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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The terms ¡° sale ¡± and ¡° sell ¡± each include any contract of sale or disposition of , contract to sell or dispose of , attempt or offer to dispose of , or solicitation of an offer to buy a security or any interest therein . 13.
The terms ¡° sale ¡± and ¡° sell ¡± each include any contract of sale or disposition of , contract to sell or dispose of , attempt or offer to dispose of , or solicitation of an offer to buy a security or any interest therein . 13.
47 ÆäÀÌÁö
Are you familiar with the practice of short selling by directors in some corporations , against the box , as it is called ? ... The directors knowing that a forthcoming corporation report will be unfavorable will sell short against ...
Are you familiar with the practice of short selling by directors in some corporations , against the box , as it is called ? ... The directors knowing that a forthcoming corporation report will be unfavorable will sell short against ...
48 ÆäÀÌÁö
I think it would be useful if you would briefly describe how short - selling operations are conducted for the information of those who are unskilled in these ... You give your broker an order to sell 100 shares of a stock short .
I think it would be useful if you would briefly describe how short - selling operations are conducted for the information of those who are unskilled in these ... You give your broker an order to sell 100 shares of a stock short .
50 ÆäÀÌÁö
If that should be legislated out of existence , then their right to buy and sell at higher prices is interfered with . ... directors and officers buying or selling their own stock in anticipation of favorable or unfavorable current ...
If that should be legislated out of existence , then their right to buy and sell at higher prices is interfered with . ... directors and officers buying or selling their own stock in anticipation of favorable or unfavorable current ...
53 ÆäÀÌÁö
has , and often exercises the right to sell collateral behind a loan that is insufficiently margined . In case prices of stocks , that are given as collateral for the loan , decline and the loan becomes under margined , the broker may ...
has , and often exercises the right to sell collateral behind a loan that is insufficiently margined . In case prices of stocks , that are given as collateral for the loan , decline and the loan becomes under margined , the broker may ...
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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...