Stock Exchange Regulation: Hearing Before the Committee...seventy-third Congress, Second Session on H.R. 7852...H.R. 8720...February 14 to March 24, 1934U.S. Government Printing Office, 1934 - 941 páginas |
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Página 1
... dealing with constitutional law and legal aspects of financial transactions ; has served as special adviser to the Federal Trade Commission in setting up its administration of the Securities Act of 1933 ; and is now commissioner in ...
... dealing with constitutional law and legal aspects of financial transactions ; has served as special adviser to the Federal Trade Commission in setting up its administration of the Securities Act of 1933 ; and is now commissioner in ...
Página 2
... dealing in securities in interstate commerce . The prices established and offered in such transactions are generally quoted and disseminated throughout the United States and foreign countries as a basis for determining and establishing ...
... dealing in securities in interstate commerce . The prices established and offered in such transactions are generally quoted and disseminated throughout the United States and foreign countries as a basis for determining and establishing ...
Página 4
... dealing and to protect investors , the Commission shall cause such exchange to be registered as a national securities exchange . ( c ) The Commission shall enter an order either granting or , after appropriate notice and opportunity for ...
... dealing and to protect investors , the Commission shall cause such exchange to be registered as a national securities exchange . ( c ) The Commission shall enter an order either granting or , after appropriate notice and opportunity for ...
Página 21
... dealing with that by arbitrary requirements , one way or another , the 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 ...
... dealing with that by arbitrary requirements , one way or another , the 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 ...
Página 22
... dealing in over - the - counter markets , brokers who deal with members of the exchange under the control of the Commission . It gives the right to surprise examinations . Section 18 gives large powers to the Commission . Subsection ( a ) ...
... dealing in over - the - counter markets , brokers who deal with members of the exchange under the control of the Commission . It gives the right to surprise examinations . Section 18 gives large powers to the Commission . Subsection ( a ) ...
Términos y frases comunes
application authority banks believe bill bonds borrow broker brokerage BULWINKLE CHAIRMAN Chicago Stock Exchange code committee collateral Commissioner LANDIS Congress CORCORAN corporations court dealing DICKINSON directors effect fact Federal Reserve Board Federal Reserve System Federal Trade Commission give going GOLDENWEISER Government GRUBB HANCOCK HUDDLESTON interstate commerce Interstate Commerce Commission issue issuer KENNEY legislation listed loans MAPES margin requirements MARLAND matter means ment MERRITT national securities exchange O'BRIEN odd-lot dealer officers operations over-the-counter percent person PETTENGILL PIERCE practices prescribe present prohibition protection of investors provisions proxies public interest purchase purpose question reason reference rules and regulations security registered short selling SMITH specialist speculation statement stock market stockholders suggestions thing tion transactions unlisted securities unlisted trading WHITNEY WOLVERTON York Curb Exchange York Stock Exchange
Pasajes populares
Página 633 - 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 633 - The judgment and decree of the court shall be final, except that the same shall be subject to review by the Supreme Court upon certiorari, as provided in section 1254 of Title 28.
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...
Página 632 - Any person aggrieved by an order issued by the Commission in a proceeding to which such person is a party may obtain a review of such order in the 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 10 - ... 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 283 - 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 621 - security" means any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment contract, voting-trust certificate, certificate of deposit for a security, fractional undivided interest in oil, gas, or other mineral rights, or, in general, any interest or instrument commonly known as a security...
Página 590 - 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 6 - Section 15 of this title, which statement was at the time and in the light of the circumstances under which it was made false or misleading with respect to any material fact, shall be liable to any person (not knowing that such statement was false or misleading...