federal Examiners Find in Survey , " article from the Washington Star of ...
... Securities and Exchange Commission regarding title XI of H.R. 9086 2959 Rousselot , Hon . John H. , article submitted : " Insiders ' Bank Overdrafts Com- mon , Federal Examiners Find in Survey , " article from the Washington Star of ...
Page 2380
... securities transactions . 2 / Improper compensating balance arrangements , of course , are not the only method whereby funds of a bank may be misapplied to obtain preferential treat- ment for a person influential in a bank's affairs in ...
... securities transactions . 2 / Improper compensating balance arrangements , of course , are not the only method whereby funds of a bank may be misapplied to obtain preferential treat- ment for a person influential in a bank's affairs in ...
Page 2383
... securities , state the method used for valuation . If the securities are stock of the depositing bank , also show both the market price ( if any ) and the book value . 4 / In appropriate circumstances , intentional falsehoods made to a ...
... securities , state the method used for valuation . If the securities are stock of the depositing bank , also show both the market price ( if any ) and the book value . 4 / In appropriate circumstances , intentional falsehoods made to a ...
Page 2398
... securities collateral without observing prudent banking practices to prepare for the lawful and order- ly disposition of such securities in the event such disposition became necessary . Order outstanding . 32 Deposits -- $ 9,924,000 ...
... securities collateral without observing prudent banking practices to prepare for the lawful and order- ly disposition of such securities in the event such disposition became necessary . Order outstanding . 32 Deposits -- $ 9,924,000 ...
Page 2444
... securities , it was ordered that the bank's investments should be limited to U.S. Treasuries or agency obligations with maturities of not more than seven years , or high grade corporate securities with maturities of not more than two ...
... securities , it was ordered that the bank's investments should be limited to U.S. Treasuries or agency obligations with maturities of not more than seven years , or high grade corporate securities with maturities of not more than two ...
Common terms and phrases
abuse administrative adversely classified affirmative action AFL-CIO amendments amount authority balance bank examiners bank holding companies Bank ordered bank regulators bank regulatory bank's believe bill board of directors capital CAVANAUGH cease and desist Chairman LEMAISTRE Chairman ST GERMAIN classified assets Commission Committee Comptroller Congress Corporation December 31 depositors desist from unsafe Desist order entered disclosure enforcement Exchange Act FDIC Federal Bank Federal Deposit Insurance Federal Reserve Act Federal Reserve Board Federal Reserve System financial institutions funds Heimann insider loans Investment Company JIM MATTOX legislation ment mutual savings banks National Bank Nonmember ordered to cease overdrafts percent person practices and take problem banks prohibition proposed registrant regulatory agencies ROUSSELOT Safe Banking Act savings and loan Section securities shareholders statement Steadman Subcommittee subsidiaries supervision supervisory agencies take affirmative action tion transactions unsafe and unsound unsound practices violations
Popular passages
Page 2632 - ... or more of any class of equity securities, (2) any trust or other estate in which such person has a substantial beneficial interest or as to which such person serves as trustee or in a similar fiduciary capacity, and (3) any relative or spouse of such person, or any relative of such spouse. who has the same home as such person or who Is a director or officer of the bank or any of its parents or subsidiaries.
Page 2812 - It shall be unlawful for any person to make any untrue statement of a material fact or omit to state any material fact necessary In order to make the statements made. In the light of the circumstances under which they are made, not misleading, or to engage in any fraudulent, deceptive, or manipulative acts or practices.
Page 2775 - To make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading...
Page 2318 - The Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation...
Page 2792 - ... (1) acting as agent, to accept from any source any compensation (other than a regular salary or wages from such registered company) for the purchase or sale of any property to or for such registered company or any controlled company thereof, except in the course of such person's business as an underwriter or broker...
Page 2822 - SEC. 9. [80a-9] (a) It shall be unlawful for any of the following persons to serve or act in the capacity of employee, officer, director, member of an advisory board, investment adviser, or depositor...
Page 2802 - An omitted fact is material if there is a substantial likelihood that a reasonable shareholder would consider it important in deciding how to vote.
Page 3159 - ... or has committed or engaged in any act, omission, or practice which constitutes a breach of his fiduciary duty as such director or officer, and the Board determines that the bank has suffered or will probably suffer substantial financial loss or other damage...
Page 2706 - Governors of the Federal Reserve Board, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation have adopted rules which these bank agencies have indicated are substantially similar to the corresponding Commission rules.
Page 2751 - affiliate' of, or a person 'affiliated' with, a specified person, is a person that directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with, the person specified. "(f) Control. The term 'control' (including the terms 'controlling,