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 |
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Página 6258
... transactions ever . Mr. PECORA . Did Redmond & Co. under those put and call options call upon your company to take from them- Mr. PORTER . We purchased I believe under this Mr. PECORA ( continuing ) . To take from them the shares that ...
... transactions ever . Mr. PECORA . Did Redmond & Co. under those put and call options call upon your company to take from them- Mr. PORTER . We purchased I believe under this Mr. PECORA ( continuing ) . To take from them the shares that ...
Página 6274
... transactions that you have been examined about ? Mr. PORTER . I think that is a complete statement . Mr. PECORA . All right . The CHAIRMAN . You may be excused , Mr. Porter . ( Witness excused . ) Mr. PECORA . Is Mr. Levis here ? I want ...
... transactions that you have been examined about ? Mr. PORTER . I think that is a complete statement . Mr. PECORA . All right . The CHAIRMAN . You may be excused , Mr. Porter . ( Witness excused . ) Mr. PECORA . Is Mr. Levis here ? I want ...
Página 6422
... transactions are carried on in large volume by the public generally and by persons engaged in the business of dealing in securities in interstate commerce . The prices established and offered in such transactions are generally quoted ...
... transactions are carried on in large volume by the public generally and by persons engaged in the business of dealing in securities in interstate commerce . The prices established and offered in such transactions are generally quoted ...
Página 6423
... transactions in such securities are made ; and includes the members of an exchange . 2. The phrase " facility of an exchange includes its premises , tangible or intangible property , whether on the premises or not , any right to the use ...
... transactions in such securities are made ; and includes the members of an exchange . 2. The phrase " facility of an exchange includes its premises , tangible or intangible property , whether on the premises or not , any right to the use ...
Página 6424
... transaction in respect of any security shall be con- sidered to be in interstate commerce if such transaction is part of that current of commerce usual in a security transaction whereby an order to purchase or to sell a security ...
... transaction in respect of any security shall be con- sidered to be in interstate commerce if such transaction is part of that current of commerce usual in a security transaction whereby an order to purchase or to sell a security ...
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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
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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...