Hearings, Reports and Prints of the Senate Committee on Banking and Currency, Parts 15-16U.S. Government Printing Office, 1984 - Banking law |
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Page 6422
... securities exchanges operating in inter- state and foreign commerce and through the mails and to prevent inequitable ... Exchange Act of 1934 " REGULATION OF EXCHANGES USING THE CHANNELS OF INTERSTATE COMMERCE AND THE MAILS NECESSARY IN THE ...
... securities exchanges operating in inter- state and foreign commerce and through the mails and to prevent inequitable ... Exchange Act of 1934 " REGULATION OF EXCHANGES USING THE CHANNELS OF INTERSTATE COMMERCE AND THE MAILS NECESSARY IN THE ...
Page 6424
... EXCHANGES SEC . 4. Unless an exchange is registered as a national securities exchange under section 5 of this Act , it shall be unlawful for any person , directly or in- directly , to make use of the mails or any means or ...
... EXCHANGES SEC . 4. Unless an exchange is registered as a national securities exchange under section 5 of this Act , it shall be unlawful for any person , directly or in- directly , to make use of the mails or any means or ...
Page 6425
... SEC . 6. ( a ) It shall be unlawful for any member of a national securities exchange or any person who transacts a business in securities through the medium of any such member , directly or indirectly , to extend or maintain credit or ...
... SEC . 6. ( a ) It shall be unlawful for any member of a national securities exchange or any person who transacts a business in securities through the medium of any such member , directly or indirectly , to extend or maintain credit or ...
Page 6426
... securities car- ried for the account of a customer under circumstances that will permit the comingling of the ... exchange- ( 1 ) To effect any fictitious transaction in any security registered on a national securities exchange , or any ...
... securities car- ried for the account of a customer under circumstances that will permit the comingling of the ... exchange- ( 1 ) To effect any fictitious transaction in any security registered on a national securities exchange , or any ...
Page 6427
... securities exchange- ( i ) any transaction in any security whereby any party to such transaction acquires any put , call , straddle , or other option or privilege of buying a security from or selling a security to another party to the ...
... securities exchange- ( i ) any transaction in any security whereby any party to such transaction acquires any put , call , straddle , or other option or privilege of buying a security from or selling a security to another party to the ...
Contents
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Common terms and phrases
ADLER ALTSCHUL amount apply banks believe BERNHEIM bill bonds borrow broker brokerage BULKLEY capital CHAIRMAN collateral committee CORCORAN corporations deal dealer directors effect fact Federal Reserve Federal Reserve System Federal Trade Commission give interstate commerce Interstate Commerce Commission investment investors issuer issues jobber listed margin requirements matter mean municipal bonds national securities exchange officers operation over-the-counter PECORA percent person practices present prohibition provisions purchase purpose question record REDMOND registered reports rules and regulations Senator ADAMS Senator BARKLEY Senator CAREY Senator CoSTIGAN Senator GOLDSBOROUGH Senator GORE Senator KEAN Senator MCADOO Senator WALCOTT shares short selling sold specialist speculation SPRAGUE statement stockholders stop-loss orders thing tion transactions TROSTER unlisted securities unlisted trading WHITNEY WITTER York Curb Exchange York Stock Exchange
Popular passages
Page 6434 - If either party shall apply to the court for leave to adduce additional evidence, and shall show to the satisfaction of the court that...
Page 6434 - The judgment and decree of the court shall be final, except that the same shall be subject to review by the Supreme Court upon certiorari, as provided in section 1254 of Title 28.
Page 6436 - If any provision of this Act, or the application of such provision to any . person or circumstance, shall be held invalid, the remainder of this Act, or the application of such provision to persons or circumstances other than those as to which it is held invalid, shall not be affected thereby. SEC. 16. This Act may be cited as the "National Labor Relations Act.
Page 6431 - 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.
Page 6435 - Any suit or action to enforce any liability or duty created by this Act or regulations thereunder, or to enjoin any violation of this Act or any regulations thereunder, may be brought in any such district or in the district wherein the defendant is...
Page 6427 - ... (b) To use or employ, in connection with the purchase or sale of any security registered on a national securities exchange or any security not so registered, any manipulative or deceptive device or contrivance in contravention of such rules and regulations as the Commission may prescribe as necessary or appropriate in the public interest or for the protection of investors.
Page 6435 - States upon writ of certiorari or certification as provided in sections 239 and 240 of the Judicial Code, as amended (USC, title 28, sees. 346 and 347).
Page 6430 - Suit to recover such profit may be instituted at law or in equity in any court of competent jurisdiction by the issuer, or by the owner of any security of the issuer in the name and...
Page 6435 - Board, its member, agent, or agency, there to produce evidence if so ordered, or there to give testimony touching the matter under investigation or in question; and any failure to obey such order of the court may be punished by said court as a contempt thereof.
Page 6720 - ... in the appraisal or valuation of assets and liabilities, in the determination of depreciation and depletion, in the differentiation of recurring and nonrecurring income, in the differentiation of investment and operating income, and in the preparation, where the Commission deems it necessary or desirable, of...