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
4 페이지
... of this Act and any amendment thereto and any rule or regulation made or to be made by the Commission thereunder . ... and other information as the Commission may by rules and regulations require as being necessary or appropriate in ...
... of this Act and any amendment thereto and any rule or regulation made or to be made by the Commission thereunder . ... and other information as the Commission may by rules and regulations require as being necessary or appropriate in ...
7 페이지
( 3 ) No action shall be maintained to enforce any liability created under this section unless brought within two years after the discovery of the violation upon which it is based . REGULATION OF THE USE OF MANIPULATIVE DEVICES SEC . 9.
( 3 ) No action shall be maintained to enforce any liability created under this section unless brought within two years after the discovery of the violation upon which it is based . REGULATION OF THE USE OF MANIPULATIVE DEVICES SEC . 9.
8 페이지
( c ) The rules and regulations of the Commission in regard to registration shall require( I ) An undertaking by the issuer to comply with and so far as is within its power to enforce compliance by its officers , directors , and ...
( c ) The rules and regulations of the Commission in regard to registration shall require( I ) An undertaking by the issuer to comply with and so far as is within its power to enforce compliance by its officers , directors , and ...
11 페이지
( c ) The authority above given the Commission shall include , among other things , authority to prescribe such rules and regulations for national securities exchanges , their members and persons transacting a business in securities ...
( c ) The authority above given the Commission shall include , among other things , authority to prescribe such rules and regulations for national securities exchanges , their members and persons transacting a business in securities ...
12 페이지
( b ) It shall be unlawful for any person , directly or indirectly , to do any act or thing which it would be unlawful for such person to do under the provisions of this Act or any rule or regulation thereunder through or by means of ...
( b ) It shall be unlawful for any person , directly or indirectly , to do any act or thing which it would be unlawful for such person to do under the provisions of this Act or any rule or regulation thereunder through or by means 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 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 |