National securities exchange act 1934. Feb. 26-Apr. 5, 1934. 2 vU.S. Government Printing Office, 1934 Investigates investment banking industry practices and interlocking management arrangements between commercial banks and investment banking firms. |
도서 본문에서
100개의 결과 중 1 - 5개
6423 페이지
... sell a security or any interest in a security . 12. The terms " sale " and " sell " each include any contract of sale or dis- position of , contract to sell or dispose of , attempt or offer to dispose of , or solicitation of an offer to ...
... sell a security or any interest in a security . 12. The terms " sale " and " sell " each include any contract of sale or dis- position of , contract to sell or dispose of , attempt or offer to dispose of , or solicitation of an offer to ...
6430 페이지
... sell any such registered security , if the person selling does not own the security sold or if the person selling owns the security but does not deliver it against such sale within five days ; ( 3 ) To disclose , directly or indirectly ...
... sell any such registered security , if the person selling does not own the security sold or if the person selling owns the security but does not deliver it against such sale within five days ; ( 3 ) To disclose , directly or indirectly ...
6445 페이지
... sell , which they otherwise would , and a large part of the floating stock was absorbed by people who were speculat- ing in it , but who refused to sell because their profits were so large that they would not sell , and that gave other ...
... sell , which they otherwise would , and a large part of the floating stock was absorbed by people who were speculat- ing in it , but who refused to sell because their profits were so large that they would not sell , and that gave other ...
6446 페이지
... sell when the market was going up . Mr. GOLDENWEISER . Yes . Senator KEAN . Then , when the market started to go down , they were obliged to sell , and that increased the pressure of sales on the market . Mr. GOLDENWEISER . Yes ...
... sell when the market was going up . Mr. GOLDENWEISER . Yes . Senator KEAN . Then , when the market started to go down , they were obliged to sell , and that increased the pressure of sales on the market . Mr. GOLDENWEISER . Yes ...
6448 페이지
... sell because it thought it was a good thing to sell , but it would not be forced to sell by debt . Senator KEAN . There is one question I would like to ask if I may . You talked about the development of the stock business from 1922 , or ...
... sell because it thought it was a good thing to sell , but it would not be forced to sell by debt . Senator KEAN . There is one question I would like to ask if I may . You talked about the development of the stock business from 1922 , or ...
목차
6421 | |
6741 | |
6768 | |
6850 | |
6889 | |
6895 | |
6899 | |
6903 | |
7135 | |
7159 | |
7188 | |
7203 | |
7213 | |
7217 | |
7221 | |
7244 | |
6957 | |
7003 | |
7005 | |
7020 | |
7023 | |
7024 | |
7032 | |
7089 | |
7263 | |
7269 | |
7277 | |
7281 | |
7288 | |
7398 | |
7401 | |
자주 나오는 단어 및 구문
abuses ADLER ALTSCHUL amount banks believe BERNHEIM bill bonds borrow broker brokerage BULKLEY business in securities buying and selling capital CHAIRMAN committee companies Congress CORCORAN corporations court deal dealer Deer Lodge County directors effect fact Federal Reserve Federal Reserve System Federal Trade Commission give GOLDENWEISER interstate commerce investment issuer listed loan value mails margin requirements matter means ment national securities exchange officers operation over-the-counter over-the-counter market PECORA percent person practices prescribe present prohibition provisions public interest purchase purpose question REDMOND regard reports rules and regulations security registered Senator BARKLEY Senator CAREY Senator CoSTIGAN Senator GORE Senator KEAN Senator McADOO Senator WALCOTT shares short selling sold specialist speculation SPRAGUE statement stockholders stop-loss orders thing tion underwriter unlawful unlisted securities WHITNEY WITTER York Stock Exchange
인기 인용구
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.
6435 페이지 - Territorial courts, of all suits in equity and actions at law brought to enforce any liability or duty created by, or to enjoin any violation of this title or the rules, regulations, or orders thereunder.
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...