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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92 페이지
That confines people who are in the brokerage business to lending on listed
stocks . You understand that are degrees of listings in stocks . Stocks are fully
listed on the New York Stock Exchange . That means that the issuing company
has ...
That confines people who are in the brokerage business to lending on listed
stocks . You understand that are degrees of listings in stocks . Stocks are fully
listed on the New York Stock Exchange . That means that the issuing company
has ...
380 페이지
Well , when an application has been made for the listing of a stock , by the
officers of the company , then it is called a listed stock . Mr. GRUBB . Yes , sir ;
fully listed . Mr. WOLVERTON . If the application for listing is made by a
stockholder of a ...
Well , when an application has been made for the listing of a stock , by the
officers of the company , then it is called a listed stock . Mr. GRUBB . Yes , sir ;
fully listed . Mr. WOLVERTON . If the application for listing is made by a
stockholder of a ...
512 페이지
exercise of this power it will no doubt find it necessary to require of the issuers of
unlisted securities some form of reports or statements at least analogous to those
required in the case of the listed securities . At the present time there are 1,367 ...
exercise of this power it will no doubt find it necessary to require of the issuers of
unlisted securities some form of reports or statements at least analogous to those
required in the case of the listed securities . At the present time there are 1,367 ...
693 페이지
The first is those which are fully listed — the New York Stock Exchange will not
trade in securities that are not fully listed . ... In the case of fully listed securities
the corporation issuing the securities itself applies for the listing , and as part of
the ...
The first is those which are fully listed — the New York Stock Exchange will not
trade in securities that are not fully listed . ... In the case of fully listed securities
the corporation issuing the securities itself applies for the listing , and as part of
the ...
695 페이지
against the stock being listed on the Chicago exchange if the issuer will list it as
he listed it on the New York exchange , and if the ... The New York Stock
Exchange does its level best to prevent the listing of any stock listed with it upon
a second ...
against the stock being listed on the Chicago exchange if the issuer will list it as
he listed it on the New York exchange , and if the ... The New York Stock
Exchange does its level best to prevent the listing of any stock listed with it upon
a second ...
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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 |