Stock Exchange Regulation: Hearing Before the Committee on Interstate and Foreign Commerce, House of Representatives, Seventy-third Congress, Second Session, on H.R. 7852, to Provide for the Registration of National Securities Exchanges Operating in Interstate and Foreign Commerce and Through the Mails and to Prevent Inequitable and Unfair Practices on Such Exchanges, and for Other Purposes; H.R. 8720, to Provide for the Regulation of National Securities Exchanges and of Over-counter Markets Operating in Interstate and Foreign Commerce Or Through the Mails, and to Prevent Inequitable and Unfair Practice Thereon, and for Other Purposes. February 14 to March 24, 1934U.S. Government Printing Office, 1934 - 941 páginas |
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Página 26
... brokers , and brokers alone . The Roper report again calls for examination of the books of the members of the exchange by the administrative authority . The bill does the same thing in that respect . Then , finally , the Roper report ...
... brokers , and brokers alone . The Roper report again calls for examination of the books of the members of the exchange by the administrative authority . The bill does the same thing in that respect . Then , finally , the Roper report ...
Página 51
... brokerage commission house . By that process he has an open account and he can readily buy or sell , as the case may be , and the broker will arrange the necessary financing , except for a certain margin which the trader will put up ...
... brokerage commission house . By that process he has an open account and he can readily buy or sell , as the case may be , and the broker will arrange the necessary financing , except for a certain margin which the trader will put up ...
Página 52
... brokerage house , all debits and credits are made on an open book account , under certain agreed upon provisions , or rather certain requirements by the brokerage house as to what the customer shall do . The customer may sign a slip ...
... brokerage house , all debits and credits are made on an open book account , under certain agreed upon provisions , or rather certain requirements by the brokerage house as to what the customer shall do . The customer may sign a slip ...
Página 54
... brokerage house has con- sidered that one margin was sufficient , because of the likelihood that if stocks went down , they might all go down together , or if they went up , they might all go up together and losses or gains on long ...
... brokerage house has con- sidered that one margin was sufficient , because of the likelihood that if stocks went down , they might all go down together , or if they went up , they might all go up together and losses or gains on long ...
Página 55
... brokers maintain very small cash balances , and they are practically always , until the last few years , indebted to banks or to other interests , so that if they get any more cash in the course of the day than they spend , they use it ...
... brokers maintain very small cash balances , and they are practically always , until the last few years , indebted to banks or to other interests , so that if they get any more cash in the course of the day than they spend , they use it ...
Términos y frases comunes
amount banks believe bill bonds borrow broker brokerage bucket shop BULWINKLE business in securities buy and sell capital CHAIRMAN collateral Commissioner LANDIS committee companies Congress COOPER CORCORAN corporations Curb Exchange deal effect fact Federal Reserve Federal Reserve System Federal Trade Commission give going GOLDENWEISER Government GRUBB HANCOCK HUDDLESTON interstate commerce investment investors issuer KENNEY legislation listed loans MAPES margin requirements MARLAND mean MERRITT national securities exchange O'BRIEN odd-lot dealer officers operations percent person PETTENGILL PIERCE pool practices present profit prohibition protection provision proxies public interest purchase purpose question reason Roper report rules and regulations security registered shares short selling sold specialist speculation statement stock market stockholders stop-loss orders thing tion underwriter unlisted securities WHITNEY WOLVERTON York Curb Exchange York Stock Exchange
Pasajes populares
Página 7 - 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).
Página 7 - 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...
Página 566 - 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.
Página 273 - 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...
Página 7 - 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.
Página 238 - 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.
Página 547 - ... 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...
Página 538 - 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.
Página 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...