Stock Exchange Regulation: Hearing[s] 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 - 941ÆäÀÌÁö |
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648 New York Stock Exchange Floor Traders - 914 New York Stock Exchange Specialists . 883 William J. Ryan ... 561 Arthur W. Sewall . 645 The Investment Bankers ' Association of America . 593 Oliver J. Troster .
648 New York Stock Exchange Floor Traders - 914 New York Stock Exchange Specialists . 883 William J. Ryan ... 561 Arthur W. Sewall . 645 The Investment Bankers ' Association of America . 593 Oliver J. Troster .
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Members on the exchange buy from each other purely on the exchange — I am taking the New York Stock Exchange as an example on the exchange , right in the building . Deliveries of securities are made in New York ; payments are made in ...
Members on the exchange buy from each other purely on the exchange — I am taking the New York Stock Exchange as an example on the exchange , right in the building . Deliveries of securities are made in New York ; payments are made in ...
57 ÆäÀÌÁö
Then , also , the brokers in New York City have a certain customer relationship to New York City banks . The stock market is the central activity of the financial district , and New York City banks feel obligated to furnish their ...
Then , also , the brokers in New York City have a certain customer relationship to New York City banks . The stock market is the central activity of the financial district , and New York City banks feel obligated to furnish their ...
62 ÆäÀÌÁö
You are familiar with the rules and regulations of the New York Stock Exchange , are you not ? Mr. Thomas . I have been at times ; yes . I have not kept up , very accurately , with the great mass of rules and regulations being issued ...
You are familiar with the rules and regulations of the New York Stock Exchange , are you not ? Mr. Thomas . I have been at times ; yes . I have not kept up , very accurately , with the great mass of rules and regulations being issued ...
63 ÆäÀÌÁö
When a New York broker wants to borrow , he goes to the money desk in the stock exchange and says , " at what rate is money offered today ? I will take ¡± a certain amount . And the only limitation is the amount and quality of his ...
When a New York broker wants to borrow , he goes to the money desk in the stock exchange and says , " at what rate is money offered today ? I will take ¡± a certain amount . And the only limitation is the amount and quality of his ...
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amount application authority banks believe bill bonds broker carry CHAIRMAN committee concerned Congress contracts CORCORAN corporations course court dealer dealing desirable DICKINSON directors effect exist fact Federal Trade Commission firms give given going Government GRUBB houses HUDDLESTON interest interstate commerce investment banker investors issue issuer KENNEY legislation limited listed loans Mapes margin MARLAND matter means national securities exchange necessary officers operations particular percent period person PETTENGILL practices present prohibition protection provisions purchase question reason reference regard registered regulation represent requirements respect result rules rules and regulations sell shares specialist speculation statement Stock Exchange stockholders suggestions thing tion transactions United unless unlisted WHITNEY WOLVERTON York York Stock Exchange
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7 ÆäÀÌÁö - 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).
7 ÆäÀÌÁö - 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...
566 ÆäÀÌÁö - 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.
273 ÆäÀÌÁö - 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...
7 ÆäÀÌÁö - 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.
238 ÆäÀÌÁö - 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.
547 ÆäÀÌÁö - ... 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...
538 ÆäÀÌÁö - 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.
3 ÆäÀÌÁö - 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...