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 - 941페이지 |
도서 본문에서
100개의 결과 중 1 - 5개
27 페이지
... possible and at the same time preserve the public interest . Now , that balance has been differently achieved in the bill than it has been in the Roper report . The balance which was achieved in the Roper report , was the result of what ...
... possible and at the same time preserve the public interest . Now , that balance has been differently achieved in the bill than it has been in the Roper report . The balance which was achieved in the Roper report , was the result of what ...
34 페이지
... possible to regulate rates so as to be sure not to get more than an excess return on some and on others get less than a fair return and therefore it was desirable to have this recapture provision in there , Mr. Chief Justice Taft in ...
... possible to regulate rates so as to be sure not to get more than an excess return on some and on others get less than a fair return and therefore it was desirable to have this recapture provision in there , Mr. Chief Justice Taft in ...
51 페이지
... possible for someone to buy stock and pay for it in full , with the idea of selling it a short time later at a profit . If that were done , however , the amount of speculation would be relatively small , because it would be limited to ...
... possible for someone to buy stock and pay for it in full , with the idea of selling it a short time later at a profit . If that were done , however , the amount of speculation would be relatively small , because it would be limited to ...
56 페이지
... possible . That is a custom which grew up in the days before the Federal Reserve system when banks maintained most of their reserves with New York City banks as bankers ' balances , on which they received interest . The New York banks ...
... possible . That is a custom which grew up in the days before the Federal Reserve system when banks maintained most of their reserves with New York City banks as bankers ' balances , on which they received interest . The New York banks ...
81 페이지
... possible , then is the 60 percent margin requirement justified on the ground that it keeps the little man out of the market , who might want to try to recoup some of the losses he has had ? That is , will the antici- pated profits of ...
... possible , then is the 60 percent margin requirement justified on the ground that it keeps the little man out of the market , who might want to try to recoup some of the losses he has had ? That is , will the antici- pated profits of ...
자주 나오는 단어 및 구문
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
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...