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It Was The Best Of Times.....

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Posted by:   bobo 6/14/2007 4:20 AM

There are two Americas. Two distinctly different worlds under one flag.

There are two banking systems - one for you and I and most, where every move is scrutinized in ostensible wars against crime, drugs, terror, whatever boogieman suffices for the headlines...and one where anonymous pools of money move billions of dollars internationally without any reporting, using the markets as their liquidity mechanism.

There are two justice systems - one for poor black kids selling $20 worth of drugs in an effort to make ends meet in their grim world, one where you go to jail for robbing liquor stores, or defying the IRS, or being violent or criminal....and one where criminality, fraud, theft are celebrated and protected by our most powerful institutions.

There are two information systems - one where mouth-breathing illiterates are expected to drool over the latest developments on second rate talent shows or dimwitted soap operas while their "news" consists of the exploits of substance abusing skanks and the latest domestic violence atrocities (a predictable bi-product of a polarized consumer society that's a pressure cooker entirely predicated on material gain and amoral avariciousness)....and one where those in the know smugly control what makes it to the masses.

In the midst of this, the SEC had their largely ceremonial meeting yesterday, and the result was precisely as predicted.

The unlawful grandfathering of delivery failures was eliminated. Sort of. As of some date. Assuming anyone obeys, and enforces, any of the rules.

The unbelievably egregious market maker exemption, which enables speculators in the options market to lay their options hedging costs off onto unsuspecting equity investors, directly and obviously harming them (which absolutely nobody contests as being the case) was waffled into another delaying period, whereby these extremely rich and powerful options speculators can continue to directly and dramatically harm equity investors, while the SEC "seeks further comment" on the issue.

Funny, I thought the 1934 Act, which forbids exemptions unless they are necessary for the protection of investors and in the public interest, was the last word on that. Apparently not. What Congress should have said is, "Exemptions aren't allowed unless you are really rich and powerful and can buy the commission's allegiance, in which case you get a hall pass to rape and pillage at will."

To say that I'm beyond disgusted in the US market system as well as our regulatory framework is an understatement. A grandfathering provision that was passed against all SEC rules requiring a comment submission, which has caused incalculable harm to investors so that hedge funds and prime brokers and market manipulators can run amok in the capital markets, was finally shot down, after years of damage. Gee. That's nice. And now we can expect the massive unlawful loophole for market makers to remain unchallenged for as long as the SEC can stall.

Is anyone at all fooled by this any more? Max Keiser's great video (the topic of the previous blog) spells it out in under half an hour, in terms a chimp could grasp, and yet the see no evil SEC pretends that is is all a mystery, while the wholly bought and paid for politicians act baffled as to what is going on.

Anyone that thinks those with different colored skin or different political or religious beliefs are the greatest threat to the American way should carefully consider how corrupted that way has become. An idea of representative government, a republic where the citizen/individual's rights and protection are paramount, has been replaced by a kleptocracy, where the resources of the many are stolen by the few special interests who direct the military/industrial/financial complex's actions for their own direct benefit, both nationally, and internationally. That's the way it is. Sorry folks. No other conclusion can be drawn.

And yesterday's meeting merely confirmed it.

Copyright ©2007 Bob O'Brien
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Comments (47)
Re: It Was The Best Of Times..... By n-tres-ted on 6/14/2007 8:05 AM
Bobo,

On the OMM exception, the SEC has allowed 30 days for comments on the newly proposed amendments of the exception. I interpret their action as meaning they want to limit the exception but not eliminate it completely. The staff guy discussing the newly proposed amendments said the NSS will still be permitted, but will have to be closed out within a period of days. The SEC will choose between 3, 5, 13 or 35 days for the FTDs to be open. Of course, that just means the FTDs will be rolled over and created again as the old ones are closed out. It was an interesting hearing, from the viewpoint of watching the body language of the commissioners and staff.
Re: It Was The Best Of Times..... By AlexCosta on 6/14/2007 8:30 AM
Looks like Bud has figure out a way to make the naked shorts pay.

