Banking research questions by jadakiss


									Financial Planning                                         Name_____________________

                     Banking and Regulatory Research Questions
       Utilize the internet for research to answer the following (type into this document)
                – complete sentences points severely docked for cut n’ paste jobs:

Describe the services, enforcement capability, and purpose of following banking and safety
regulatory agencies:

   •   State Banking Commission

   •   Office of the Comptroller of the Currency

   •   Office of Thrift Supervision

   •   Federal Reserve System

What did these 3 pieces of legislation do (for the consumer)? What do they enforce?

   •   Financial Services Modernization Act (1999)

   •   Riegle-Neal Banking Efficiency Act (1994)

      Sarbanes-Oxley Act (2002)

Describe the differences between Stocks, Mutual Funds, and Bonds. (In detail and complete
Financial Planning                                            Name_____________________

Describe the each of these types of mutual funds and what makes them different from the others:

   •   Load fund

   •   No load fund

   •   Open end fund

   •   Closed end fund

**Try the quiz linked here only questions 1-29:,10241,1862694-,00.html
Granted, it’s a little hard, and some of it we haven’t covered, but you can use the internet to try
to get a better score!

Insert your score here: _____

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