Stock Exchange Regulation. Hearing ... on H.R. 8720 ... Feb. 14 - Mar. 24, 1934 |
From inside the book
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Page 92
... listed stocks . You understand that are degrees of listings in stocks . Stocks are fully listed on the New York Stock Exchange . That means that the issuing company has agreed to comply with all of the requirements of the exchange ...
... listed stocks . You understand that are degrees of listings in stocks . Stocks are fully listed on the New York Stock Exchange . That means that the issuing company has agreed to comply with all of the requirements of the exchange ...
Page 93
... listed securities , not only to protect from evasion whatever margin requirements you may want to set up for listed securities , but because of broader economic reasons make it desirable that loans on unlisted securities should be held ...
... listed securities , not only to protect from evasion whatever margin requirements you may want to set up for listed securities , but because of broader economic reasons make it desirable that loans on unlisted securities should be held ...
Page 99
... listed securities , as collateral , that the stock - exchange requirements as to margin percentage will prevail - in other words , how are we going to protect the bank ? Mr. CORCORAN . The bank examiner . Mr. COLE . How is that ? Mr ...
... listed securities , as collateral , that the stock - exchange requirements as to margin percentage will prevail - in other words , how are we going to protect the bank ? Mr. CORCORAN . The bank examiner . Mr. COLE . How is that ? Mr ...
Page 120
... listed securities by any bank in the United States . Mr. WADSWORTH . Listed securities ? Mr. CORCORAN . Listed securities only ; not unlisted . And as we tried to explain yesterday , this provision fixes the amount of all loans made upon ...
... listed securities by any bank in the United States . Mr. WADSWORTH . Listed securities ? Mr. CORCORAN . Listed securities only ; not unlisted . And as we tried to explain yesterday , this provision fixes the amount of all loans made upon ...
Page 144
... listed both with the Commission and with the stock exchange , This is to make sure that enough information gets out to the public . Listing has to be made with the Commission as well as the stock exchange so that the stock - exchange ...
... listed both with the Commission and with the stock exchange , This is to make sure that enough information gets out to the public . Listing has to be made with the Commission as well as the stock exchange so that the stock - exchange ...
Common terms and phrases
authority banks believe bill bonds borrow broker brokerage bucket shop BULWINKLE capital CHAIRMAN collateral Commissioner LANDIS Congress CORCORAN corporations Curb Exchange deal DICKINSON directors effect fact Federal Reserve Board Federal Reserve System Federal Trade Commission firms give going GOLDENWEISER Government GRUBB HANCOCK houses HUDDLESTON industry interstate commerce Interstate Commerce Commission investors issue issuer KENNEY legislation listed loans MAPES margin requirements MARLAND matter mean ment MERRITT national securities exchange NEWBOLD O'BRIEN odd-lot dealer officers operations opinion over-the-counter percent person PETTENGILL PIERCE practices present prohibition protection provisions proxies public interest purchase purpose question reason reference registered rules and regulations segregation short selling SMITH specialist speculation statement stock market stockholders suggestions thing tion transactions unlisted securities WHITNEY WOLVERTON York Curb Exchange York Stock Exchange
Popular passages
Page 627 - 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 627 - ... may be served in any other district of which the defendant is an inhabitant or wherever the defendant may be found.
Page 13 - 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 14 - 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 627 - ... 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 254 - 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 593 - ... 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 584 - 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.