Stock Exchange Regulation: Hearing Before the Committee on Interstate and Foreign Commerce, House of Representatives, Seventy-third Congress, Second Session, on H.R. 7852, to Provide for the Registration of National Securities Exchanges Operating in Interstate and Foreign Commerce and Through the Mails and to Prevent Inequitable and Unfair Practices on Such Exchanges, and for Other Purposes; H.R. 8720, to Provide for the Regulation of National Securities Exchanges and of Over-counter Markets Operating in Interstate and Foreign Commerce Or Through the Mails, and to Prevent Inequitable and Unfair Practice Thereon, and for Other Purposes. February 14 to March 24, 1934U.S. Government Printing Office, 1934 - 941 páginas |
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Página 12
... question or to produce any books , papers , correspondence , memo- randa , or other records when ordered so to do by the officer conducting such in- quiry , he shall be guilty of a misdemeanor and punishable accordingly . Any officer ...
... question or to produce any books , papers , correspondence , memo- randa , or other records when ordered so to do by the officer conducting such in- quiry , he shall be guilty of a misdemeanor and punishable accordingly . Any officer ...
Página 16
... question , there seems to me to lie the question of national power over the exchanges . I think this com- mittee has to meet that and face that before it can go any further . The question is not free from doubt . I myself have had ...
... question , there seems to me to lie the question of national power over the exchanges . I think this com- mittee has to meet that and face that before it can go any further . The question is not free from doubt . I myself have had ...
Página 17
... question I think that one has to ask is this : Is this com- merce , in securities , interstate commerce of the type that comes within the control of Congress ? I think that if one builds up the appropriate picture of the exchange that ...
... question I think that one has to ask is this : Is this com- merce , in securities , interstate commerce of the type that comes within the control of Congress ? I think that if one builds up the appropriate picture of the exchange that ...
Página 21
... question was left to the discretion of the Commission . Subsection ( b ) of the same section places the use of stop loss orders within the control of the Commission , and section ( c ) gives the general power to the Commission to ...
... question was left to the discretion of the Commission . Subsection ( b ) of the same section places the use of stop loss orders within the control of the Commission , and section ( c ) gives the general power to the Commission to ...
Página 25
... question of whether he should ever disclose any matters in the specialist's books , should be raised ; and thirdly , as to whether or not the specialist should be eliminated and a clerk , or a man of that caliber take his place . The ...
... question of whether he should ever disclose any matters in the specialist's books , should be raised ; and thirdly , as to whether or not the specialist should be eliminated and a clerk , or a man of that caliber take his place . The ...
Términos y frases comunes
amount banks believe bill bonds borrow broker brokerage bucket shop BULWINKLE business in securities buy and sell capital CHAIRMAN collateral Commissioner LANDIS committee companies Congress COOPER CORCORAN corporations Curb Exchange deal effect fact Federal Reserve Federal Reserve System Federal Trade Commission give going GOLDENWEISER Government GRUBB HANCOCK HUDDLESTON interstate commerce investment investors issuer KENNEY legislation listed loans MAPES margin requirements MARLAND mean MERRITT national securities exchange O'BRIEN odd-lot dealer officers operations percent person PETTENGILL PIERCE pool practices present profit prohibition protection provision proxies public interest purchase purpose question reason Roper report rules and regulations security registered shares short selling sold specialist speculation statement stock market stockholders stop-loss orders thing tion underwriter unlisted securities WHITNEY WOLVERTON York Curb Exchange York Stock Exchange
Pasajes populares
Página 7 - Commission shall be final, subject to review by the Supreme Court of the United States upon certiorari or certification as provided in sections 239 and 240 of the Judicial Code, as amended (USC, title 28, sees. 346 and 347).
Página 7 - Circuit Court of Appeals of the United States, within any circuit wherein such person resides or has his principal place of business, or in the United States Court of Appeals for the District of Columbia...
Página 566 - If any provision of this Act, or the application of such provision to any person or circumstance, shall be held invalid, the remainder of this Act, or the application of such provision to persons or circumstances other than those as to which it is held invalid, shall not be affected thereby. SEC. 16. This Act may be cited as the "National Labor Relations Act.
Página 273 - broker" means any person engaged in the business of effecting transactions in securities for the account of others, but does not include a bank. (5) The term "dealer" means any person engaged in the business of buying and selling securities for his own account, through a broker or otherwise, but does not include a bank, or any person insofar as he buys or sells securities for his own account, either individually or in some fiduciary capacity, but not as a part of a regular business. (6) The term...
Página 7 - Individual shall be prosecuted or subjected to any penalty or forfeiture for or on account of any transaction, matter, or thing concerning which he Is compelled, after having claimed his privilege against self-incrimination, to testify or produce evidence, except that such individual so testifying shall not be exempt from prosecution and punishment for perjury committed in so testifying.
Página 238 - The making of goods and the mining of coal are not commerce, nor does the fact that these things are to be afterwards shipped or used in interstate commerce, make their production a part thereof.
Página 547 - ... any note, draft, bill of exchange, or banker's acceptance which has a maturity at the time of issuance of not exceeding nine months, exclusive of days of grace, or any renewal thereof the maturity of which is likewise limited. (11) The term "equity security...
Página 538 - As used in this paragraph the term "issuer" shall include, in addition to an issuer, any person directly or indirectly controlling or controlled by the issuer, or any person under direct or indirect common control with the issuer.
Página 3 - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails or of any facility of any national securities exchange...