Stock Exchange Regulation. Hearing ... on H.R. 8720 ... Feb. 14 - Mar. 24, 1934 |
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Página 5
... effect any fictitious transaction in any security registered on a national securities exchange , or any transaction which purports to be a sale of any such security but involves no change in the beneficial ownership thereof ; ( 2 ) To ...
... effect any fictitious transaction in any security registered on a national securities exchange , or any transaction which purports to be a sale of any such security but involves no change in the beneficial ownership thereof ; ( 2 ) To ...
Página 6
... effect that the price of any security or securities registered on a national securities exchange will or is likely to rise or fall partly or wholly because of the market activity of any one or more persons , if the person disseminating ...
... effect that the price of any security or securities registered on a national securities exchange will or is likely to rise or fall partly or wholly because of the market activity of any one or more persons , if the person disseminating ...
Página 7
... effect the sale of any security registered on a national securities ex- change , which at the time of such sale was not owned by such person or his principal except in accordance with such rules and regulations as the Commis- sion may ...
... effect the sale of any security registered on a national securities ex- change , which at the time of such sale was not owned by such person or his principal except in accordance with such rules and regulations as the Commis- sion may ...
Página 14
... EFFECT OF EXISTING LAW SEC . 26. ( a ) The rights and remedies provided by this Act shall be in addition to any and ... effect on any member of any exchange of any action taken by the authorities of such exchange to settle disputes ...
... EFFECT OF EXISTING LAW SEC . 26. ( a ) The rights and remedies provided by this Act shall be in addition to any and ... effect on any member of any exchange of any action taken by the authorities of such exchange to settle disputes ...
Página 48
... effect upon the market of such transactions ? Mr. PRESLEY . The answer to that question depends upon the phase through which the market is moving . In the early stages of a busi- ness depression short selling usually is heavy and ...
... effect upon the market of such transactions ? Mr. PRESLEY . The answer to that question depends upon the phase through which the market is moving . In the early stages of a busi- ness depression short selling usually is heavy and ...
Términos y frases comunes
authority banks believe bill bonds borrow broker brokerage bucket shop BULWINKLE capital CHAIRMAN collateral Commissioner LANDIS Congress CORCORAN corporations Curb Exchange deal DICKINSON directors effect fact Federal Reserve Board Federal Reserve System Federal Trade Commission firms give going GOLDENWEISER Government GRUBB HANCOCK houses HUDDLESTON industry interstate commerce Interstate Commerce Commission investors issue issuer KENNEY legislation listed loans MAPES margin requirements MARLAND matter mean ment MERRITT national securities exchange NEWBOLD O'BRIEN odd-lot dealer officers operations opinion over-the-counter percent person PETTENGILL PIERCE practices present prohibition protection provisions proxies public interest purchase purpose question reason reference registered rules and regulations segregation short selling SMITH specialist speculation statement stock market stockholders suggestions thing tion transactions unlisted securities WHITNEY WOLVERTON York Curb Exchange York Stock Exchange
Pasajes populares
Página 627 - 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 627 - ... may be served in any other district of which the defendant is an inhabitant or wherever the defendant may be found.
Página 13 - 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 14 - 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 627 - ... to give evidence touching the matter in question; and any failure to obey such order of the court may be punished by such court as a contempt thereof.
Página 254 - 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 593 - ... 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 584 - 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.