National securities exchange act 1934. Feb. 26-Apr. 5, 1934. 2 vU.S. Government Printing Office, 1934 Investigates investment banking industry practices and interlocking management arrangements between commercial banks and investment banking firms. |
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Bieži izmantoti vārdi un frāzes
abuses ADLER ALTSCHUL amount banks believe BERNHEIM bill bonds borrow broker brokerage BULKLEY business in securities buying and selling capital CHAIRMAN committee companies Congress CORCORAN corporations court deal dealer Deer Lodge County directors effect fact Federal Reserve Federal Reserve System Federal Trade Commission give GOLDENWEISER interstate commerce investment issuer listed loan value mails margin requirements matter means ment national securities exchange officers operation over-the-counter over-the-counter market PECORA percent person practices prescribe present prohibition provisions public interest purchase purpose question REDMOND regard reports rules and regulations security registered Senator BARKLEY Senator CAREY Senator CoSTIGAN Senator GORE Senator KEAN Senator McADOO Senator WALCOTT shares short selling sold specialist speculation SPRAGUE statement stockholders stop-loss orders thing tion underwriter unlawful unlisted securities WHITNEY WITTER York Stock Exchange
Populāri fragmenti
6434. lappuse - The judgment and decree of the court shall be final, except that the same shall be subject to review by the Supreme Court upon certiorari, as provided in section 1254 of Title 28.
6435. lappuse - Territorial courts, of all suits in equity and actions at law brought to enforce any liability or duty created by, or to enjoin any violation of this title or the rules, regulations, or orders thereunder.
6434. lappuse - Any person aggrieved by an order issued by the Commission in a proceeding to which such person is a party may obtain a review of such order in the 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...
6430. lappuse - Suit to recover such profit may be instituted at law or in equity in any court of competent jurisdiction by the issuer, or by the owner of any security of the issuer in the name and...
6471. lappuse - 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...
6433. lappuse - The Commission may transmit such evidence as may be available concerning such acts or practices to the Attorney General who may, in his discretion, institute the necessary criminal proceedings under this title.
7230. lappuse - ... in contravention of such rules and regulations as the Commission may prescribe as necessary or appropriate in the public interest or for the protection of investors. (b) It shall be unlawful for any member of a national securities exchange...
6427. lappuse - ... (b) To use or employ, in connection with the purchase or sale of any security registered on a national securities exchange or any security not so registered, any manipulative or deceptive device or contrivance in contravention of such rules and regulations as the Commission may prescribe as necessary or appropriate in the public interest or for the protection of investors.
6434. lappuse - Commission 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...
6423. lappuse - ... collateral-trust certificates, or with respect to certificates of interest or shares in an unincorporated investment trust not having a board of directors (or persons performing similar functions) or of the fixed, restricted management or unit type; the term 'issuer...