Securities Activities of Banks, Fourth Edition
Looseleaf
The Fourth Edition of a leading resource in the field, this valuable practice tool brings you completely up-to-date on the evolving laws governing banks' securities activities - from regulatory changes in the financial markets and administrative reform to recent court decisions and legislative reform, including the recently enacted Dodd-Frank Wall Street Reform and Consumer Protection Act and the "Volcker Rule" restrictions on investment and trading activities. Here is everything you need to help build a bank's securities business while avoiding compliance pitfalls.
Securities Activities of Banks, Fourth Edition provides:
- In-depth discussions of the securities activities now permissible for banks, bank holding companies, and financial holding companies
- Clear explanations of how securities laws affect banks' securities activities
- A complete review of how banks are regulated - including foreign banks and affiliates
- Up-to-date analysis of the evolution of the banking laws through agency and court decisions.
| Last Updated | 09/06/2018 |
|---|---|
| Update Frequency | Updated annually |
| Product Line | Wolters Kluwer Legal & Regulatory U.S. |
| ISBN | 9781454801245 |
| SKU | 10046006-7777 |
Chapter 1. OVERVIEW—THE EVOLUTION OF BANK SECURITIES ACTIVITIES
- § 1.01 INTRODUCTION
- § 1.02 THE GLASS-STEAGALL ACT
- § 1.03 CHANGES IN THE BUSINESS OF BANKING
- § 1.04 REGULATORY RELIEF EFFORTS
- § 1.05 COURT VICTORIES
- § 1.06 THE STRUGGLE FOR REFORM LEGISLATION
- § 1.07 THE GRAMM-LEACH-BLILEY ACT
- § 1.08 THE DODD-FRANK ACT
- § 1.09 CONSOLIDATION OF THE BANKING AND SECURITIES INDUSTRIES
Chapter 2. THE BANK REGULATORY FRAMEWORK
- § 2.01 THE BANKING INDUSTRY
- § 2.02 MAJOR BANKING LAWS
Chapter 3. SECURITIES REGULATORY FRAMEWORK
- § 3.01 INTRODUCTION
- § 3.02 THE SECURITIES INDUSTRY
- § 3.03 THE SECURITIES REGULATORS
- § 3.04 SELECTED SECURITIES LAWS
- § 3.05 ENFORCEMENT AND REMEDIES
- § 3.06 ACCOUNTING ISSUES
- § 3.07 COMMODITY REGULATION
Chapter 4. THE GLASS-STEAGALL ACT
- § 4.01 INTRODUCTION
- § 4.02 HISTORICAL PERSPECTIVE
- § 4.03 STATUTORY SCHEME
- § 4.04 DEFINITIONS
- § 4.05 JUDICIAL INTERPRETATIONS
Chapter 5. INVESTMENT ADVICE
- § 5.01 OVERVIEW
- § 5.02 INVESTMENT ADVISORY ACTIVITIES
- § 5.03 REGULATION OF INVESTMENT ADVISERS
- § 5.04 SELECTED ISSUES
- § 5.05 INVESTMENT ADVISORY FEES
Chapter 6. BROKERAGE ACTIVITIES
- § 6.01 OVERVIEW
- § 6.02 TYPES OF BROKERAGE ACTIVITIES
- § 6.03 TYPES OF INSTRUMENTS BROKERED
- § 6.04 APPLICABLE BANKING RULES
- § 6.05 APPLICABLE SECURITIES RULES
- § 6.06 BROKER-DEALER COMPENSATION
Chapter 7. INVESTMENT AND TRADING ACTIVITIES
- § 7.01 INTRODUCTION
- § 7.02 BANK “INVESTMENT SECURITIES”
- § 7.03 BANK HOLDING COMPANY “INVESTMENT SECURITIES”
- § 7.04 FINANCIAL HOLDING COMPANY INVESTMENTS
- § 7.05 OTHER INVESTMENTS
- § 7.06 TRADING OF INVESTMENT SECURITIES
- § 7.07 SUPERVISORY ISSUES
- § 7.08 VOLCKER RULE RESTRICTIONS
Chapter 8. MERCHANT BANKING ACTIVITIES
- § 8.01 IN GENERAL
- § 8.02 LEGAL AUTHORITY
- § 8.03 LIMITATIONS ON MERCHANT BANKING INVESTMENTS
- § 8.04 PRIVATE EQUITY FUNDS
- § 8.05 NOTICE AND SUPERVISORY REQUIREMENTS
- § 8.06 APPLICABILITY OF SECTIONS 23A AND 23B
- § 8.07 CROSS-MARKETING RESTRICTION
Chapter 9. UNDERWRITING AND DEALING
- § 9.01 OVERVIEW
- § 9.02 UNDERWRITING AND DEALING BY FINANCIAL HOLDING COMPANIES
- § 9.03 UNDERWRITING AND DEALING BY BANK HOLDING COMPANIES
- § 9.04 UNDERWRITING AND DEALING BY BANKS
- § 9.05 UNDERWRITING AND DEALING BY SUBSIDIARIES OF BANKS
- § 9.06 OTHER LEGAL CONSIDERATIONS
Chapter 10. PRIVATE PLACEMENT ACTIVITIES
- § 10.01 BACKGROUND
- § 10.02 SCOPE OF PERMISSIBLE ACTIVITIES
- § 10.03 REGULATION D
- § 10.04 SEC RULES 144 AND 144A
- § 10.05 BROKER-DEALER REGISTRATION
Chapter 11. MUTUAL FUND ACTIVITIES
- § 11.01 INTRODUCTION
- § 11.02 MUTUAL FUND TYPES AND PRODUCTS
- § 11.03 ORGANIZING A MUTUAL FUND
- § 11.04 INVESTMENT MANAGEMENT
- § 11.05 DISTRIBUTION
- § 11.06 ANCILLARY SERVICES
- § 11.07 RETAIL SALES
- § 11.08 FIDUCIARY INVESTMENTS
Chapter 12. FIDUCIARY ACTIVITIES
- § 12.01 IN GENERAL
- § 12.02 FIDUCIARY CAPACITIES
- § 12.03 REGULATION OF FIDUCIARY ACTIVITIES
- § 12.04 COLLECTIVE INVESTMENT FUNDS
- § 12.05 INVESTMENT OF FIDUCIARY ASSETS IN MUTUAL FUNDS
- § 12.06 FEES AND BENEFITS TO FIDUCIARIES
Chapter 13. SECURITIZATION OF ASSETS
- § 13.01 OVERVIEW
- § 13.02 PERMISSIBILITY UNDER BANKING LAWS
- § 13.03 RISK RETENTION REQUIREMENT
- § 13.04 BANK SUPERVISORY ISSUES
- § 13.05 SECURITIES LAW ISSUES
- § 13.06 COVERED BONDS
Chapter 14. DERIVATIVES
- § 14.01 INTRODUCTION
- § 14.02 REGULATORY FRAMEWORK
- § 14.03 FUTURES AND OPTIONS
- § 14.04 FOREIGN EXCHANGE ACTIVITIES
- § 14.05 SWAPS AND OTHER DERIVATIVE PRODUCTS
- § 14.06 OTHER COMMODITY-RELATED ACTIVITIES
Chapter 15. DEPOSIT AND LOAN ACTIVITIES
- § 15.01 INTRODUCTION
- § 15.02 DEPOSITS AND OTHER OBLIGATIONS
- § 15.03 LENDING ACTIVITIES
- § 15.04 FUNCTIONAL REGULATION OF DEPOSIT AND LOAN ACTIVITIES
Table of Cases
Table of Federal Reserve Board Orders
Index
