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 - 941페이지 |
도서 본문에서
100개의 결과 중 1 - 5개
126 페이지
It will have a most serious effect on dealers , and particularly dealers like ourselves who have never had any margin accounts and whose interest is in high - grade bonds . If a dealer , through loss of membership on the exchanges ...
It will have a most serious effect on dealers , and particularly dealers like ourselves who have never had any margin accounts and whose interest is in high - grade bonds . If a dealer , through loss of membership on the exchanges ...
127 페이지
I wonder if the proposed law cannot be so drawn that a distinction is made between bond dealers doing only a cash ... though you do not take advantage of it at the present time , to accept brokerage orders for stocks as well as bonds .
I wonder if the proposed law cannot be so drawn that a distinction is made between bond dealers doing only a cash ... though you do not take advantage of it at the present time , to accept brokerage orders for stocks as well as bonds .
128 페이지
What bond dealers are worrying about is that they will have to pay full brokerage commissions on their purchases . ... Of course , the difficulty with bonds is that there are all kinds of gradations , from bonds down through convertible ...
What bond dealers are worrying about is that they will have to pay full brokerage commissions on their purchases . ... Of course , the difficulty with bonds is that there are all kinds of gradations , from bonds down through convertible ...
129 페이지
It might prove feasible , after thinking through the difference between a bond dealer , and a stock broker , to treat the bond dealer differently , particularly the dealer in the very high grade bonds . That differentiation is something ...
It might prove feasible , after thinking through the difference between a bond dealer , and a stock broker , to treat the bond dealer differently , particularly the dealer in the very high grade bonds . That differentiation is something ...
129 페이지
What bond dealers are worrying about is that they will have to pay full brokerage commissions on their purchases . ... Of course , the difficulty with bonds is that there are all kinds of gradations , from bonds down through convertible ...
What bond dealers are worrying about is that they will have to pay full brokerage commissions on their purchases . ... Of course , the difficulty with bonds is that there are all kinds of gradations , from bonds down through convertible ...
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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
인기 인용구
7 페이지 - 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 페이지 - 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 페이지 - 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 페이지 - 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 페이지 - 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 페이지 - 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 페이지 - ... 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 페이지 - 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 페이지 - 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...
도서 문헌정보
| 제목 | 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 ... |
| 저자 | United States. Congress. House. Committee on Interstate and Foreign Commerce |
| 발행인 | U.S. Government Printing Office, 1934 |
| 소장 | 미국 의회도서관 |
| 디지털화된 날짜: | 2007년 1월 16일 |
| 길이 | 941페이지 |
| 서지정보 내보내기 | BiBTeX EndNote RefMan |