Securities Exchange Act of 1934: And Amendments Public--no. 291--73d Congress H.R. 9323 ...U.S. Government Printing Office, 1938 - 44 pages |
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Page 3
... effect transactions on the exchange without the services of another person acting as broker , or to make use of the facilities of an exchange for transactions thereon without payment of a commission or fee or with the payment of a ...
... effect transactions on the exchange without the services of another person acting as broker , or to make use of the facilities of an exchange for transactions thereon without payment of a commission or fee or with the payment of a ...
Page 5
... effect any transaction in a security , or to report any such transaction , unless such exchange ( 1 ) is registered as a national securities exchange under section 6 of this title , or ( 2 ) is exempted from such registration upon ...
... effect any transaction in a security , or to report any such transaction , unless such exchange ( 1 ) is registered as a national securities exchange under section 6 of this title , or ( 2 ) is exempted from such registration upon ...
Page 10
... effect any transaction in such security which involves no change in the beneficial ownership thereof , or ( B ) to enter an order or orders for the purchase of such security with the knowledge that an order or orders of substantially ...
... effect any transaction in such security which involves no change in the beneficial ownership thereof , or ( B ) to enter an order or orders for the purchase of such security with the knowledge that an order or orders of substantially ...
Page 11
... effect either alone or with one or more other persons any series of transactions for the purchase and / or sale of any security registered on a national securities exchange for the purpose of peg- ging , fixing , or stabilizing the ...
... effect either alone or with one or more other persons any series of transactions for the purchase and / or sale of any security registered on a national securities exchange for the purpose of peg- ging , fixing , or stabilizing the ...
Page 12
... effect a short sale , or to use or employ any stop - loss order in connection with the purchase or sale , of any security registered on a national securities exchange , in contravention of such rules and regulations as the Commission ...
... effect a short sale , or to use or employ any stop - loss order in connection with the purchase or sale , of any security registered on a national securities exchange , in contravention of such rules and regulations as the Commission ...
Common terms and phrases
74th Cong action acts or practices appropriate notice approved bank broker or dealer commerce to effect commercial paper Commission finds Commission is authorized Commission may deem Commission may prescribe contravention court deem necessary directly or indirectly effect any transaction effective date exempted security false or misleading Federal Reserve Board Federal Reserve System Federal Trade Commission indirectly controlling induce the purchase instrumentality of interstate interstate commerce jurisdiction liability listed and registered mails means or instrumentality national securities association national securities exchange necessary or appro necessary or appropriate notice and opportunity officer opportunity for hearing paragraph person directly prescribe as necessary protection of investors public interest purchase or sale purpose reason registered securities association registration statement regulation thereunder reports rule or regulation rules and regulations section 15 Securities Act security registered suant suit term issuer terms and conditions therein tion treasury stock United unlawful unless unlisted trading privileges
Popular passages
Page 39 - security" means any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment contract, voting-trust certificate, certificate of deposit for a security, fractional undivided interest in oil, gas, or other mineral rights,... or, in general, any interest or instrument commonly known as a "security...
Page 34 - Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper. The Commission may modify its findings as to the facts, or make new findings, by reason of the additional evidence so taken...
Page 34 - Any person aggrieved by an order of the Commission may obtain a review of such order in the 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...
Page 33 - ... no individual shall be prosecuted or subject 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, documentary or otherwise, except that such individual so testifying shall not be exempt from prosecution and punishment for perjury committed in so testifying.
Page 34 - 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 failure to adduce such evidence in the hearing before the Commission, the court may order such additional evidence to be taken before the Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper.
Page 32 - Board, its member, agent, or agency, there to produce evidence if so ordered, or there to give testimony touching the matter under investigation or in question ; and any failure to obey such order of the court may be punished by said court as a contempt thereof.
Page 4 - ... (1) any member appointed to fill a vacancy occurring prior to the expiration of the term for which his predecessor was appointed, shall be appointed for the remainder of such term; and (2) the terms of office of the members first taking office after the date of...
Page 11 - 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, "(a) To employ any device, scheme, or artifice to defraud...
Page 33 - States court of any territory or other place subject to the jurisdiction of the United States, to enjoin such acts or practices, and upon a proper showing a permanent or temporary injunction or restraining order shall be granted without bond.
Page 3 - ... acceptance which arises out of a current transaction or the proceeds of which have been or are to be used for current transactions, and 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.