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Tuesday's Senate Banking Hearing Likely To Be A Yawn or a Whitewash

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Posted by:   bobo 7/23/2006 10:36 AM

Tuesday, the Senate Banking Committee is going to get together to chitty chat about hedge funds. This is being driven by the recent rejection of the SEC's feeble rule attempting to create some sort of registration for US hedge funds.

Now, don't get me started about how idiotic it is that the SEC, which is composed almost entirely of attorneys, can't write a simple rule that will withstand a cursory legal challenge. That lack of competence is self-explanatory given the events of the last few weeks.

No, what I question is the regulation in the first place. What did it accomplish? Nothing. Anyone with a brain that wanted to circumvent it, could, with marginal effort. Thus, the only ones likely to register would have been those that weren't the 5% of the industry that are the big problem.

This is very much like Reg SHO, which purports to want to address naked short selling abuse, but which contains exactly no penalties of note that I can find for naked short selling. It also has no requirement for buy-ins, or for forced delivery for those participants who REFUSE to deliver that which they sold.

In other words, it is a bunch of hand waving and bureaucratic make-work that fails on the most basic levels.

Ditto for the hedge fund registration requirement.

Now, consider that these magnificent examples of Beltway buffoonery took place on Shelby's watch. Then consider that Shelby killed SBC hearings on naked short selling. Then further consider that a former Shelby lieutenant just became an SEC commissioner.

Given this legacy, I expect a big fat bag of nothing from the SBC.

Part of me watched Shelby's performance on CNBC a few weeks ago, and wondered if that wasn't him hanging out his "open for business" sign for interested Wall Street parties who want to buy the most compliant government they can afford. I suspect we will get a lot of acrimonious grandstanding from him, but nothing of any worth - unless one considers a decidedly pro-Wall Street, pro-SEC filibuster filled with laconic Southern aphorisms and aw-shucksy folk wisdom to be worth more than the air it takes to vibrate vocal cords.

Do I seem harsh? I don't want to sound harsh. God knows that the idea that elected officials are supposed to be servants of their electorate is horribly old fashioned - as is the notion that Government in general is supposed to work FOR the people, rather than demand obedience and tithing from from its subjects, while dancing the jig of the moment for the benefit of powerful special interests...

It's interesting, in terms of the latest on Gary Aguirre (WRT the re-opening of an inquiry into his suspicious termination). I was talking to some friends, and one of them pointed out that it was sort of an unspoken wisdom on Wall Street that when a staffer at the SEC had leadership quality, and was clearly superior in terms of drive, that Wall Street recruit them into one of the brokerages or law firms that composes the establishment. That ensures that nobody is at the SEC for long who could actually drive dangerous action against Wall Street.

My hunch is that Gary is of an age where he isn't buy-able, thus his drive and desire for justice was dangerous. Hence his firing. I would further bet that the hastily cobbled together questioning of Mack is designed to deliver the foregone conclusion that Mack/the SEC powers that be are good - as is the investigation into Gary's firing, which is likely designed to arrive at the conclusion that he is bad.

Is anyone fooled by this?

Unless we have a special prosecutor going through the allegations, we will get a polished, canned outcome decided in the back rooms of Wall Street. That's my hunch. I would love to be proved wrong on this.

Don't hold your breath.

Or, as Shelby says, when discussing hedge funds controlling trillions of anonymous dollars, and of Wall Street refusing to deliver shares they sold to unsuspecting buyers..."If it ain't broke, don't fix it."

In other words, do nothing, as doing something could anger the powers you're beholden to.

Questions?

Copyright ©2006 Bob O'Brien
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Comments (17)
Re: Tuesday's Senate Banking Hearing Likely To Be A Yawn or a Whitewash By dawgman.... on 7/23/2006 1:59 PM
bobo, ditto here. As you well know, the SEC has had the legal grounds to confront stock manipulation schemes since 1934. Reg SHO has always been simply a form of deception which was being employed to mask the magicians tricks. The SEC could jump in and investigate any hedge fund, or any investor for that matter, the instant that they felt that a crime might be in progress. If the SEC really wanted to take action against these hooligans, they would not need reg SHO at all! Our only real hope is that the DOJ or FBI becomes involved.
Re: Tuesday's Senate Banking Hearing Likely To Be A Yawn or a Whitewash By Niel Storts on 7/23/2006 2:17 PM
No questions.
Re: Tuesday's Senate Banking Hearing Likely To Be A Yawn or a Whitewash By Ranger on 7/23/2006 3:23 PM
While I have been very negative about the whole thing I am going to take the high road on this one. Look at it this way, they are having a hearing. This is better then not having one. There will be some press coverage. There are alot of reporters investigating back dating of stock options and this creates more interest in the stock loan program, stock shorting, and the relationships between hedge funds, Broker dealers, and market makers in specific stocks. OSTK is tainted and I would bet there are folks digging into other stocks once they have figured out what they are looking for. There is pattern to the trading and I am sure that somebody will eventually pick up on it. Look at how long it took them to discover the stock option back dating. It took a University with a super computer and data entry clerks to find the patterns. The power of computers is still in it's infancy and the more recognition somebody gets for finding the criminal wrongdoing the more folks will start looking for other crimes. I think the fight is just getting started and the more air time it gets the more likely it is the wrong doers are going to get caught. Nothing can be deleted from the trading systems. The computers make records on both ends and are permanent. Once the criteria is known for a computer search it will be discovered. I have been very encouraged by the recent news related to stealing going on in the markets. The evidence is there they just need to figure out how to scan for it. The clock is ticking and it will get solved eventually.

