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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ALTSCHUL American amount answer application authority banks believe bill bonds borrow broker Brown capital carry CHAIRMAN City Commission committee common stock connection CORCORAN Corporation course deal dealer directors effect fact Federal Trade firm give given governing HARRIS interest interstate commerce investment investors issue letter limited listed loans margin matter mean meeting offer officers operations option particular PECORA percent period person PORTER practices present president provisions purchase question reason record REDMOND referred regard registered regulations requirements respect rules securities sell Senator GORE Senator KEAN shares short sold specialist speculation SPRAGUE statement stockholders suggest thing tion trading transactions United WHITNEY York Stock Exchange
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 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...