Stock Exchange Regulation: Hearing Before the Committee...seventy-third Congress, Second Session on H.R. 7852...H.R. 8720...February 14 to March 24, 1934U.S. Government Printing Office, 1934 - 941페이지 |
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3 페이지
... whom a broker or dealer extends credit on any security . 9. The term “ person " means an individual , a corporation , a partnership , an association , a joint - stock company , a trust , any unincorporated organization or exchange .
... whom a broker or dealer extends credit on any security . 9. The term “ person " means an individual , a corporation , a partnership , an association , a joint - stock company , a trust , any unincorporated organization or exchange .
116 페이지
... to give you advice as to what securities to buy and sell . Look at the alcohol situation again . There a stock - exchange house that was a participant in the pool thus acting as a dealer for its own account was sending out every ...
... to give you advice as to what securities to buy and sell . Look at the alcohol situation again . There a stock - exchange house that was a participant in the pool thus acting as a dealer for its own account was sending out every ...
117 페이지
He is a dealer but is not on the floor ? Mr. CORCORAN . The term " dealer " is broad enough to include this special kind of a dealer who trades on the floor , and other dealers , who deal off the floor . Mr. MAPES .
He is a dealer but is not on the floor ? Mr. CORCORAN . The term " dealer " is broad enough to include this special kind of a dealer who trades on the floor , and other dealers , who deal off the floor . Mr. MAPES .
123 페이지
and not for the purpose of selling to somebody else outside as a dealer does . Usually he buys in some time during the morning and then sells out during the afternoon . He is a so - called “ floor trader ” , and one of the most ...
and not for the purpose of selling to somebody else outside as a dealer does . Usually he buys in some time during the morning and then sells out during the afternoon . He is a so - called “ floor trader ” , and one of the most ...
126 페이지
I understood you to say that there is a class of dealers who might fairly be excepted , and to be sure that I ... transacts a business in securities through the medium of any such member , to act as a dealer in or underwriter of ...
I understood you to say that there is a class of dealers who might fairly be excepted , and to be sure that I ... transacts a business in securities through the medium of any such member , to act as a dealer in or underwriter of ...
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amount application authority banks believe bill Board bonds broker carry CHAIRMAN committee concerned Congress CORCORAN corporations course dealer dealing desire effect existing fact Federal Reserve Federal Reserve Board Federal Trade Commission give given going Government houses HUDDLESTON industry interest interstate commerce investment banker investors issue KENNEY legislation limited listed loans Mapes margin MARLAND matter mean national securities exchange necessary officers operations opinion particular percent person PETTENGILL possible practices present prohibition protection provisions purchase question reason reference regard registered regulation represent requirements respect result rules rules and regulations selling shares Smith specialist speculation statement Stock Exchange stockholders suggestions thing tion transactions United unlisted WHITNEY WOLVERTON York York Stock Exchange
인기 인용구
631 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).
631 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.
3 페이지 - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails or of any facility of any national securities exchange...
630 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...
10 페이지 - ... 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.
283 페이지 - broker" means any person engaged in the business of effecting transactions in securities for the account of others, but does not include a bank. (5) The term "dealer" means any person engaged in the business of buying and selling securities for his own account, through a broker or otherwise, but does not include a bank, or any person insofar as he buys or sells securities for his own account, either individually or in some fiduciary capacity, but not as a part of a regular business. (6) The term...
619 페이지 - security" means any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment contract, voting-trust certificate, certificate of deposit for a security, fractional undivided interest in oil, gas, or other mineral rights, or, in general, any interest or instrument commonly known as a security...
588 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.
6 페이지 - Section 15 of this title, which statement was at the time and in the light of the circumstances under which it was made false or misleading with respect to any material fact, shall be liable to any person (not knowing that such statement was false or misleading...
도서 문헌정보
| 제목 | Stock Exchange Regulation: Hearing Before the Committee...seventy-third Congress, Second Session on H.R. 7852...H.R. 8720...February 14 to March 24, 1934 |
| 저자 | United States. Congress. Senate. Interstate and Foreign Commerce Committee |
| 발행인 | U.S. Government Printing Office, 1934 |
| 길이 | 941페이지 |
| 서지정보 내보내기 | BiBTeX EndNote RefMan |