Mr. Austin Burrell, Chairman of PVTM, commenting on these developments, said: " ... by effecting the share exchange and being admitted to Trading on PLUS Markets in London we have now ensured that shareholders have a dealing facility in a regulated public market. They will be able to trade their shares freely in unrestricted form. We are especially delighted that institutional buyers have now become investors in the future of our trading platform and we look forward to bringing the platform into full operation."

Private Trading Systems, Inc. Announces Permission to Trade on the PLUS Market in the UK of the Whole of the Share Capital of Its Subsidiary Company Private Trading Systems PLC

SCOTTSDALE, Ariz., June 13, 2007 /PRNewswire-FirstCall via COMTEX/ -- Private Trading Systems, Inc. (Pink Sheets: PVTM) which, through its wholly owned subsidiaries, operates a platform for trading financial instruments in electronic form with instantaneous clearance and settlement in real time, announces that Private Trading Systems PLC ("PTS"), a new company incorporated in the United Kingdom, a wholly owned subsidiary of PVTM, has been granted permission to trade the Company's Ordinary Shares on the PLUS Market in UK. PTS issued the whole of its share capital to PVTM in exchange for the entire share capital of The Private Treaty Market Limited ("PTML"), formerly a subsidiary of PVTM, and the intellectual property rights vested in a patent, applied for in August 2006.

The agreement for the exchange of shares between PVTM and PTS has now been completed and PVTM will now issue them by way of a special dividend in kind to existing shareholders in PVTM prorata:

10 shares in PTS for each existing share of stock held in PVTM.

The record date for the dividend is today's date, June 12, 2007, and the shares of stock in PVTM will be marked ex-dividend as of today's date. The Registrars for PTS, Computershare Investor Services PLC, PO Box 82, The Pavillions, Bridgewater Road, Bristol BS997NH, United Kingdom will issue new share certificates in respect of the PTS shares to shareholders of PVTM who present evidence of title by way of (a) definitive stock certificate(s) in respect of PVTM shares. The Registrars will dispatch the new PTS share certificates together with PVTM stock certificates in respect of the existing PVTM shares of stock to the registered owners.

NO NEW SHARE CERTIFICATES IN PTS WILL BE ISSUED WITHOUT PRESENTATION OF EXISTING PVTM STOCK CERTIFICATES.

Shareholders should therefore send original stock certificates in respect of PVTM shares to Computershare Investor Services PLC in order to receive the new PTS share entitlements.

This will result in shareholders holding 10 new shares in PTS and their existing 1 share in PVTM in respect of each existing PVTM share.

Additionally PTS is completing an institutional placing of 29,411,765 (6.4%) of its new ordinary shares to raise GBP 1.25 million (one million, two hundred and fifty thousand pounds sterling, approximately $2,465,434) of working capital.

The board of directors of PTS comprises Mr. Walter Goldsmith (Chairman), Mr. Lindsay Smith (Chief Executive Officer), Mr. Austin Burrell (Non-Executive), and Mr. Robert Stevens (Non-Executive). It is intended that further appointments to the board will be made as appropriate.

Mr. Austin Burrell, Chairman of PVTM, commenting on these developments, said: " ... by effecting the share exchange and being admitted to Trading on PLUS Markets in London we have now ensured that shareholders have a dealing facility in a regulated public market. They will be able to trade their shares freely in unrestricted form. We are especially delighted that institutional buyers have now become investors in the future of our trading platform and we look forward to bringing the platform into full operation."

Mr. Walter Goldsmith, the Chairman of PTS, said that he was pleased to have joined a company with such opportunities to bring an innovative approach to the marketing of financial instruments, and looked forward to an exciting future for PTS.

This news release contains forward-looking statements within the meaning of the Securities Litigation Reform Act. The statements reflect PVTM's current views with respect to future events that involve risks and uncertainties. Among others, these risks include the failure to meet schedule, or performance requirements of the Company's contracts, the Company's liquidity position, the Company's ability to obtain new contracts, and the emergence of competitors with greater financial resources and the impact of competitive pricing. In the light of these uncertainties the forward-looking events referred to in this release might not occur.

SOURCE Private Trading Systems, Inc.



CONTACT: Mr. Austin Burrell of Private Trading Systems, Inc., +1-480-951-4897; or Mr. Jerry
Jennings, +1-561-881-7318, mediareply@emersongerard.com, for Private Trading Systems,
Inc.

