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
92개의 결과 중 1 - 5개
4 페이지
... prescribe containing the undertakings , setting forth the information , and accompanied by the docu- ments herebelow set forth : ( 1 ) An undertaking to comply with , and to enforce so far as is within its powers compliance by its ...
... prescribe containing the undertakings , setting forth the information , and accompanied by the docu- ments herebelow set forth : ( 1 ) An undertaking to comply with , and to enforce so far as is within its powers compliance by its ...
5 페이지
... prescribe the times at and the specific methods by which values shall be calculated for the purposes of this section , the time within which initial and subsequent payments shall be made by the customer , and the notice to be given and ...
... prescribe the times at and the specific methods by which values shall be calculated for the purposes of this section , the time within which initial and subsequent payments shall be made by the customer , and the notice to be given and ...
6 페이지
... prescribe as appropriate or necessary in the public interest or for the protection of investors ; ( 8 ) To acquire substantial control of the floating supply of any security regis- tered on a national securities exchange for the purpose ...
... prescribe as appropriate or necessary in the public interest or for the protection of investors ; ( 8 ) To acquire substantial control of the floating supply of any security regis- tered on a national securities exchange for the purpose ...
7 페이지
... prescribe as appropriate or necessary in the public interest or for the protection of investors ; ( b ) To use or employ or to execute or accept for execution any stop - loss order in connection with the purchase or sale of any security ...
... prescribe as appropriate or necessary in the public interest or for the protection of investors ; ( b ) To use or employ or to execute or accept for execution any stop - loss order in connection with the purchase or sale of any security ...
8 페이지
... prescribe : ( II ) Such information as to the issuer and affiliates in respect of : ( 1 ) the organization , financial structure , and nature of the business ; ( 2 ) particulars regarding the terms , position , rights , and privileges ...
... prescribe : ( II ) Such information as to the issuer and affiliates in respect of : ( 1 ) the organization , financial structure , and nature of the business ; ( 2 ) particulars regarding the terms , position , rights , and privileges ...
자주 나오는 단어 및 구문
authority banks believe bill bonds borrow broker brokerage BULWINKLE capital CHAIRMAN collateral Commissioner LANDIS Congress CORCORAN corporations Curb Exchange dealing DICKINSON directors effect fact Federal Reserve Board Federal Reserve System Federal Trade Commission 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 O'BRIEN odd-lot dealer officers operations opinion over-the-counter percent person PETTENGILL PIERCE practices prescribe present prohibition provisions proxies public interest purchase purpose question reason registered regulatory rules and regulations SAM RAYBURN Securities Act 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
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...