A Handbook of Stock Exchange Laws Affecting Members: Their Customers, Brokers and InvestorsDoubleday, Page, 1914 - 290 lappuses |
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1.–5. rezultāts no 44.
38. lappuse
Their Customers, Brokers and Investors Samuel P. Goldman. The following important resolutions were passed by the Governing ... customer's securities by a member or his firm . Penalty , suspension or expulsion . 1 3. Against reckless or ...
Their Customers, Brokers and Investors Samuel P. Goldman. The following important resolutions were passed by the Governing ... customer's securities by a member or his firm . Penalty , suspension or expulsion . 1 3. Against reckless or ...
44. lappuse
Their Customers, Brokers and Investors Samuel P. Goldman. nineteen failures occurred ; and in the majority of these ... customer's con- sent ; or , For full text see infra p . 211 . 2. Having in his possession securities on which he has ...
Their Customers, Brokers and Investors Samuel P. Goldman. nineteen failures occurred ; and in the majority of these ... customer's con- sent ; or , For full text see infra p . 211 . 2. Having in his possession securities on which he has ...
45. lappuse
... customer's consent , and without having in his possession or under his control the equivalent of such securities , whereby the customer loses such securities or the value thereof , in whole or in part , is guilty of a felony ...
... customer's consent , and without having in his possession or under his control the equivalent of such securities , whereby the customer loses such securities or the value thereof , in whole or in part , is guilty of a felony ...
46. lappuse
Their Customers, Brokers and Investors Samuel P. Goldman. that is required of him is to have on hand the equiva- lent in ... customer's indebtedness to him , not having in his possession a like amount of similar securities , " or if he ...
Their Customers, Brokers and Investors Samuel P. Goldman. that is required of him is to have on hand the equiva- lent in ... customer's indebtedness to him , not having in his possession a like amount of similar securities , " or if he ...
77. lappuse
... customer to buy or sell is , in ordinary circumstances , liable for any consequent loss.4 Brokers who have been told that a special account in a customer's name is for another , are not entitled to sell the stock to make up 1Newman v ...
... customer to buy or sell is , in ordinary circumstances , liable for any consequent loss.4 Brokers who have been told that a special account in a customer's name is for another , are not entitled to sell the stock to make up 1Newman v ...
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¹Art Added by Laws agreement amended amount applicant APRIL 12 association bank Board of Trade bonds broker by-laws certificates of stock Chairman charge claim Clearing-House collateral commission Committee of Arrangements Committee on Admissions comptroller Constitution corporation court court of equity creditors customer's deliver delivery deposit effect Sept entitled evidences of debt Exch existing members expulsion Governing Committee Gratuity Fund guilty held Hypothecation insolvent interest issued liability license loan margin member or firm membership ment Misc misdemeanor mittee N. Y. Supp notice o'clock P. M. owner paid party payment Penal Law penalty person pledged purchase or sale rules securities sell shares of stock sold stamps statute stock certificates Stock Exchange stockbrokers suspended member text see infra thereof tion transaction Trustees violation voluntary association vote York Stock Exchange
Populāri fragmenti
47. lappuse - ... be punished by a fine of not more than $5,000 or imprisonment for not more than twelve months, or by both such fine and imprisonment.
217. lappuse - ... shares represented thereby has been rescinded or set aside, nevertheless, if the transferee has possession of the certificate or of a new certificate representing part or the whole of the same shares of stock, a subsequent transfer of such certificate by the transferee, mediately or immediately, to a purchaser for value in good faith, without notice of any facts making the transfer wrongful, shall give such purchaser an indefeasible right to the certificate and the shares represented thereby.
214. lappuse - Title to a certificate and to the shares represented thereby can be transferred only, (a) By delivery of the certificate indorsed either in blank or to a specified person by the person appearing by the certificate to be the owner of the shares represented thereby...
222. lappuse - In any case not provided for in this Act, the rules of law and equity, including the law merchant, and in particular the rules relating to the law of principal and agent, and to the effect of fraud, misrepresentation, duress or coercion, mistake, bankruptcy or other invalidating cause, shall govern.
211. lappuse - ... a person shall be deemed insolvent within the provisions of this act whenever the aggregate of his property, exclusive of any property which he may have conveyed, transferred, concealed, or removed, or permitted to be concealed or removed, with intent to defraud, hinder or delay his creditors, shall not, at a fair valuation, be sufficient in amount to pay his debts...
219. lappuse - That the instrument is genuine and in all respects what it purports to be ; 2. That he has a good title to it; 3. That all prior parties had capacity to contract; 4. That he has no knowledge of any fact which would impair the validity of the instrument or render it valueless.
224. lappuse - Value" is any consideration sufficient to support a simple contract. An antecedent or pre-existing obligation, whether for money or not, constitutes value where a certificate is taken either in satisfaction thereof or as security therefor. (2) A thing is done "in good faith...
224. lappuse - in good faith" within the meaning of this Act when it is in fact done honestly, whether it be done negligently or not.
237. lappuse - ... stamp shall be placed upon such books ; and where the change of ownership is by transfer of a certificate the stamp shall be placed upon the certificate; and in cases of an agreement to sell or where the transfer is by delivery of the certificate assigned in blank there shall be made and delivered by the seller to the buyer a bill or memorandum of such sale to which the stamp provided for by this article shall be affixed...
221. lappuse - ... the delivery of the goods upon satisfactory proof of such loss or destruction and upon the giving of a bond with sufficient...