URL: http://www.prnewswire.com
www.prnewswire.com

Copyright (C) 2007 PR Newswire. All rights reserved

-0-


KEYWORD: Arizona
INDUSTRY KEYWORD: FIN
OTC

Re: It Was The Best Of Times..... By InTheKnow on 6/17/2007 12:45 PM
They will all wake up when the shit hits the fan. Who cares, in the mean time, what they do. Just buy the naked shorted stocks for now.
PRIMA FACIA EVIDENCE? By Both Oars in the Water on 6/17/2007 4:25 PM
June 2007 SEC Compliance Alert

Supervisory Procedures to Ensure Compliance with Regulation SHO

Recent examinations indicated deficiencies with respect to compliance with Regulation SHO.9 Specifically, many firms did not have adequate written supervisory procedures to ensure compliance with the Rule. Some of the firms examined appeared to have incorrectly marked short sales and long sales, many firms did not have procedures or a system to monitor whether long sales were resulting in fails to deliver, and some firms did not perform a locate or adequately document a locate prior to the execution of a short sale. Examiners found that many firms did not close out fail to deliver positions within thirteen consecutive settlement days (though the number of incidents found was quite small). Some firms allowed additional short sales in a security without pre-borrowing when a fail to deliver position remained for more than 13 consecutive settlement days.

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

They appear to contradict themselves saying "many firms did not close out fail to deliver positions within thirteen consecutive settlement days (though the number of incidents found was quite small)."

Let's find out who these non-compliant firms are. Can you say FOIA?
Re: It Was The Best Of Times..... By clearthinker on 6/17/2007 4:34 PM
that's right, mhat.....if it wasn't clear to everyone by now that the "system" is rigged and will selectively publish what it wants the general public to swallow, the OSTK victory and the SEC meeting re: Reg SHO are PROOF. Without political will or profit motive, this will drag on as long as the forces that are in control can make it...

The general public is clueless about this, even now, with all of the admissions from even the SEC chair...the business sections of every daily newspaper are silent...

And so it goes....

Re: It Was The Best Of Times..... By rtway on 6/17/2007 9:33 PM
I know I sound like a 45 rpm record skipping but I don't know how more to say what Bobo said. Shit or get off the pot. All of this talk and petition has gotten us to a bigger point of frustration. More pro-active measures need to be taken or we are again going to be fodder. If the SEC does not work in conjunction with law enforcement it is all bull shit and smoke and mirrors. Some one has to step up to the plate and start swinging. Do we have enough lawyers here to start a class action suit against the SEC or have a million person investor march on Wall ST.. Were not getting younger waiting to decide to take action. Timing is right for election and news coverage.
Re: It Was The Best Of Times..... By bburrell on 6/18/2007 3:50 AM
In response to rtway's call to arms:

Reply: There are several cases pending that will get jury trials, as opposed to arbitrary, if not influenced, Federal Judges ruling to protect their own interests and in particular their workload.

Unfortunately, there are those who continue to talk of quick fixes from the legal system, and that simply isn't going to happen. You are one of the more responsible commentors, and you should know that the opposition now accuses the SEC of "taking our side" in the NSS/Counterfeiting issue.

The SEC needs to know that we will be keeping a close eye on them. Believe me when I tell you that the ruing of last week would never have happened if we had not been all over them. One of the killer clowns actually accused Dave Patch of being an internally supported shill for the SEC, when in fact he has been anything but.

No one has paid me this compliment, but then again it would not have been approprirate. I have taken a bit of time to recharge my batteries, but now we have to focus on the Ex-Clearing arena, and on getting appropriate disclosure from this space.

The fact is corruption has gone pandemic in this beloved Country of ours, and we are looking at just one very narrow space. It is literally everywhere. I see nothing short of declared War acting as even a band-aid to cause some clean up.

Maybe too it is that as I get older, like any good craftsman, I am getting better at ferreting out this corruption, and recognizing it where I encounter it. H. L. Mencken said in the late 1930's that "Corruption is the substance holding together American society." In a variant of that statement, he called Corruption the "Glue" holding it together. No one could tell me today it is any different.
Re: It Was The Best Of Times..... By n-tres-ted on 6/18/2007 9:28 AM
I'm glad to say the SEC actions this week may be more beneficial than I initially thought. Mhelburn posted Cox's opening statement on the NFI board, noting the comments about the actions on the OMM exception. I highlight that below, plus another item Cox proposed to make intentional FTDs fraud by stated regulation. Take a look.

