Stock Exchange Practices: Hearings Before the Committee on Banking and Currency, United States Senate, Seventy-third Congress, First-[second] Session, on S. Res. 84 (72d Congress) a Resolution to Investigate Practices of Stock Exchanges with Respect to the Buying and Selling and the Borrowing and Lending of Listed Securities, and S. Res. 56 (73d Congress) a Resolution to Investigate the Matter of Banking Operations and Practices, the Issuance and Sale of Securities, and the Trading Therein ..U.S. Government Printing Office, 1934 - Stock exchanges |
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Page 7407
... TRANSACTIONS RELATING TO ANY SALE , EXCHANGE , PURCHASE , ACQUISITION , BORROW- ING , LENDING , FINANCING , ISSUING , DISTRIBUTING , OR OTHER DISPOSITION OF , OR DEALING IN , SECURITIES OR CREDIT BY ANY PERSON OR FIRM , PARTNERSHIP ...
... TRANSACTIONS RELATING TO ANY SALE , EXCHANGE , PURCHASE , ACQUISITION , BORROW- ING , LENDING , FINANCING , ISSUING , DISTRIBUTING , OR OTHER DISPOSITION OF , OR DEALING IN , SECURITIES OR CREDIT BY ANY PERSON OR FIRM , PARTNERSHIP ...
Page 7419
... transactions of individuals . Senator MCADOO . Yes . The CHAIRMAN . Well , I take it as being hardly fair to assume ... transaction taking place on the exchanges . I should think we may assume that the stock exchanges will be willing to ...
... transactions of individuals . Senator MCADOO . Yes . The CHAIRMAN . Well , I take it as being hardly fair to assume ... transaction taking place on the exchanges . I should think we may assume that the stock exchanges will be willing to ...
Page 7433
... transactions for the purchase and sale of any security . Mr. BLACK . " Registered on a national exchange " -well , that is correct . But there is another provisions in this bill that this act does not apply at all to exempted securities ...
... transactions for the purchase and sale of any security . Mr. BLACK . " Registered on a national exchange " -well , that is correct . But there is another provisions in this bill that this act does not apply at all to exempted securities ...
Page 7458
... transactions , in- volving a great many hundred thousand individual transactions , and I have yet to be called to task for any 7458 STOCK EXCHANGE PRACTICES.
... transactions , in- volving a great many hundred thousand individual transactions , and I have yet to be called to task for any 7458 STOCK EXCHANGE PRACTICES.
Page 7482
... transaction , or ( 2 ) unless , if the transaction is with a customer , he discloses to such customer in writing any interest he may have in connection with the security which is the subject matter of the transaction and offers the ...
... transaction , or ( 2 ) unless , if the transaction is with a customer , he discloses to such customer in writing any interest he may have in connection with the security which is the subject matter of the transaction and offers the ...
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Common terms and phrases
amendments amount and/or joint account answer Bache & Co bill bonds Broadway Bros capital cash CHAIRMAN Cities Service Company Cleveland collateral COMMITTEE EXHIBIT common stock Corporation dealer December 31 defendant Backus deposits directors E. A. Pierce E. F. Hutton Federal reserve bank Federal Reserve Board Federal Trade Commission furnish Gas & Electric Guardian Trust HEALY Hotel Hollenden income interest investment investors J. S. Bache loans loss MEEHAN member banks member firms member partners national securities exchange Number of member number of shares officers operations options PECORA percent person profits provision purchase question questionnaire receivership REDMOND rules and regulations Senator ADAMS Senator BARKLEY Senator GORE Senator KEAN Senator McADOO Senator WALCOTT Short speculation statement stockholders subsidiaries syndicate tion total number transactions UNTERMYER Vice president Washington WHITNEY Witt York City York Curb Exchange York Stock Exchange
Popular passages
Page 7756 - If either party shall apply to the court for leave to adduce additional evidence, and shall show to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for failure to adduce such evidence in the hearing before the Commission, the court may order such additional evidence to be taken before the Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper.
Page 7638 - The genius and character of the whole government seem to be, that its action is to be applied to all the external concerns of the nation, and to those internal concerns which affect the states generally ; but not to those which are completely within a particular state, which do not affect other states, and with which it is not necessary to interfere for the purpose of executing some of the general powers of the government.
Page 7757 - ... to give evidence touching the matter in question; and any failure to obey such order of the court may be punished by such court as a contempt thereof.
Page 7756 - Commission be modified or set aside in whole or in part. A copy of such petition shall be forthwith served upon...
Page 7754 - A vacancy in the commission shall not impair the right of the remaining commissioners to exercise all the powers of the commission.
Page 7756 - Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper. The Commission may modify its findings as to the facts, or make new findings, by reason of the additional evidence so taken...
Page 7757 - Columbia, within the jurisdiction of which the inquiry is carried on or within the jurisdiction of which said person guilty of contumacy or refusal to obey is found or resides or transacts business...
Page 7699 - That he is the applicant in the foregoing application, that he has read the same and knows the contents thereof, and that the same is true of his own knowledge, except as to the matters therein stated on information and belief, and as to those matters he believes it to be true.
Page 7753 - ... security" or any certificate of interest or participation in, temporary or interim certificate for, receipt for, guarantee of, or warrant or right to subscribe to or purchase, any of the foregoing.
Page 7754 - ... to employ and fix the compensation of such attorneys, special experts, examiners, clerks, and other employees as it may from time to time find necessary for the proper performance of its duties and as may be from time to time appropriated for by Congress.