Stock Exchange Regulation: Hearing Before the Committee...seventy-third Congress, Second Session on H.R. 7852...H.R. 8720...February 14 to March 24, 1934U.S. Government Printing Office, 1934 - 941 pages |
From inside the book
Results 1-5 of 100
Page 6
... believe that the circulation or dissemination of such information on his part may induce the purchase or sale of such security , and does not prove that he acted in good faith and in the exercise of reasonable care had no ground to believe ...
... believe that the circulation or dissemination of such information on his part may induce the purchase or sale of such security , and does not prove that he acted in good faith and in the exercise of reasonable care had no ground to believe ...
Page 27
... believe that I could name all of them . I think that I could give you the names of some of them if you choose Mr. WADSWORTH . Any of the members of the Federal Trade Commission or its staff ? Commissioner LANDIS . One member of the ...
... believe that I could name all of them . I think that I could give you the names of some of them if you choose Mr. WADSWORTH . Any of the members of the Federal Trade Commission or its staff ? Commissioner LANDIS . One member of the ...
Page 34
... believe , are as broad as are set forth here in section 8. The exchange , I do not believe , has any strict requirement - I may be wrong on this - but , I do not believe it has any strict requirement that a broker , a member of the ...
... believe , are as broad as are set forth here in section 8. The exchange , I do not believe , has any strict requirement - I may be wrong on this - but , I do not believe it has any strict requirement that a broker , a member of the ...
Page 45
... believe that the individual with 100 shares has just as much right to complete information as the investor of substantial means owning 10,000 shares of stock in that company . They are both partners in the business , and the investment ...
... believe that the individual with 100 shares has just as much right to complete information as the investor of substantial means owning 10,000 shares of stock in that company . They are both partners in the business , and the investment ...
Page 62
... believe that such percentage can be computed for New York , although we have a lot of statistics about the New York market . We have very little information regard- ing operations in London and Paris . The markets are quite different in ...
... believe that such percentage can be computed for New York , although we have a lot of statistics about the New York market . We have very little information regard- ing operations in London and Paris . The markets are quite different in ...
Common terms and phrases
application authority banks believe bill bonds borrow broker brokerage BULWINKLE CHAIRMAN Chicago Stock Exchange code committee collateral Commissioner LANDIS Congress CORCORAN corporations court dealing DICKINSON directors effect fact Federal Reserve Board Federal Reserve System Federal Trade Commission give going GOLDENWEISER Government GRUBB HANCOCK HUDDLESTON interstate commerce Interstate Commerce Commission issue issuer KENNEY legislation listed loans MAPES margin requirements MARLAND matter means ment MERRITT national securities exchange O'BRIEN odd-lot dealer officers operations over-the-counter percent person PETTENGILL PIERCE practices prescribe present prohibition protection of investors provisions proxies public interest purchase purpose question reason reference rules and regulations security registered short selling SMITH specialist speculation statement stock market stockholders suggestions thing tion transactions unlisted securities unlisted trading WHITNEY WOLVERTON York Curb Exchange York Stock Exchange
Popular passages
Page 633 - 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 633 - 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 3 - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails or of any facility of any national securities exchange...
Page 632 - 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...
Page 10 - ... 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 283 - broker" means any person engaged in the business of effecting transactions in securities for the account of others, but does not include a bank. (5) The term "dealer" means any person engaged in the business of buying and selling securities for his own account, through a broker or otherwise, but does not include a bank, or any person insofar as he buys or sells securities for his own account, either individually or in some fiduciary capacity, but not as a part of a regular business. (6) The term...
Page 621 - security" means any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment contract, voting-trust certificate, certificate of deposit for a security, fractional undivided interest in oil, gas, or other mineral rights, or, in general, any interest or instrument commonly known as a security...
Page 590 - 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 6 - Section 15 of this title, which statement was at the time and in the light of the circumstances under which it was made false or misleading with respect to any material fact, shall be liable to any person (not knowing that such statement was false or misleading...