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 |
도서 본문에서
5개의 결과 중 1 - 5개
606 페이지
As used in this section the term " salesman " shall include any investment banker
, or any partner , officer or employee thereof who does any act or thing in this
section described . Sec . 4. Orders taken by salesmen . — Any investment banker
...
As used in this section the term " salesman " shall include any investment banker
, or any partner , officer or employee thereof who does any act or thing in this
section described . Sec . 4. Orders taken by salesmen . — Any investment banker
...
607 페이지
unless such investment banker believes that such transaction was a bona fide
purchase and sale of such security , or which purports to quote the bid price or
asked price for any security , unless such investment banker believes that such ...
unless such investment banker believes that such transaction was a bona fide
purchase and sale of such security , or which purports to quote the bid price or
asked price for any security , unless such investment banker believes that such ...
608 페이지
ARTICLE X. REGISTRATION OF INVESTMENT BANKERS SECTION 1.
Registration agreement . — Each investment banker who registers under this
article thereby agrecs with every other investment banker who registers under
this article to ...
ARTICLE X. REGISTRATION OF INVESTMENT BANKERS SECTION 1.
Registration agreement . — Each investment banker who registers under this
article thereby agrecs with every other investment banker who registers under
this article to ...
609 페이지
When any complaint is filed against any registered investment banker with any
regional code committee of the district in which the principal office of such
investment banker is located , or when any complaint is forwarded to such
committee ...
When any complaint is filed against any registered investment banker with any
regional code committee of the district in which the principal office of such
investment banker is located , or when any complaint is forwarded to such
committee ...
610 페이지
The investment bankers code committee shall be vested with all the powers
necessary and appropriate to carry out the ... Any registered investment banker
may , at any time , withdraw from such registration and by so doing relieve
himself of ...
The investment bankers code committee shall be vested with all the powers
necessary and appropriate to carry out the ... Any registered investment banker
may , at any time , withdraw from such registration and by so doing relieve
himself 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 prohibit 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
633 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).
633 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...
632 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...
621 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...
590 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 |