****

While the vast majority of trades settle on time, Regulation SHO is intended to address situations where the fails to deliver for particular stocks are so substantial that they might harm the market for the affected securities. We have been particularly concerned that these fails to deliver can deprive shareholders of the benefits of ownership, such as voting and lending. Moreover, fails can indicate abusive "naked" short selling, which could be used as a tool to drive down a company's stock price. They may also undermine the confidence of investors in the market who may believe that the fails to deliver are evidence of manipulative "naked" short selling in the stock. In turn, issuers may be harmed, as investors may be reluctant to commit capital to a stock that they believe is subject to abusive "naked" short selling.

In July 2006, to further address these concerns, the Commission proposed amendments to strengthen Regulation SHO by eliminating what is known as the grandfather exception and by narrowing the options market maker exception to Regulation SHO. The proposals were based, in part, on examinations conducted by the Commission's staff and several Self-Regulatory Organizations. Preliminary data indicates that Regulation SHO appears to be significantly reducing fails to deliver without disruption to the markets. There, however, continues to be a number of securities on the Regulation SHO threshold list — which lists securities with substantial and persistent fails to deliver — the fail positions of which are not being closed out under existing delivery and settlement requirements. It appears that many of these persistent fails are attributable to the grandfather and options market maker exceptions to the delivery requirements of Regulation SHO. The grandfather exception applies to fails that occurred before Regulation SHO's effective date and those that occurred before a security was added to the threshold list. The options market maker exception applies to fails resulting from short sales by a registered options market maker to hedge options positions created before the underlying security was added to the threshold list.

The Commission's proposals attracted significant public interest and more than 900 comment letters. After considering the comments, the staff recommends today that we adopt the amendments to eliminate the grandfather exception, as proposed. The staff also recommends that we re-propose amendments that would not just narrow the options market maker exception, but eliminate it entirely, and that we consider other alternatives. These recommendations are intended to further reduce the number of persistent fails to deliver securities.
***

Finally, in addition to today's measures, and because abusive "naked" short selling is illegal under the general antifraud provisions of the federal securities laws, I have asked the staff to draft a recommendation for a future rule proposal that would specifically state that abusive "naked" short selling is fraud. Such a rule holds the potential of streamlining the prosecution of this apparently rare form of market manipulation and, if today's measures leave any doubt, would direct still more Commission power to stamping out such abuses.

http://www.exchange-handbook.co.uk/index.cfm?section=news&action=detail&id=67616
Re: It Was The Best Of Times..... By captdale on 6/18/2007 4:32 PM
Comments letter to the SEC concerning Reg. SHO rules change.
-----------------
I'm pissed and not going to beat around the bush. I'm getting tired of this crap from you people. You better get it right.
----------------
ENFORCE THE LAW already on the books for close out requirement of T+13. It has already been stated by the Div. of Market Regulation that T+13 is a very long time. Just enforce the damned close out law for once. There are companies on the threshold list that have been there for over a YEAR. Enforce the damned law.
---------------
Get rid of the Options Market Maker exemption. What the hell is the matter with you people? Its a license to manipulate the price of stocks which the MM's do all the time. Put a stop to it.
---------------
Short selling is not a "National Treasure". It is an investment method. Why in the hell do you protect it with your last breath ? Short sellers aren't some sort of GOD they are just betting and often times insuring that a stock price goes down. Why do you protect the short position against the feared "short squeeze" when a good part of the very reason the stock is low is because naked short selling with the help of the MM's got it there. What about the protecting the invester from the naked shorting with the same amount of enthusiasm ?
-------------
In short - enforce the laws for Christs sake and get rid of the damned MM exemption.
--------------
I'm getting tired of this crap from you people. You better get it right.





