Common Trust Funds: Overlaping Responsibility and Conflict in Regulation. Hearing, Eighty-eighth Congress, First Session, May 20, 1963
U.S. Government Printing Office, 1963 - 186 頁
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activities administrator amount application assets authority basis Board capacity Cary Chairman charge collective investment collective investment fund commingled Commission committee common trust fund Comptroller Congress consider considerations contracts contributions court created Currency determine directors effect examination exemption exercise existing fact FASCELL Federal Reserve Board fiduciary going held income individual institution interest Internal Revenue Code Investment Company Act investor involved issued legislation limited managing agency accounts MATAN matter ment mutual fund national bank offering officers operation participation percent period permit person pool powers present problem proposed protection provisions Prudential purchase question reason received record registration regulation regulation 9 relationship respect responsibility result revision rules Saxon Section securities separate shares Special statement tion units variable annuity
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 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.