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 - 941ÆäÀÌÁö |
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34 ÆäÀÌÁö
They run - I think I am right on this - 50 percent on the accounts under $ 5,000 and 30 percent on accounts above that ; and the 30 percent is fixed on the debit balance rather than the value of the securities .
They run - I think I am right on this - 50 percent on the accounts under $ 5,000 and 30 percent on accounts above that ; and the 30 percent is fixed on the debit balance rather than the value of the securities .
36 ÆäÀÌÁö
I have noticed , Mr. Commissioner , that you have gone to considerable length with regard to margin requirements on long transactions , going so far as to require a margin of 80 percent of the previous 3 years ' low and that you have ...
I have noticed , Mr. Commissioner , that you have gone to considerable length with regard to margin requirements on long transactions , going so far as to require a margin of 80 percent of the previous 3 years ' low and that you have ...
37 ÆäÀÌÁö
Today , there is a requirement that for small accounts , under $ 5,000 , the margin must be 50 percent and another requirement for accounts above $ 5,000 where the margin must be 30 percent . This bill at least has equality there ...
Today , there is a requirement that for small accounts , under $ 5,000 , the margin must be 50 percent and another requirement for accounts above $ 5,000 where the margin must be 30 percent . This bill at least has equality there ...
39 ÆäÀÌÁö
Except on 60 percent down payment . Commissioner LANDIS . Sixty percent down payment . Mr. MARLAND . On that down payment . Commissioner LANDIS . That is true . But , why do you think this will operate in favor of the large fellow ...
Except on 60 percent down payment . Commissioner LANDIS . Sixty percent down payment . Mr. MARLAND . On that down payment . Commissioner LANDIS . That is true . But , why do you think this will operate in favor of the large fellow ...
40 ÆäÀÌÁö
Sixty percent is your general standard ; but when it comes to steady stocks , the margin requirement then runs 20 percent of the lowest price that the security has had during the last three years . Mr. KENNEY .
Sixty percent is your general standard ; but when it comes to steady stocks , the margin requirement then runs 20 percent of the lowest price that the security has had during the last three years . Mr. KENNEY .
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amount application authority banks believe bill Board bonds broker carry CHAIRMAN committee concerned Congress CORCORAN corporations course deal dealer desirable effect existing fact Federal Reserve Federal Reserve Board Federal Trade Commission firms 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 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 understand United unlisted WHITNEY WOLVERTON York York Stock Exchange
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635 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).
635 ÆäÀÌÁö - 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.
5 ÆäÀÌÁö - 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...
634 ÆäÀÌÁö - 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...
12 ÆäÀÌÁö - ... 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.
285 ÆäÀÌÁö - 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...
623 ÆäÀÌÁö - 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...
592 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.
8 ÆäÀÌÁö - 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...