Legal Problems of Bank Regulation |
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Page 203
... customers.15 / Small investor customers of the broker - dealer expressing an interest in the plan are referred to a bank which offers these customers a monthly purchase program for the securities selected by the customer from among the ...
... customers.15 / Small investor customers of the broker - dealer expressing an interest in the plan are referred to a bank which offers these customers a monthly purchase program for the securities selected by the customer from among the ...
Page 239
customers . However , the activities of the bank in this capacity are confined to those of an accommodation agent for the convenience of customers . In view of the express authorization in R.S. 5136 to purchase and sell securities and ...
customers . However , the activities of the bank in this capacity are confined to those of an accommodation agent for the convenience of customers . In view of the express authorization in R.S. 5136 to purchase and sell securities and ...
Page 249
... customers are buying stocks which the bank as trustee is selling ? The problem is not in any way unique to AIS . Any agent , whether bank or broker , constantly handles buy and sell orders for different principals , sometimes ...
... customers are buying stocks which the bank as trustee is selling ? The problem is not in any way unique to AIS . Any agent , whether bank or broker , constantly handles buy and sell orders for different principals , sometimes ...
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acquire activities adverse effects affiliates agency amendment Applicant Applicant's approval assets authority Bancorporation bank holding company Bank's banking market banking subsidiaries Board concludes Board of Governors Board's Regulation borrower branches capital cent Clayton Act comments and views commercial banks Commission Comptroller Congress Connecticut consummation Corporation customers dividend engage entry exemption Federal Reserve Act Federal Reserve System Feldberg foreign banking geographic market Glass-Steagall Act Holding Company Act investment adviser Investment Company Act Investment Company Institute investors issue largest banking organization lease loans merger Meyerland Michigan National Michigan National Bank million mortgage National Bank nonbanking novo offices operations participating Philadelphia National Bank potential competition prohibited proposed subsidiary public interest purchase pursuant related to banking relevant Reserve Bank Section securities significant Spokane subsidiary banks supra tion total deposits transaction underwriting voting shares Washington