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, 1934 |
From inside the book
Results 1-5 of 100
Page 6
... result of any such transaction . ( c ) Any person who participates in a transaction or transactions in violation of subsection ( a ) of this section shall be liable to any person who shall have sold a security , the price of which may ...
... result of any such transaction . ( c ) Any person who participates in a transaction or transactions in violation of subsection ( a ) of this section shall be liable to any person who shall have sold a security , the price of which may ...
Page 7
... result of any such transaction . ( c ) Any person who participates in a transaction or transactions in violation of subsection ( a ) of this section shall be liable to any person who shall have sold a security , the price of which may ...
... result of any such transaction . ( c ) Any person who participates in a transaction or transactions in violation of subsection ( a ) of this section shall be liable to any person who shall have sold a security , the price of which may ...
Page 7
... result of any such transaction . ( c ) Any person who participates in a transaction or transactions in violation of subsection ( a ) of this section shall be liable to any person who shall have sold a security , the price of which may ...
... result of any such transaction . ( c ) Any person who participates in a transaction or transactions in violation of subsection ( a ) of this section shall be liable to any person who shall have sold a security , the price of which may ...
Page 17
... result of that transaction moving through the exchange is to transfer an interest from Louisiana to Massachusetts . True the interest is in the steel properties , but an interest represented by a security in Louisiana , now becomes ...
... result of that transaction moving through the exchange is to transfer an interest from Louisiana to Massachusetts . True the interest is in the steel properties , but an interest represented by a security in Louisiana , now becomes ...
Page 60
... market collateral that even at this time , though stocks have gone up , the loans are still undercollateralized ? Mr. THOMAS . I do not doubt it . Mr. MARLAND . And the result of the passage of 60 STOCK EXCHANGE REGULATION.
... market collateral that even at this time , though stocks have gone up , the loans are still undercollateralized ? Mr. THOMAS . I do not doubt it . Mr. MARLAND . And the result of the passage of 60 STOCK EXCHANGE REGULATION.
Common terms and phrases
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
Popular passages
Page 7 - 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).
Page 7 - 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...
Page 566 - 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.
Page 273 - 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...
Page 7 - 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.
Page 238 - 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.
Page 547 - ... 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...
Page 538 - 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.
Page 3 - 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...