Stock Exchange Regulation. Hearing ... on H.R. 8720 ... Feb. 14 - Mar. 24, 1934 |
From inside the book
Results 1-5 of 100
Page 4
... rule or regu- lation made or to be made by the Commission thereunder . ( 2 ) Such data as to its organization , rules of procedure and membership , and other information as the Commission may by rules and regulations require as being ...
... rule or regu- lation made or to be made by the Commission thereunder . ( 2 ) Such data as to its organization , rules of procedure and membership , and other information as the Commission may by rules and regulations require as being ...
Page 5
... rules and regulations prescribe the times at and the specific methods by which values shall be calculated for the purposes of this section , the time within which initial and subsequent payments shall be made by the customer , and the ...
... rules and regulations prescribe the times at and the specific methods by which values shall be calculated for the purposes of this section , the time within which initial and subsequent payments shall be made by the customer , and the ...
Page 7
... rules and regulations as the Commis- sion may prescribe as appropriate or necessary in the public interest or for the protection of investors ; ( b ) To use or employ or to execute or accept for execution any stop - loss order in ...
... rules and regulations as the Commis- sion may prescribe as appropriate or necessary in the public interest or for the protection of investors ; ( b ) To use or employ or to execute or accept for execution any stop - loss order in ...
Page 8
... rules and regulations of the Commission in regard to registration shall require ( I ) An undertaking by the issuer to comply with and so far as is within its power to enforce compliance by its officers , directors , and stockholders ...
... rules and regulations of the Commission in regard to registration shall require ( I ) An undertaking by the issuer to comply with and so far as is within its power to enforce compliance by its officers , directors , and stockholders ...
Page 9
... rules and regulations prescribe in the public interest or for the protection of investors . ( b ) It shall be unlawful for any member of a national securities exchange or any person who transacts a business in securities through such ...
... rules and regulations prescribe in the public interest or for the protection of investors . ( b ) It shall be unlawful for any member of a national securities exchange or any person who transacts a business in securities through such ...
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.