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
601 페이지
ARTICLE V. RULES PERTAINING PRIMARILY TO SELLING SYNDICATES AND
SELLING GROUPS IN CONNECTION WITH NEW ISSUES OF SECURITIES
SECTION 1. Statement of issue price . The prospectus shall state the price
received ...
ARTICLE V. RULES PERTAINING PRIMARILY TO SELLING SYNDICATES AND
SELLING GROUPS IN CONNECTION WITH NEW ISSUES OF SECURITIES
SECTION 1. Statement of issue price . The prospectus shall state the price
received ...
602 페이지
Any investment banker receiving such commission or concession in respect of
any new security shall not resell such security to a person during the life of the
selling syndicate or selling group at a price less than the price at which such
security ...
Any investment banker receiving such commission or concession in respect of
any new security shall not resell such security to a person during the life of the
selling syndicate or selling group at a price less than the price at which such
security ...
603 페이지
( c ) Such sale does not violate or evade any provision of the selling syndicate or
selling group agreement or of the rules ; and ( d ) A partner , duly accredited
executive or branch office manager has approved such sale as complying with ...
( c ) Such sale does not violate or evade any provision of the selling syndicate or
selling group agreement or of the rules ; and ( d ) A partner , duly accredited
executive or branch office manager has approved such sale as complying with ...
604 페이지
Any participant in a selling syndicate , and any member of a selling group , who
has any direct interest in the distribution of a new security other than as a
member of a selling group , shall disclose such fact , either in the prospectus or in
some ...
Any participant in a selling syndicate , and any member of a selling group , who
has any direct interest in the distribution of a new security other than as a
member of a selling group , shall disclose such fact , either in the prospectus or in
some ...
829 페이지
They are men who do not want the country to know that they are selling , and they
will sell their stock short . So they are selling without parting with the stock ,
without giving the public notice that they are selling , and do you know that some
of ...
They are men who do not want the country to know that they are selling , and they
will sell their stock short . So they are selling without parting with the stock ,
without giving the public notice that they are selling , and do you know that some
of ...
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자주 나오는 단어 및 구문
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 |