Stock Exchange Regulation. Hearing ... on H.R. 8720 ... Feb. 14 - Mar. 24, 1934 |
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4 ÆäÀÌÁö
... application , unless the exchange applying for registration shall withdraw its application or consent to the Commission's deferring action on its application for a stated longer period after the date of its filing . The filing with the ...
... application , unless the exchange applying for registration shall withdraw its application or consent to the Commission's deferring action on its application for a stated longer period after the date of its filing . The filing with the ...
5 ÆäÀÌÁö
... application for the loan is accompanied by a statement by the borrower that such security has been acquired by the borrower and paid for in full more than thirty days prior to the making of the loan . Any person who for the purpose of ...
... application for the loan is accompanied by a statement by the borrower that such security has been acquired by the borrower and paid for in full more than thirty days prior to the making of the loan . Any person who for the purpose of ...
7 ÆäÀÌÁö
... application by the issuer , by filing with such exchange and with the Commission such undertakings , information , and documents as the Commission may by its rules and regulations require in the public interest and for the protection of ...
... application by the issuer , by filing with such exchange and with the Commission such undertakings , information , and documents as the Commission may by its rules and regulations require in the public interest and for the protection of ...
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... application by the issuer or the exchange to the Commission . ANNUAL , QUARTERLY , AND MONTHLY REPORTS SEC . 12. ( a ) Every issuer of a security registered on a national securities exchange shall file with the exchange and with the ...
... application by the issuer or the exchange to the Commission . ANNUAL , QUARTERLY , AND MONTHLY REPORTS SEC . 12. ( a ) Every issuer of a security registered on a national securities exchange shall file with the exchange and with the ...
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... application , report , or document filed with the Commission , which statement is , in the light of the circumstances under which it was made , false or misleading in respect of any matter sufficiently im- portant to influence the ...
... application , report , or document filed with the Commission , which statement is , in the light of the circumstances under which it was made , false or misleading in respect of any matter sufficiently im- portant to influence the ...
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authority banks believe bill bonds borrow broker brokerage bucket shop BULWINKLE capital CHAIRMAN collateral Commissioner LANDIS Congress CORCORAN corporations Curb Exchange deal DICKINSON directors effect fact Federal Reserve Board Federal Reserve System Federal Trade Commission firms give going GOLDENWEISER Government GRUBB HANCOCK houses HUDDLESTON industry interstate commerce Interstate Commerce Commission investors issue issuer KENNEY legislation listed loans MAPES margin requirements MARLAND matter mean ment MERRITT national securities exchange NEWBOLD O'BRIEN odd-lot dealer officers operations opinion over-the-counter percent person PETTENGILL PIERCE practices present prohibition protection provisions proxies public interest purchase purpose question reason reference registered rules and regulations segregation short selling SMITH specialist speculation statement stock market stockholders suggestions thing tion transactions unlisted securities WHITNEY WOLVERTON York Curb Exchange York Stock Exchange
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627 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).
627 ÆäÀÌÁö - ... may be served in any other district of which the defendant is an inhabitant or wherever the defendant may be found.
13 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...
14 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.
627 ÆäÀÌÁö - ... to give evidence touching the matter in question; and any failure to obey such order of the court may be punished by such court as a contempt thereof.
254 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.
593 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...
584 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.