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Re: It Was The Best Of Times..... By oldfeller on 6/18/2007 7:00 PM
They didn`t go to extremes like the grandfather clause for stocks listed on the bigger exchanges. They did that because people kept buying and buying the microcaps. They thought if they took the microcaps low enough everyone would sell for the tax loss. Didn`t happen. We just bought more. They know they can`t hide it forever due to the freedom of info act. Microcaps are dropping hard with very few trades. Why?
Re: It Was The Best Of Times..... By WSJungle on 6/20/2007 12:41 PM
TheStreet.com's Cramer Exercises Options
Associated Press 06.20.07, 3:40 PM ET

James J. Cramer, best known as the host of CNBC's "Mad Money," exercised options for 22,500 shares of financial web site TheStreet.com Inc. and sold the shares under a prearranged trading plan, according to a Securities and Exchange Commission filing Tuesday.

In a Form 4 filed with the SEC, Cramer, who is a director co-founder of the company, reported he exercised the options for $4.06 to $4.08 apiece and sold the shares for $11.23 to $11.48 apiece last Friday.

The stock sale was conducted under a prearranged 10b5-1 trading plan which allows a company insider to set up a program in advance for such transactions and proceed with them even if he or she comes into possession of material non-public information.

Insiders file Form 4s with the SEC to report transactions in their companies' shares. Open market purchases and sales must be reported within two business days of the transaction.

TheStreet.com (nasdaq: TSCM - news - people ) is based in New York.

_________

Questions or comments about this story should be directed to Wallace Witkowski of AP Financial News at 212-621-7190.


Copyright 2007 Associated Press. All rights reserved. This material may not be published broadcast, rewritten, or redistributed


** Market Manipulation *** By InTheKnow on 6/20/2007 1:13 PM
From Dave Patch

Friends,



I hate to be the bearer of bad news but one of those Bear Raids that don’t exist is taking place as we speak. It is also taking place in a security where the market has no uptick rule so the raid has become rather easy. In fact, Goldman Sachs has offered up this raid to institutional investors for free.



Goldman is offering the lending of Jag Media shares to short sellers at no cost according to one institutional client who clears through Goldman. Imagine that, Goldman is offering up free shares in a penny stock company to their institutional clients. Is this standard practice? Is this an offer to manipulate? Isn’t this like getting a zero interest mortgage from your mortgage company?



Jag Media is one of those companies that Wall Street and Regulators love to hate. It is a company that seems to have nine-lives so it is a company that can cause major market disturbance.



Last week, as a reported deadline approached for the proposed reverse merger between Jag Media and a private company called Cryptometrics, an article was published in Swing Trader that highlighted Jag Media as the ‘Play of the Year’. The article highlighted the trading patterns in Jag Media and offered up a price target that could reach $10.00 due to a possible short squeeze. The result was an explosion in trading volume (965,000 shares on 6/15 and 2.6Million on 6/18) as the stock reached new highs by Monday. On Monday the stock peaked at $1.59 and closed at $1.46.



But Tuesday morning, with the rally on Monday still in play, the stock opened to a collapse sending the market down 15% in the first 10 minutes of trading. Pre-market signs of a market open of $1.50 X $1.51 were wiped out with trades executed and cancelled and by Market open the Bid of $1.50 was reduced to $1.45. Did the investor offering the $1.50 suddenly get some market news that pulled the offer away?



Despite trading into the offer, the market collapsed on 500 share trades into the bid and by mid day Tuesday the stock was trading at $1.28. With 1 Million shares traded, the stock closed at $1.36.



Wednesday was no different and within the first 5 minutes of trading the $1.36 stock was reduced to $1.18 on less than 100,000 shares. By 12:00 Jag was suddenly sitting at $0.93 on 1.5 million shares traded, the stock now trading down 37% in two days on no news.



The uptick rule was put in place to protect against bear raids induced by short sellers who sell into bid when the imbalance between supply and demand through the short sale will dictate a market change. In this case, market making activities and free shares provided by Goldman Sachs and most likely others may be attributed to this sudden change in the JAGH Market.



Regulators must rationalize a few basic questions:



Why would an investor open up the Tuesday market in a massive raid on the bid after the trading the previous two days was nothing short of a bull run, the market makers executing these trades not in the market the previous days? The Bull Run was precipitated off a news article, what precipitated the desire to sell down an investment and sell it down hard?



