National securities exchange act 1934. Feb. 26-Apr. 5, 1934. 2 v
U.S. Government Printing Office, 1934
Investigates investment banking industry practices and interlocking management arrangements between commercial banks and investment banking firms.
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active amount apply authority banks believe bill bonds borrow broker capital carry CHAIRMAN Commission committee contracts CORCORAN corporations course court Curb deal dealer effect entirely execute exist fact Federal Trade Commission give given Government houses important interest interstate commerce investment investors issues limited listed loans margin matter mean necessary officers operation opinion particular PECORA percent period person possible practices present profit prohibited protection provisions purchase question reason record REDMOND reference regard registered regulations reports requirements respect result rules rules and regulations securities securities exchange sell Senator GORE Senator KEAN shares short situation sold specialist speculation statement stockholders suggest thing tion transactions true United unlisted WHITNEY York Stock Exchange
6434 페이지 - The judgment and decree of the court shall be final, except that the same shall be subject to review by the Supreme Court upon certiorari, as provided in section 1254 of Title 28.
6434 페이지 - Any person aggrieved by an order issued by the Commission in a proceeding to which such person is a party may obtain a review of such order in the 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...
6430 페이지 - Suit to recover such profit may be instituted at law or in equity in any court of competent jurisdiction by the issuer, or by the owner of any security of the issuer in the name and...
6471 페이지 - It shall be unlawful for any member of a national securities exchange or any broker or dealer who transacts a business in securities through the medium of any such member...
6433 페이지 - The Commission may transmit such evidence as may be available concerning such acts or practices to the Attorney General who may, in his discretion, institute the necessary criminal proceedings under this title.
7230 페이지 - ... in contravention of such rules and regulations as the Commission may prescribe as necessary or appropriate in the public interest or for the protection of investors. (b) It shall be unlawful for any member of a national securities exchange...
6427 페이지 - ... (b) To use or employ, in connection with the purchase or sale of any security registered on a national securities exchange or any security not so registered, any manipulative or deceptive device or contrivance in contravention of such rules and regulations as the Commission may prescribe as necessary or appropriate in the public interest or for the protection of investors.
6434 페이지 - Commission as to the facts, if supported by evidence, shall be conclusive. If either party shall apply to the court for leave to adduce additional evidence, and shall show to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for...
6423 페이지 - ... collateral-trust certificates, or with respect to certificates of interest or shares in an unincorporated investment trust not having a board of directors (or persons performing similar functions) or of the fixed, restricted management or unit type; the term 'issuer...