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HEARINGS

BEFORE THE

COMMITTEE ON BANKING AND CURRENCY

UNITED STATES SENATE
SEVENTY-THIRD CONGRESS

SECOND SESSION

ON
S.Res. 84

(720 CONGRESS)
A RESOLUTION TO INVESTIGATE PRACTICES OF STOCK
EXCHANGES WITH RESPECT TO THE BUYING AND
SELLING AND THE BORROWING AND LENDING
OF LISTED SECURITIES

AND
S.Res. 56 and S.Res. 97

(73d CONGRESS)
RESOLUTIONS TO INVESTIGATE THE MATTER OF BANKING
OPERATIONS AND PRACTICES, TRANSACTIONS RELATING TO
ANY SALE, EXCHANGE, PURCHASE, ACQUISITION, BORROW.
ING, LENDING, FINANCING, ISSUING, DISTRIBUTING, OR
OTHER DISPOSITION OF, OR DEALING IN, SECURITIES OR
CREDIT BY ANY PERSON OR FIRM, PARTNERSHIP, COMPANY,
ASSOCIATION, CORPORATION, OR OTHER ENTITY, WITH A
VIEW TO RECOMMENDING NECESSARY LEGISLATION, UNDER

THE TAXING POWER OR OTHER FEDERAL POWERS

PART 16
National Securities Exchange Act (continued)

MARCH 23 TO APRIL 5, 1934

Printed for the use of the Committee on Banking and Currency

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HEARINGS

BEFORE THE

COMMITTEE ON BANKING AND CURRENCY

UNITED STATES SENATE
SEVENTY-THIRD CONGRESS

SECOND SESSION

ON
S.Res. 84

(72d CONGRESS)
A RESOLUTION TO INVESTIGATE PRACTICES OF STOCK
EXCHANGES WITH RESPECT TO THE BUYING AND
SELLING AND THE BORROWING AND LENDING

OF LISTED SECURITIES

AND

S.Res. 56 and S.Res. 97

(73d CONGRESS)
RESOLUTIONS TO INVESTIGATE THE MATTER OF BANKING
OPERATIONS AND PRACTICES, TRANSACTIONS RELATING TO
ANY SALE, EXCHANGE, PURCHASE, ACQUISITION, BORROW.
ING, LENDING, FINANCING, ISSUING, DISTRIBUTING, OR
OTHER DISPOSITION OF, OR DEALING IN, SECURITIES OR
CREDIT BY ANY PERSON OR FIRM, PARTNERSHIP, COMPANY,
ASSOCIATION, CORPORATION, OR OTHER ENTITY, WITH A
VIEW TO RECOMMENDING NECESSARY LEGISLATION, UNDER

THE TAXING POWER OR OTHER FEDERAL POWERS

PART 16

National Securities Exchange Act (continued)

MARCH 23 TO APRIL 5, 1934

Printed for the use of the Committee on Banking and Currency

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477788

COMMITTEE ON BANKING AND CURRENCY

DUNCAN U. FLETCHER, Florida, Chairman CARTER GLASS, Virginia

PETER NORBECK, South Dakota ROBERT F. WAGNER, New York

PHILLIPS LEE GOLDSBOROUGH, Maryland ALBEN W. BARKLEY, Kentucky

JOHN G. TOWNSEND, JR., Delaware ROBERT J. BULKLEY, Ohio

FREDERIC C. WALCOTT, Connecticut THOMAS P. GORE, Oklahoma

ROBERT D. CAREY, Wyoming
EDWARD P. COSTIGAN Colorado

JAMES COUZENS, Michigan
ROBERT R. REYNOLDS, North Carolina FREDERICK STEIWER, Oregon
JAMES F. BYRNES, South Carolina HAMILTON F. KEAN, New Jersey
JOHN H. BANKHEAD, Alabama
WILLIAM GIBBS MCADOO, California
ALVA B. ADAMS, Colorado

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CONTENTS

Pago
Backus, Edward W., Minneapolis, Minn..

7645
Black, Eugene R., Hon., Governor of the Federal Reserve Board, Wash-
ington, D.C..

7415
Butcher, Howard, Jr., president of the Philadelphia Stock Exchange,
Philadelphia, Pa---

7455
Chinlund, Edwin F., representing Controllers Institute of America, New
York N.Y---

7491

Cotton, H. H., Los Angeles, Calif., representing the Investment Bank

of Los Angeles.

7413

Gibbons, George B., president George B. Gibbons & Co., Inc., municipal

bond dealers, New York, NY.

7441

Healy, Robert E., chief counsel Federal Trade Commission, Washington,

D.C.

7587

Redmond, Roland L., attorney for the New York Stock Exchange -

7539

Roosevelt, Archibald B., president of Roosevelt & Weifold, Inc., dealers

in municipal securities, New York, N.Y., and George B. Gibbons, presi-

dent George B. Gibbons & Co., Inc., municipal bond dealers, New

York, NY

7441

Smith, Tom K., Assistant to the Secretary of the Treasury, Washington,
D.C.--

7470

Thompson, Eugene E., president of the Associated Stock Exchanges,

Washington, D.C-----

7524

Untermeyer, Samuel, attorney at law, New York City.

7703, 7731
Whitney, Richard, president of the New York Stock Exchange---- 7479, 7537

EXHIBITS

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