Stock Exchange Practices: Hearings Before the Committee on Banking and Currency, United States Senate, Seventy-third Congress, First-[second] Session, on S. Res. 84 (72d Congress) a Resolution to Investigate Practices of Stock Exchanges with Respect to the Buying and Selling and the Borrowing and Lending of Listed Securities, and S. Res. 56 (73d Congress) a Resolution to Investigate the Matter of Banking Operations and Practices, the Issuance and Sale of Securities, and the Trading Therein ..U.S. Government Printing Office, 1933 |
Dentro del libro
Resultados 1-5 de 100
Página 6241
... short position of 40,000 shares on June 2 . Mr. GIBSON . It had sold 40,000 shares in excess of its purchases . Mr. PECORA . Which was a short position against the option ? Mr. GIBSON . Yes , sir . Mr. PECORA . Did that short position ...
... short position of 40,000 shares on June 2 . Mr. GIBSON . It had sold 40,000 shares in excess of its purchases . Mr. PECORA . Which was a short position against the option ? Mr. GIBSON . Yes , sir . Mr. PECORA . Did that short position ...
Página 6246
... short positions . Mr. DAY . I think that is quite correct , sir . Mr. PECORA . Was there any other option that this pool or syndicate acquired during the time that it was trading in this stock last summer ? Mr. DAY . No , sir . Mr ...
... short positions . Mr. DAY . I think that is quite correct , sir . Mr. PECORA . Was there any other option that this pool or syndicate acquired during the time that it was trading in this stock last summer ? Mr. DAY . No , sir . Mr ...
Página 6278
... short against the purchase contracts and the option . Mr. LEVIS . Technically short , Mr. Pecora . Mr. PECORA . I do not mean short sales in the sense that short sales are used as part of the process called " bear raiding . " I do not ...
... short against the purchase contracts and the option . Mr. LEVIS . Technically short , Mr. Pecora . Mr. PECORA . I do not mean short sales in the sense that short sales are used as part of the process called " bear raiding . " I do not ...
Página 6283
... short 900 shares of Kelsey Hayes Wheel Company Class " A " Stock and 1,000 shares of Class " B " Stock , the aforesaid short positions being offset by long positions in Firm Account . Such Joint Trading Account was organized for the ...
... short 900 shares of Kelsey Hayes Wheel Company Class " A " Stock and 1,000 shares of Class " B " Stock , the aforesaid short positions being offset by long positions in Firm Account . Such Joint Trading Account was organized for the ...
Página 6294
... short account , except that the Syndicate may be short additional stock when covered by options . All transactions for account of the Syndicate shall be in accordance with and subject to the rules and regulations of the New York Stock ...
... short account , except that the Syndicate may be short additional stock when covered by options . All transactions for account of the Syndicate shall be in accordance with and subject to the rules and regulations of the New York Stock ...
Otras ediciones - Ver todas
Términos y frases comunes
48 Wall Street ALTSCHUL American Commercial Alcohol amount application bill board of directors borrow brokerage firms brokers BROWN call loans call money market CHAIRMAN Chandler & Co Commercial Alcohol Corporation Committee Exhibit Committee on Banking common stock copy CORCORAN counsel dealer FEBRUARY 23 Federal Trade Commission FERDINAND PECORA governing committee GROESBECK HARRIS interest interstate commerce investors issue JOHNSTON joint account July letter LEVIS Loeb & Co national securities exchange number of shares officers option Participants percent person pool PORTER president provisions purchase question questionnaire record REDMOND registered RESOR Richard Whitney rules and regulations Senator BARKLEY Senator CAREY Senator GORE Senator KEAN short selling sold specialist speculation SPRAGUE statement stock list stockholders street loans Syndicate tion total number transactions WHITNEY WITTER York City York Stock Exchange
Pasajes populares
Página 6440 - 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 6440 - 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 6526 - 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...
Página 6652 - 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 6438 - For the purpose of any investigation or any other proceeding under this title, any member of the Commission, or any officer thereof designated by it, is empowered to administer oaths and affirmations, subpena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, contracts, agreements, or other records which are relevant or material to the inquiry.
Página 6440 - Board as to the facts if, supported by evidence, shall be conclusive. If either party shall apply to the court for leave to adduce additional evidence and shall show to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for...
Página 7002 - Whenever in the judgment of the Commission any person has engaged or is about to engage in any acts or practices which constitute or will constitute a violation...
Página 6543 - ... the items or details to be shown in the balance sheet and the earning statement, and the methods to be followed in the preparation of reports, in the appraisal or valuation of assets and liabilities, in the determination of depreciation and depletion, in the differentiation of recurring and nonrecurring income...
Página 6476 - It shall be unlawful for any member of a national securities exchange or any broker or dealer who transacts a business in securities through the medium of any such member, directly or indirectly to extend or maintain credit or arrange for the extension or maintenance of credit to or for any customer...
Página 6728 - ... 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...