The Financial Services Act of 1999: Hearings Before the Subcommittee on Finance and Hazardous Materials of the Committee on Commerce, House of Representatives, One Hundred Sixth Congress, First Session, on H.R. 10, April 28 and May 5, 1999, Volume 4 |
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Page 8
... nasaa.org Web Address : http://www.nasaa.org TO : HOUSE COMMERCE COMMITTEE FROM : Thomas E. Geyer , Ohio Securities Commissioner Chair , NASAA Financial Services Modernization Project Group Deborah A. Fischione NASAA Director of Policy ...
... nasaa.org Web Address : http://www.nasaa.org TO : HOUSE COMMERCE COMMITTEE FROM : Thomas E. Geyer , Ohio Securities Commissioner Chair , NASAA Financial Services Modernization Project Group Deborah A. Fischione NASAA Director of Policy ...
Page 9
... NASAA respectfully suggests three minor changes in order to give full effect to the express preservation clearly articulated in Section 104 ( d ) . a . Delete Section 104 ( b ) ( 4 ) ( C ) . Section 104 ( b ) ( 4 ) generally seeks to ...
... NASAA respectfully suggests three minor changes in order to give full effect to the express preservation clearly articulated in Section 104 ( d ) . a . Delete Section 104 ( b ) ( 4 ) ( C ) . Section 104 ( b ) ( 4 ) generally seeks to ...
Page 10
... NASAA appreciates that H.R. 10 moves towards functional regulation of securities activities . However , NASAA believes that Section 124 of H.R. 10 contains a minor oversight , the correction of which will result in true functional ...
... NASAA appreciates that H.R. 10 moves towards functional regulation of securities activities . However , NASAA believes that Section 124 of H.R. 10 contains a minor oversight , the correction of which will result in true functional ...
Page 11
... NASAA's members are devoted to consumer protection , NASAA recognizes the importance of the consumer protection provisions contained in Section 176 of H.R. 10 , which would add to the Federal Deposit Insurance Act a new Section 47 ...
... NASAA's members are devoted to consumer protection , NASAA recognizes the importance of the consumer protection provisions contained in Section 176 of H.R. 10 , which would add to the Federal Deposit Insurance Act a new Section 47 ...
Page 12
... NASAA membership approved Model Rules for Sales of Securities at Financial Institutions , which track NASD Rule 2350. Both NASD Rule 2350 and the NASAA Model Rules address the issues relevant to third - party brokerage arrangements ...
... NASAA membership approved Model Rules for Sales of Securities at Financial Institutions , which track NASD Rule 2350. Both NASD Rule 2350 and the NASAA Model Rules address the issues relevant to third - party brokerage arrangements ...
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Common terms and phrases
Alan Greenspan amendments Arthur Levitt assets authority bank holding company bank's banking regulators believe bill Bliley broker broker-dealer brokerage Chairman Greenspan Commerce Committee Commission COMP competitive concerns Congress consumer protection costs customers deposit insurance DINGELL engage ensure entities equity exemption FDIC Federal Reserve financial institutions financial modernization financial services industry financial services modernization functional regulation GAAP gentleman holding company affiliates holding company structure House Banking Committee insurance activities insurance agents insurance companies insurance regulators insurance sales insured depository institutions investment adviser issue legislation LEVITT loan mutual funds NAIC NASAA NASD national banks NICHOLS nonbank op-sub operating sub operating subsidiary OXLEY Paine Webber parent bank permit preempted provisions regu regulatory capital requirements risk RUBIN safe harbor safety and soundness Section securities activities securities firms SHIMKUS SINDER STUPAK subcommittee subsidy surance testimony Thank tion Treasury underwriting unitary thrift version of H.R. ZIMPHER
Popular passages
Page 16 - ... or any bank holding company as defined in the Bank Holding Company Act of 1956 which is not an investment company...
Page 119 - Alabama Alaska Arizona Arkansas California Colorado Connecticut Delaware District of Columbia Florida Georgia Guam Hawaii Idaho Illinois Indiana Iowa Kansas Kentucky Louisiana Maine Maryland Massachusetts Michigan Minnesota Mississippi Missouri Montana Nebraska Nevada New Hampshire New Jersey New Mexico New York...
Page 179 - ... what constitutes doing business in this State, and also exercises powers and privileges available to the state by virtue of Public Law 15, 79th Congress of the United States, Chapter 20, 1st Session, S. 340, which declares that the business of insurance and every person engaged therein shall be subject to the laws of the several states.
Page 9 - Nothing in this title shall affect the jurisdiction of the securities commission (or any agency or office performing like functions) of any State or Territory of the United States, or the District of Columbia, over any security or any person.
Page 125 - Board of Governors of the Federal Reserve System, Federal Deposit Insurance Corporation, Office of the Comptroller of the Currency, National Credit Union Administration, Office of Thrift Supervision, and the Department of Housing and Urban Development.
Page 81 - Fellow-citizens, we cannot escape history. We, of this Congress and this administration, will be remembered in spite of ourselves. No personal significance, or insignificance, can spare one or another of us. The fiery trial through which we pass, will light us down, in honor or dishonor, to the latest generation.
Page 92 - The gentleman from New York, Mr. Towns. Mr. TOWNS. Thank you very much, Mr. Chairman. Let me begin by making a comment that Ms.
Page 200 - Administration (NCUA), the Office of the Comptroller of the Currency (OCC), and the Office of Thrift Supervision (OTS) and to make recommendations to promote uniformity in the supervision of financial institutions.
Page 128 - Before the Subcomm. on Telecommunications and Finance of the House Comm. on Energy and Commerce (Apr.
Page 111 - Paying for insurance products is one of the largest consumer expenditures of any kind for most Americans. Figures compiled by the NAIC show that an average family can easily spend a combined total of $4,500 each year for auto, home, life, and health insurance coverage. This substantial expenditure...