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 3
... shares in an unincorporated investment trust not having a board of directors ( or persons performing similar ... share , investment contract , voting- trust certificate , or in general , any instrument commonly known as a " security ...
... shares in an unincorporated investment trust not having a board of directors ( or persons performing similar ... share , investment contract , voting- trust certificate , or in general , any instrument commonly known as a " security ...
Página 44
... shares are listed on national exchanges . Of the two aspects of the bill , I regard publicity by corporations as far the more fundamental of the two . I think it strikes a major blow at one of the most vulnerable spots in our present ...
... shares are listed on national exchanges . Of the two aspects of the bill , I regard publicity by corporations as far the more fundamental of the two . I think it strikes a major blow at one of the most vulnerable spots in our present ...
Página 45
... 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 of the 100 - share investor may be as ...
... 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 of the 100 - share investor may be as ...
Página 47
... shares owned by the officers and directors of the corporation at the end of each quarter ? Mr. PRESLEY . Not at all . Mr. MARLAND . Would not that be very valuable information to the public , to show whether the men in charge of their ...
... shares owned by the officers and directors of the corporation at the end of each quarter ? Mr. PRESLEY . Not at all . Mr. MARLAND . Would not that be very valuable information to the public , to show whether the men in charge of their ...
Página 48
... shares of a stock short . The broker , according to my understanding , takes this stock from a cus- tomer account or borrows it from some other broker and sells it in the open market . When you decide to cover your position , that is ...
... shares of a stock short . The broker , according to my understanding , takes this stock from a cus- tomer account or borrows it from some other broker and sells it in the open market . When you decide to cover your position , that is ...
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...