Stock Exchange Regulation. Hearing ... on H.R. 8720 ... Feb. 14 - Mar. 24, 1934 |
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Resultat 1-5 av 100
Side 3
... dealer solicits such business , or to whom a broker or dealer extends credit on any security . 9. The term " person " means an individual , a corporation , a partnership , an association , a joint - stock company , a trust , any ...
... dealer solicits such business , or to whom a broker or dealer extends credit on any security . 9. The term " person " means an individual , a corporation , a partnership , an association , a joint - stock company , a trust , any ...
Side 116
... dealer should be divorced but you have the immediate problem of what you are going to do if you break up the present organization of the brokerage underwriting and dealer business , at a time when of the two branches of the business ...
... dealer should be divorced but you have the immediate problem of what you are going to do if you break up the present organization of the brokerage underwriting and dealer business , at a time when of the two branches of the business ...
Side 117
... dealer but is not on the floor ? Mr. CORCORAN . The term " dealer " is broad enough to include this special kind of a dealer who trades on the floor , and other dealers , who deal off the floor . Mr. MAPES . The dealer includes him . Mr ...
... dealer but is not on the floor ? Mr. CORCORAN . The term " dealer " is broad enough to include this special kind of a dealer who trades on the floor , and other dealers , who deal off the floor . Mr. MAPES . The dealer includes him . Mr ...
Side 123
... dealer does . Usually he buys in some time during the morning and then sells out during the afternoon . He is a so - called " floor trader " , and one of the most lucrative businesses in the world is to be a floor trader on the New York ...
... dealer does . Usually he buys in some time during the morning and then sells out during the afternoon . He is a so - called " floor trader " , and one of the most lucrative businesses in the world is to be a floor trader on the New York ...
Side 126
... dealers like ourselves who have never had any margin accounts and whose interest is in high - grade bonds . If a dealer , through loss of membership on the exchanges , is forced to pay full commissions on all securities he buys and ...
... dealers like ourselves who have never had any margin accounts and whose interest is in high - grade bonds . If a dealer , through loss of membership on the exchanges , is forced to pay full commissions on all securities he buys and ...
Vanlige uttrykk og setninger
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
Populære avsnitt
Side 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).
Side 627 - ... may be served in any other district of which the defendant is an inhabitant or wherever the defendant may be found.
Side 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...
Side 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.
Side 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.
Side 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.
Side 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...
Side 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.