Stock Exchange Regulation. Hearing ... on H.R. 8720 ... Feb. 14 - Mar. 24, 1934 |
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Página 2
... person who is permitted or has a right to use in person any facility of an exchange , for the purpose of making offers or con- tracts for the purchase or sale of any security thereon , or any firm of which a member is a partner . 4. The ...
... person who is permitted or has a right to use in person any facility of an exchange , for the purpose of making offers or con- tracts for the purchase or sale of any security thereon , or any firm of which a member is a partner . 4. The ...
Página 3
... persons performing similar functions ) or of the fixed , restricted management , or unit type , the term " issuer " means the person or persons performing the acts and assuming the duties of de- positor or manager pursuant to the ...
... persons performing similar functions ) or of the fixed , restricted management , or unit type , the term " issuer " means the person or persons performing the acts and assuming the duties of de- positor or manager pursuant to the ...
Página 4
... person 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 on any securities ...
... person 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 on any securities ...
Página 5
... person to extend or maintain credit or arrange for the extension or maintenance of credit to any person ( other than to a dealer to aid in the financing of the distribution of securities to customers not through the medium of an ...
... person to extend or maintain credit or arrange for the extension or maintenance of credit to any person ( other than to a dealer to aid in the financing of the distribution of securities to customers not through the medium of an ...
Página 6
... persons , if the person disseminating such information has reason to believe that the circulation or dissemination of such information on his part may induce the purchase or sale of any such security in the expectation of such market ...
... persons , if the person disseminating such information has reason to believe that the circulation or dissemination of such information on his part may induce the purchase or sale of any such security in the expectation of such market ...
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.