Stock Exchange Regulation. Hearing ... on H.R. 8720 ... Feb. 14 - Mar. 24, 1934 |
From inside the book
Results 1-5 of 100
Page 49
... unlisted stock as security or collateral . What is your opinion as to the necessity of provisions of that character ? Mr. PRESLEY . I have not thought out that aspect of the bill any too carefully . Of course , unlisted securities ...
... unlisted stock as security or collateral . What is your opinion as to the necessity of provisions of that character ? Mr. PRESLEY . I have not thought out that aspect of the bill any too carefully . Of course , unlisted securities ...
Page 59
... unlisted securities as collateral ? Mr. THOMAS . As I understand it , the purpose of that provision is to prevent a broker , who is observing the margin on listed securities , from taking a whole bunch of unlisted securities , with some ...
... unlisted securities as collateral ? Mr. THOMAS . As I understand it , the purpose of that provision is to prevent a broker , who is observing the margin on listed securities , from taking a whole bunch of unlisted securities , with some ...
Page 79
... unlisted stocks for collateral loans ? Mr. GOLDENWEISER . To be perfectly frank with you , I have not made up my mind what I think about it . I can see the object that it serves in that it will avoid the possibility of circumventing the ...
... unlisted stocks for collateral loans ? Mr. GOLDENWEISER . To be perfectly frank with you , I have not made up my mind what I think about it . I can see the object that it serves in that it will avoid the possibility of circumventing the ...
Page 92
... unlisted trading privileges on an exchange . A great many such stocks are traded in on the New York Curb Exchange ... unlisted stocks loans may be made by banks . There is no prohibition against a bank's lending on unlisted securities ...
... unlisted trading privileges on an exchange . A great many such stocks are traded in on the New York Curb Exchange ... unlisted stocks loans may be made by banks . There is no prohibition against a bank's lending on unlisted securities ...
Page 160
... unlisted securities ineligible as collateral in margin accounts . While it is true that the most important companies in the United States usually have their securities listed on one or more exchanges , it is , likewise , true that the ...
... unlisted securities ineligible as collateral in margin accounts . While it is true that the most important companies in the United States usually have their securities listed on one or more exchanges , it is , likewise , true that the ...
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.