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
2 페이지
Such transactions are carried on in large volume by the public generally and by persons engaged in the business of dealing in securities in interstate commerce . The prices established and offered in such transactions are generally ...
Such transactions are carried on in large volume by the public generally and by persons engaged in the business of dealing in securities in interstate commerce . The prices established and offered in such transactions are generally ...
3 페이지
The term " issuer " means any person who issues or proposes to issue any security or who guarantees a security either as to principal or income ; except that with respect to certificates of deposit , voting - trust certificates ...
The term " issuer " means any person who issues or proposes to issue any security or who guarantees a security either as to principal or income ; except that with respect to certificates of deposit , voting - trust certificates ...
4 페이지
( a ) It shall be unlawful for any member of a national securities exchange or any person who transacts a business in securities through the medium of any such member , directly or indirectly , to extend or maintain credit or arrange ...
( a ) It shall be unlawful for any member of a national securities exchange or any person who transacts a business in securities through the medium of any such member , directly or indirectly , to extend or maintain credit or arrange ...
5 페이지
( c ) It shall be unlawful for any person to extend or maintain credit or arrange for the extension or maintenance of credit to any person ( other than to a dealer to aid in the financing of the distribution of securities to customers ...
( c ) It shall be unlawful for any person to extend or maintain credit or arrange for the extension or maintenance of credit to any person ( other than to a dealer to aid in the financing of the distribution of securities to customers ...
6 페이지
( 4 ) If a dealer , broker , or member or a person in the employ of a dealer , broker , or member , to circulate or ... of any one or more persons , if the person disseminating such information has reason to believe that the circulation ...
( 4 ) If a dealer , broker , or member or a person in the employ of a dealer , broker , or member , to circulate or ... of any one or more persons , if the person disseminating such information has reason to believe that the circulation ...
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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 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
인기 인용구
635 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).
635 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.
5 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...
634 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...
12 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.
285 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...
623 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...
592 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.
8 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 |