My fear is they (the folks stealing money via NSS) have moved on to another scheme. The huge increase in ETF's is going to be the next problem in the market. They are not being used as a safe way to play a sector. They are being used to short the market without having to locate shares to borrow. It is a basket of represented stocks not actual stocks so they can short the ETF in unlimited amounts. I may be wrong about this but ETF's were created in huge numbers right after the hedge funds had to stop stealing money from mutual fund front running. It is a never ending battle to figure out how folks can manipulate the makets to benefit them. I wish we could go back to buying and selling stock without all the other created methods of leverage.
Re: Tuesday's Senate Banking Hearing Likely To Be A Yawn or a Whitewash By harryofanguslane on 7/23/2006 3:37 PM
You're right, Bobo. The chances that the hearing will be anything other than a whitewash are about zilch.

It isn't so much that Shelby is most likely owned by the Street. The issue is that the Staffers that do their masters' thinking for them are looking forward to making 5 to 10 times their salaries when they move over (or back) to The Street.

And ditto for the SEC staffers that are writing the Chairman's testimony.
Re: Tuesday's Senate Banking Hearing Likely To Be A Yawn or a Whitewash By RJCogburn64 on 7/23/2006 3:48 PM
Why limit it to Shelby?

My NH Senator, Sununu, is on the banking committee. I wrote to him last year about NSS and he wrote back that Reg SHO was the fix.

I wrote to him this spring to ask him if he still thought so, and if the committee would hold the hearings Shelby cancelled.

No answer.

I wrote again, same questions, with copy of prior letter a couple of months ago.

No answer again.

Suggestions?
Re: Tuesday's Senate Banking Hearing Likely To Be A Yawn or a Whitewash By rtway1 on 7/23/2006 4:05 PM
I would like to take this opportunity to tell Mr. Shelby he is a misery peddler, liar and a disgrace as a public servant. I hope he reads this web site, as this will be one more way of my communication campaign I have had with his office. This may sound absurd but I have respect for a good burglar. It is a craft that has to have a skill level and requires some physical labor. A burglar does not expect to be treated like a priest or rabbi or public hero because they know in their hearts and minds that they are committing a crime and are in some way hurting their victims whether it be financially-or mentally which could lead to other complications that could result in a catastrophic event. On the other hand you have a public servant who knows full well that his actions or lack there of could result in financial consequences that could very well be dire in the end, and to thousands of people. However the public servant wants to be respected and thanked and overly compensated for his illicit actions and wants the chance to repeat the process for as long as the public stays fooled. I think burglars have more class and morals than Sen. Shelby, for I know what to expect from the burglar, however the same can not be said for the Senator as we have seen in the past and I doubt that his MO has changed.
Re: Tuesday's Senate Banking Hearing Likely To Be A Yawn or a Whitewash By mhatmccane on 7/23/2006 4:43 PM
Do we have a list of the guest speakers (other than the Senators)
Re: Tuesday's Senate Banking Hearing Likely To Be A Yawn or a Whitewash By Paladin on 7/23/2006 5:05 PM
mhatmaccane...

So far this all their website shows as of Sunday night:

Witnesses

Panel 1
Honorable Christopher Cox , Chairman, Securities and Exchange Commission
Honorable Randal K. Quarles , Under Secretary for Domestic Finance, Department of the Treasury
Honorable Reuben Jeffrey III , Chairman, Commodity Futures Trading Commission

*********************

Re: Tuesday's Senate Banking Hearing Likely To Be A Yawn or a Whitewash By Little Bo peep on 7/23/2006 6:02 PM
busy, busy, busy buzzing.......

Wilbur Ross, dubbed the ``King of Bankruptcy'' for investing exclusively in distressed companies

http://today.reuters.com/investing/financeArticle.aspx?type=fundsNews2&storyID=2006-07-23T224123Z_01_N23264474_RTRIDST_0_FINANCIAL-AMVESCAP-ROSS-UPDATE-2.XML
Re: Tuesday's Senate Banking Hearing Likely To Be A Yawn or a Whitewash By Patchie on 7/23/2006 6:09 PM
RJ..

That Sununu family is a bucjh of self serving yahoo's. you are best to get the entire family out of State. Dear old dad was my guidance counselor at college before he became part of Bush Sr's staff. the guy used to tell me he was too busy to speak because he was off seeking his poitical career. Funny, he wasn't giving up the checks he received from Tufts for acting as a professor.

these guys are all useless politicians that serve one person and one person alone - themselves!

