Stock Exchange Regulation. Hearing ... on H.R. 8720 ... Feb. 14 - Mar. 24, 1934 |
도서 본문에서
87개의 결과 중 1 - 5개
2 페이지
... specialist " means any person who specializes in the execution of orders in respect of any security or securities on an exchange and who commonly receives from other members of the exchange orders for execution in respect of such ...
... specialist " means any person who specializes in the execution of orders in respect of any security or securities on an exchange and who commonly receives from other members of the exchange orders for execution in respect of such ...
7 페이지
... specialist unless registered as such with the exchange , subject to such rules and regulations as the Commission may prescribe , and it shall be unlawful for any specialist on a national securities exchange ( a ) to effect on the ...
... specialist unless registered as such with the exchange , subject to such rules and regulations as the Commission may prescribe , and it shall be unlawful for any specialist on a national securities exchange ( a ) to effect on the ...
21 페이지
... specialists . The powers the specialists now exercise on the Exchange are very greatly curtailed by the act . Section 11 deals with the registration requirements of securities as distinguished from exchanges . In other words , with ...
... specialists . The powers the specialists now exercise on the Exchange are very greatly curtailed by the act . Section 11 deals with the registration requirements of securities as distinguished from exchanges . In other words , with ...
25 페이지
... specialists considerably different . Specialists cannot trade on their own account , because no member of the exchange , under the bill , can trade for his own account . It also prohibits the disclosure of any information on the ...
... specialists considerably different . Specialists cannot trade on their own account , because no member of the exchange , under the bill , can trade for his own account . It also prohibits the disclosure of any information on the ...
34 페이지
... specialist , and dealer , which is accomplished by this bill , is not accomplished in the present exchange regulations . Considerable criticism exists today against the licensing require- ments of 34 STOCK EXCHANGE REGULATION.
... specialist , and dealer , which is accomplished by this bill , is not accomplished in the present exchange regulations . Considerable criticism exists today against the licensing require- ments of 34 STOCK EXCHANGE REGULATION.
자주 나오는 단어 및 구문
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
인기 인용구
627 페이지 - 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 페이지 - ... may be served in any other district of which the defendant is an inhabitant or wherever the defendant may be found.
13 페이지 - 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 페이지 - 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 페이지 - ... 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 페이지 - 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 페이지 - ... 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 페이지 - 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.