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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Side 6191
... particular hearing . Mr. ALTSCHUL . Yes , sir . Mr. PECORA , And Mr. Seaman who is referred to in these minutes is another member of the stock list committee ? Mr. ALTSCHUL . Yes , sir . Mr. PECORA , Mr. Hoxsey is the Mr. ALTSCHUL ...
... particular hearing . Mr. ALTSCHUL . Yes , sir . Mr. PECORA , And Mr. Seaman who is referred to in these minutes is another member of the stock list committee ? Mr. ALTSCHUL . Yes , sir . Mr. PECORA , Mr. Hoxsey is the Mr. ALTSCHUL ...
Side 6206
... particular necessity or occasion for that special meeting ? Mr. BROWN . I think it was the increase of the stock at that time . Mr. PECORA . And a printed notice of that special meeting was sent to stockholders by the corporation , was ...
... particular necessity or occasion for that special meeting ? Mr. BROWN . I think it was the increase of the stock at that time . Mr. PECORA . And a printed notice of that special meeting was sent to stockholders by the corporation , was ...
Side 6219
... At that time , the Sinclair Oil Co. Mr. PECORA . Had that been your business for quite a number of years ? Mr. DAY . That particular position ? No , sir . Mr. PECORA . Had you been connected with the oil STOCK EXCHANGE PRACTICES 6219.
... At that time , the Sinclair Oil Co. Mr. PECORA . Had that been your business for quite a number of years ? Mr. DAY . That particular position ? No , sir . Mr. PECORA . Had you been connected with the oil STOCK EXCHANGE PRACTICES 6219.
Side 6223
... particular member of that firm actively dealt with the organization of this group or syndicate ? Mr. DAY . I think Mr. Elisha Walker . Mr. PECORA , Who managed whatever operations or transactions were conducted in behalf of this group ...
... particular member of that firm actively dealt with the organization of this group or syndicate ? Mr. DAY . I think Mr. Elisha Walker . Mr. PECORA , Who managed whatever operations or transactions were conducted in behalf of this group ...
Side 6240
... particular participation ? Mr. DAY . Yes , sir ; that is as I stated it to you . Mr. PECORA . That was the form of the letter that was used ? Mr. DAY . Yes , sir . Mr. PECORA . Now , were any members of the pool actually called upon ...
... particular participation ? Mr. DAY . Yes , sir ; that is as I stated it to you . Mr. PECORA . That was the form of the letter that was used ? Mr. DAY . Yes , sir . Mr. PECORA . Now , were any members of the pool actually called upon ...
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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
Populære avsnitt
Side 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).
Side 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...
Side 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...
Side 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.
Side 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.
Side 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...
Side 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...
Side 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...
Side 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...
Side 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...