Stock Exchange Regulation: Hearing Before the Committee on Interstate and Foreign Commerce, House of Representatives, Seventy-third Congress, Second Session, on H.R. 7852, to Provide for the Registration of National Securities Exchanges Operating in Interstate and Foreign Commerce and Through the Mails and to Prevent Inequitable and Unfair Practices on Such Exchanges, and for Other Purposes; H.R. 8720, to Provide for the Regulation of National Securities Exchanges and of Over-counter Markets Operating in Interstate and Foreign Commerce Or Through the Mails, and to Prevent Inequitable and Unfair Practice Thereon, and for Other Purposes. February 14 to March 24, 1934U.S. Government Printing Office, 1934 - 941ÆäÀÌÁö |
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67 ÆäÀÌÁö
... carrying stocks and the broker has at his command very easy access to the credit supply of the country . Very many of ... carry the stocks . The fact that they are , as a matter of fact , very heavy borrowers on that part of the stock ...
... carrying stocks and the broker has at his command very easy access to the credit supply of the country . Very many of ... carry the stocks . The fact that they are , as a matter of fact , very heavy borrowers on that part of the stock ...
73 ÆäÀÌÁö
... carry him over the bad situation . It may be imperfect banking , but I think in a situation of this sort it is a socially desirable thing . Mr. KENNEY . But , there were a great many cases where the brokers did not sell out in time in ...
... carry him over the bad situation . It may be imperfect banking , but I think in a situation of this sort it is a socially desirable thing . Mr. KENNEY . But , there were a great many cases where the brokers did not sell out in time in ...
86 ÆäÀÌÁö
... carry on the bulk of the business on the exchanges , " you cannot borrow from any bank except a member of the Federal Reserve . " With the deposit insurance system going into effect , practically all banks will eventually be members of ...
... carry on the bulk of the business on the exchanges , " you cannot borrow from any bank except a member of the Federal Reserve . " With the deposit insurance system going into effect , practically all banks will eventually be members of ...
90 ÆäÀÌÁö
... carry the load and borrow the money which pays for that part of the purchase price of the security you do not put up . Now , no broker has enough capital to carry all his customers . Suppose you put up a margin . The broker has to find ...
... carry the load and borrow the money which pays for that part of the purchase price of the security you do not put up . Now , no broker has enough capital to carry all his customers . Suppose you put up a margin . The broker has to find ...
91 ÆäÀÌÁö
... carry on a regular business in securities through members of the exchange acting as brokers can lend only on listed securities and lend only either 40 percent of the current value or 80 percent of the lowest value to which a security ...
... carry on a regular business in securities through members of the exchange acting as brokers can lend only on listed securities and lend only either 40 percent of the current value or 80 percent of the lowest value to which a security ...
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amount banks believe bill bonds borrow broker brokerage bucket shop BULWINKLE business in securities buy and sell capital CHAIRMAN collateral Commissioner LANDIS committee companies Congress COOPER CORCORAN corporations Curb Exchange deal effect fact Federal Reserve Federal Reserve System Federal Trade Commission give going GOLDENWEISER Government GRUBB HANCOCK HUDDLESTON interstate commerce investment investors issuer KENNEY legislation listed loans MAPES margin requirements MARLAND mean MERRITT national securities exchange O'BRIEN odd-lot dealer officers operations percent person PETTENGILL PIERCE pool practices present profit prohibition protection provision proxies public interest purchase purpose question reason Roper report rules and regulations security registered shares short selling sold specialist speculation statement stock market stockholders stop-loss orders thing tion underwriter unlisted securities WHITNEY WOLVERTON York Curb Exchange York Stock Exchange
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7 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).
7 ÆäÀÌÁö - 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...
566 ÆäÀÌÁö - If any provision of this Act, or the application of such provision to any person or circumstance, shall be held invalid, the remainder of this Act, or the application of such provision to persons or circumstances other than those as to which it is held invalid, shall not be affected thereby. SEC. 16. This Act may be cited as the "National Labor Relations Act.
273 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...
7 ÆäÀÌÁö - Individual 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.
238 ÆäÀÌÁö - The making of goods and the mining of coal are not commerce, nor does the fact that these things are to be afterwards shipped or used in interstate commerce, make their production a part thereof.
547 ÆäÀÌÁö - ... any note, draft, bill of exchange, or banker's acceptance which has a maturity at the time of issuance of not exceeding nine months, exclusive of days of grace, or any renewal thereof the maturity of which is likewise limited. (11) The term "equity security...
538 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.
3 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...