Bes thing you can do, take it to his competition. bring them teh requests for help and bring them the most recent scandals and ask them how many NH Companies Sununu has allowed to be trashed in order to protect his political and financial future. Get the backlash started now about what a bum these guys are.
ANOTHER PRETEND WE ARE DOING SOMETHING WHEN CAUGHT WITH PANTS DOWN! By browntrout on 7/23/2006 6:54 PM
Patchie- I am surprised you are not jumping up and down exclaiming "this is it, everything will be all right like you are after COX decided to twist the political game around and hold a meeting , pretending to alter the SHO game and you fell for it. Why don't you send Dick "Hamhock" Shelby some pointers into how to handle his meeting in fleecing America.

Reality check- Will this hearing be attended by more than two Senators? Will Chucky "Porkchop" Schumer show up with a letter stating that the Chairman of the Senate Judiciary Committee believes that this is his turf? Will anyone actually do something in America to stop this fraud? Will Regis Philbin actually find someone in America that has talent in "America's Got Talent "?
Re: Tuesday's Senate Banking Hearing Likely To Be A Yawn or a Whitewash By bobo on 7/23/2006 7:34 PM
RJcoburn:

Post your correspondence to the wall of letters section in the forums. Then we will have a fun little "who knew about this and watched as we hit the iceberg" party when it blows up.

And I would let the good senator know that his attention is being memorialized for posterity.

So far, we have Bennet, Hatch and Specter on the good guy side, and all others either out to lunch, or on the bad guy side.

Nice, huh?
Re: Tuesday's Senate Banking Hearing Likely To Be A Yawn or a Whitewash By InTheKnow on 7/24/2006 3:31 AM
It is truly amazing how these governments scumbags think they have fooled the American people. Thse guys are worse than terrorists, they are American traitors. They are the new McCarthy's. Piss on them.
Re: Tuesday's Senate Banking Hearing Likely To Be A Yawn or a Whitewash By InTheKnow on 7/24/2006 3:56 AM
Again I say, these scumbags are covering up the biggest PONZI SCHEME ever devised in this world.
Re: Tuesday's Senate Banking Hearing Likely To Be A Yawn or a Whitewash By gregcable2002 on 7/24/2006 4:33 AM
InTheKnow, The cover is off now,all they can do is stall,to many people know whats going on and we'll get juctice,we may not get our money back but people are going to jail,and I do believe this would be a level 4-5 crime which means the crooks will go to Lewisburg federal pen.Thats a very bad place.One more thing,the government is slow at getting convictions but they have a 99% conviction rate.
Re: Tuesday's Senate Banking Hearing Likely To Be A Yawn or a Whitewash By Little Bo peep on 7/24/2006 4:59 AM
While we wait for the show to start.

I like cheese popcorn!!!

Who are these dudes?

JHK Investments

Reed Elsevier Ventures

VantagePoint Venture Partners
Re: Tuesday's Senate Banking Hearing Likely To Be A Yawn or a Whitewash By Sean on 7/24/2006 6:48 AM
« CLB01219 Message list | Reply to msg. | Post new msg. « Older | Newer »
By: jcline
24 Jul 2006, 11:39 AM EDT
Msg. 327770 of 327770
Jump to msg. #
NYSE Fines 4 Firms $1.25M For Reg SHO Violation
(received in an email......)


DOW JONES NEWSWIRES



New York Stock Exchange Regulation Inc. censured and fined four member firms a

total of $1.25 million for failing to enact effective procedures and systems to

comply with Regulation SHO, which concerns short selling.



NYSE Regulation censured and fined Daiwa Securities America Inc. $400,000 for

failing to prevent a proprietary trading desk from effecting 103,000 short sales

between Jan. 3 and April 15, 2005, without obtaining locates.



In a press release Monday, the NYSE said another proprietary trading desk at

Daiwa failed to document compliance with the locate requirement, and the firm

failed to mark certain proprietary orders "long," "short" or "short exempt."



In addition, NYSE Regulation censured and fined Goldman Sachs Execution &

Clearing LP $350,000 for relying on customers to mark orders "short exempt,"

failing to monitor customer short sales to ascertain whether previous borrowings

had resulted in timely deliveries, and marking orders for one of its own

accounts as long when they were short sales.



NYSE regulation also censured and fined Citigroup Global Markets Inc. $250,000

for improperly accounting for failures to deliver in threshold securities, not

having procedures to resolve fails in threshold securities that existed for 13

days, and not having policies to prevent a short seller from covering short

sales in the Regulation M restricted period with offering securities bought from

a participant in the deal.



Also, NYSE regulation censured and fined Credit Suisse Securities (USA) LLC

$250,000 for failing to obtain locates for certain short sales it effected for

clients to whom it provided algorithmic trading execution services, and failing

to monitor whether customer "long" sales repeatedly required borrowed shares for

delivery.



-Sara Leitch; 201-938-5400; AskNewswires@dowjones.com



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