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
8개의 결과 중 1 - 5개
136 페이지
You will catch a few of them, and the fact that there is a risk of being caught, even
if that is only a small risk, will act as a deterrent in a great many cases. Mr.
WOLVERTON. It would seem to require considerable optimism to expect this
provision ...
You will catch a few of them, and the fact that there is a risk of being caught, even
if that is only a small risk, will act as a deterrent in a great many cases. Mr.
WOLVERTON. It would seem to require considerable optimism to expect this
provision ...
247 페이지
The central fact of a stock exchange is that it is , in essence , a market for a
particular thing , the security . Persons desirous of buying and selling securities
are here assembled more readily to facilitate their aims . In the modern exchange
the ...
The central fact of a stock exchange is that it is , in essence , a market for a
particular thing , the security . Persons desirous of buying and selling securities
are here assembled more readily to facilitate their aims . In the modern exchange
the ...
380 페이지
Mr. GRCBB. Yes, sir. Mr. WOLVERTON. And yet such stock is in fact listed for the
purpose of trading ... Because it does not answer entirely all of the specific facts
as called for in our full listed requirements. Mr. WOLVERTON. It merely seems to
...
Mr. GRCBB. Yes, sir. Mr. WOLVERTON. And yet such stock is in fact listed for the
purpose of trading ... Because it does not answer entirely all of the specific facts
as called for in our full listed requirements. Mr. WOLVERTON. It merely seems to
...
338 페이지
Generally throughout New England a broker cannot buy from or sell to his
customer securities without full disclosure of the fact that he is selling his own
securities . If that fact is not disclosed , the customer may repudiate the
transaction and ...
Generally throughout New England a broker cannot buy from or sell to his
customer securities without full disclosure of the fact that he is selling his own
securities . If that fact is not disclosed , the customer may repudiate the
transaction and ...
488 페이지
The customer might prefer to deal with the house of issue and no reason is seen
why he should not be free to do so if he is in possession of the facts . The other
aspect of the ethical problem is that a banking or brokerage firm holding
securities ...
The customer might prefer to deal with the house of issue and no reason is seen
why he should not be free to do so if he is in possession of the facts . The other
aspect of the ethical problem is that a banking or brokerage firm holding
securities ...
다른 사람들의 의견 - 서평 쓰기
서평을 찾을 수 없습니다.
자주 나오는 단어 및 구문
amount application authority banks believe bill bonds borrow broker carried CHAIRMAN Commission Commissioner LANDIS committee companies concerned Congress CORCORAN corporations course deal dealer DICKINSON directors effect existence fact Federal Trade Commission firms funds give given going GOLDENWEISER Government houses HUDDLESTON interest interstate commerce investment investors issues KENNEY legislation limit listed loans Mapes margin MARLAND matter mean national securities exchange necessary officers operations particular percent period person PETTENGILL possible practices present profit protection provision purchase question reason reference regard registered regulation represent requirements rules rules and regulations securities sell shares short situation specialist speculation statement Stock Exchange stockholders suggestions thing tion transactions true United unlisted WHITNEY WOLVERTON 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 |