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, 1933 - Stock exchanges |
From inside the book
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Page 7409
... dealers in municipal securities , New York , N.Y. , and George B. Gibbons , presi- dent George B. Gibbons & Co. , Inc. , municipal bond dealers , New York , N.Y_ Smith , Tom K. , Assistant to the Secretary of the Treasury , Washington ...
... dealers in municipal securities , New York , N.Y. , and George B. Gibbons , presi- dent George B. Gibbons & Co. , Inc. , municipal bond dealers , New York , N.Y_ Smith , Tom K. , Assistant to the Secretary of the Treasury , Washington ...
Page 7411
... dealers , specialists , and segregating functions of broker and dealer poorly worded , and present wording would destroy functions of stock exchanges and hinder marketability of odd lots of stock held by small investors , who com- prise ...
... dealers , specialists , and segregating functions of broker and dealer poorly worded , and present wording would destroy functions of stock exchanges and hinder marketability of odd lots of stock held by small investors , who com- prise ...
Page 7432
... dealers in Government securities Mr. PECORA . It exempts Government securities from the provi sions of this act . Senator ADAMS . There is no provision prohibiting a banker o a broker from buying and selling Government securities for ...
... dealers in Government securities Mr. PECORA . It exempts Government securities from the provi sions of this act . Senator ADAMS . There is no provision prohibiting a banker o a broker from buying and selling Government securities for ...
Page 7440
... dealers in stocks , bonds , and other investment securities . Every violation of this provision by any member bank shall be punishable by a fine of not more than $ 100 per day during the continuance of such violation ; and such fine may ...
... dealers in stocks , bonds , and other investment securities . Every violation of this provision by any member bank shall be punishable by a fine of not more than $ 100 per day during the continuance of such violation ; and such fine may ...
Page 7441
... DEALERS IN MUNICIPAL SECURI- TIES , NEW YORK , N.Y. , AND GEORGE B. GIBBONS , PRESIDENT GEORGE B. GIBBONS & CO . , INC . , MUNICIPAL BOND DEALERS , NEW YORK , N.Y. - Resumed The CHAIRMAN . Mr. Roosevelt , have you seen the proposed ...
... DEALERS IN MUNICIPAL SECURI- TIES , NEW YORK , N.Y. , AND GEORGE B. GIBBONS , PRESIDENT GEORGE B. GIBBONS & CO . , INC . , MUNICIPAL BOND DEALERS , NEW YORK , N.Y. - Resumed The CHAIRMAN . Mr. Roosevelt , have you seen the proposed ...
Common terms and phrases
Account Broker Bought amendments and/or joint account answer Associated Gas Bache & Co Backus Brooks bill bonds Bought Sold Long Broadway Broker Bought Sold cash CHAIRMAN Cities Service Company COMMITTEE EXHIBIT common stock Corporation customers dealer defendant Backus deposits E. A. Pierce E. F. Hutton Federal Reserve Board Federal Trade Commission furnish Gas & Electric HEALY income individual members interest J. S. Bache loans loss member banks member firms member partners Minnesota and Ontario national securities exchange Number of member number of shares operations options PECORA person provision purchases question questionnaire received receivership REDMOND rules and regulations Securities Company Senator ADAMS Senator BARKLEY Senator GORE Senator KEAN Senator MCADOO Senator WAGNER Senator WALCOTT speculation statement stockholders syndicate tion total number transactions UNTERMYER Wall St Washington WHITNEY York City York Curb Exchange York Stock Exchange
Popular passages
Page 7752 - 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 7753 - Commission, on the ground that the testimony or evidence, documentary or otherwise, required of him, may tend to incriminate him or subject him to a penalty or forfeiture...
Page 7753 - Judgments and decrees so rendered shall be subject to review as provided in sections 128 and 240 of the Judicial Code, as amended (USC, title 28, sees. 225 and 347).
Page 7632 - 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...
Page 7752 - Commission be modified or set aside in whole or in part. A copy of such petition shall be forthwith served upon...
Page 7750 - A vacancy in the commission shall not impair the right of the remaining commissioners to exercise all the powers of the commission.
Page 7752 - 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 7752 - 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, by filing in such court, within sixty days after the entry of such order, a written petition praying that the order of the Commission be modified or...
Page 7753 - 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 7753 - ... no 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.