Common Trust Funds: Overlaping Responsibility and Conflict in Regulation. Hearing, Eighty-eighth Congress, First Session, May 20, 1963

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第 164 頁 - common trust fund" means a fund maintained by a bank (as defined in section 104) — (1) exclusively for 'the collective investment and reinvestment of moneys contributed thereto by the bank in its capacity as a trustee, executor, administrator, or guardian; and...
第 13 頁 - 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...
第 33 頁 - N-5, form for registration of small business investment company under the Securities Act of 1933 and the Investment Company Act of 1940.
第 103 頁 - Board of Governors of the Federal Reserve System or the Comptroller of the Currency pertaining to the collective investment of trust funds by national banks.
第 151 頁 - ... necessary or appropriate in the public interest and consistent with the protection of investors and the purposes fairly intended by the policy and provisions of this title.
第 162 頁 - I am taking the liberty of sending a copy of this letter to the other members of your committee.
第 99 頁 - Whenever member banks are required to obtain reports from affiliates, or whenever affiliates of member banks are required to submit to examination, the Board of Governors of the Federal Reserve System or the Comptroller of the Currency, as the case may be...
第 38 頁 - security" as follows: "the term 'security' means any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profitsharing agreement...
第 103 頁 - Fund administered by a bank shall be established and maintained in accordance with a written plan (referred to herein as the Plan ) approved by a resolution of the bank's board of directors and approved in writing by competent legal counsel.
第 107 頁 - ... in conformity with the rules and regulations of the Board of Governors of the Federal Reserve System...

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