Stock Exchange Regulation. Hearing ... on H.R. 8720 ... Feb. 14 - Mar. 24, 1934 |
Dentro del libro
Resultados 6-10 de 78
Página 161
... limited to the handling of the securities listed on the exchange ? In other words what has he to do with the nonlisted securities ? Mr. WHITNEY . Well , again , I must answer you very generally , because of the different phases of many ...
... limited to the handling of the securities listed on the exchange ? In other words what has he to do with the nonlisted securities ? Mr. WHITNEY . Well , again , I must answer you very generally , because of the different phases of many ...
Página 191
... limited as I understand the rule , that if a broker calls for addi- tional margin at 2 o'clock , or before 2 o'clock , in the afternoon , that the customer has to come across with it , before 2:30 . Is that correct ? Mr. WHITNEY . No ...
... limited as I understand the rule , that if a broker calls for addi- tional margin at 2 o'clock , or before 2 o'clock , in the afternoon , that the customer has to come across with it , before 2:30 . Is that correct ? Mr. WHITNEY . No ...
Página 209
... limited power to make unlawful any device or contrivance which it may determine is detrimental to the public interest , is a surprising delegation of power , particularly as any violation of the rules or regulations of the Commission ...
... limited power to make unlawful any device or contrivance which it may determine is detrimental to the public interest , is a surprising delegation of power , particularly as any violation of the rules or regulations of the Commission ...
Página 214
... limited prices , and that he could also execute market orders more rapidly than the average broker because he was constantly present at the post . Other persons imitated his example and there were soon many specialists . At the present ...
... limited prices , and that he could also execute market orders more rapidly than the average broker because he was constantly present at the post . Other persons imitated his example and there were soon many specialists . At the present ...
Página 215
... limited the price at which they are willing to buy or sell . I know critics have said that if the specialist did not trade the person who had entrusted his order to him would realize his price and they imply that , from this point of ...
... limited the price at which they are willing to buy or sell . I know critics have said that if the specialist did not trade the person who had entrusted his order to him would realize his price and they imply that , from this point of ...
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.