I am sure the geniuses who monitor these markets will rationalize this as profit taking but…with 2.7 Million shares trading Monday and nearly 2 Million of it taking place between $1.45 and $1.55, selling the stock down to $1.35 on minimal shares is hardly a way to profit take. It would be a loss and not a profit.



The real question is, how much short selling and market making naked shorts were in play during these raids? Any bona-fide sell side market making taking place would be manipulative based on the already collapsing nature of the stock. With net settlement systems in place however, early sell side market making could be used to panic out investors so that market makers with out-of-money positions from the previous two days could cover those positions at a profit and not a loss.



The DTCC fail to deliver data for this week will be extremely telling if a spike in fails is witnessed off Friday and Mondays trading but the positions evaporated through Tuesday and Wednesday trading.



Manipulating markets to protect market making fails is likewise illegal. I can only wonder whether this is the counter party to the fear the SEC has about possible short squeezes. The SEC allowing Brokerage firms and Market makers to raid markets in order to protect liabilities. Some 2.0 Million shares traded hands between $1.45 and $1.55 on Monday resulting in $3 Million worth of trading revenues. While the Tuesday and Wednesday volume now exceeds that total ever so slightly, it was approx 200,000 shares traded that brought the $1.46 stock to $1.18 with the rest of the volume trading around the initial collapses.



The undeniable data…The Bull Run can be rationalized through an event, The Bear Run can not; while regulators typically contact companies on the Bull run, it would appear nobodyy cares about the ever damaging Bear. By my calculation, this panic induced raid drew some $20 Million in market cap out of investor portfolio’s

HFS hearing 6/26 By tmg on 6/20/2007 2:35 PM
Full Committee Hearing

A Review of Investor Protection and Market Oversight with the Five Commissioners of the Securities and Exchange Commission

Tuesday, June 26, 2007, 2:00 p.m., 2128 Rayburn House Office Building

Click here to watch live webcast of this hearing.

Witness List & Prepared Testimony:

Christopher Cox, Chairman
Paul S. Atkins, Commissioner
Roel C. Campos, Commissioner
Annette L. Nazareth, Commissioner
Kathleen L. Casey, Commissioner
Available Member Statements:

Printed Hearing:
The printed version of this hearing will be posted as soon as it is available.

Related Documents:

http://www.house.gov/apps/list/hearing/financialsvcs_dem/ht062607.shtml
Re: It Was The Best Of Times..... By Sean on 6/21/2007 9:02 AM
Bobo.. this is what I call taking it to them!!

Universal Express CEO Requests Investigation Into Ex-Clearing Portfolios
NEW YORK, NY--(Marketwire - June 21, 2007) - Universal Express, Inc. (OTCBB: USXP) CEO, Richard A. Altomare, today requested a Federal financial and tax investigation into the Ex-Clearing accounts between brokers where the naked short sellers hide their daily short settlements and fail to deliver and receive by not entering those numbers into the existing depository system.

"This broker to broker loan system exceeds one trillion dollars, according to the New York Stock Exchange Focus Report. After the failure of the REG SHO program and its recent grandfather clause reversal, those naked short sellers now have only two choices: either cover or hide those positions in this process where brokers trade with each other without entering the depository system," said Mr. Altomare. "On July 24th it will be eight years since the ill thought out REG SHO program was created. During this period our stock control groups have been eliminated, accountability of market makers has deteriorated even further, and American shareholders have lost trillions of shareholder equity through trading scams, yet this Ex-Clearing process remains unsupervised and exceeds a trillion dollars!"

Grandfather Clause reversal: http://www.sec.gov/news/press/2007/2007-114.htm

"Has our government received the tax payments? What are the interest rates, durations and tax expense deductions of these transfers? Are they loans? Who supervises these transactions? Let us always remember if a Company stock is naked shorted and after the shorting the company fails -- there is no taxable revenue recognition event for the broker or account that shorted the stock," continued Mr. Altomare.

"Today, I call upon the appropriate committees of Congress and even the Courts hearing our case to seize those funds pending the outcome of Universal Express' $700,000,000 existing judgment lawsuit or to institute a thorough federal criminal and tax investigation into those accounts. The American trading system demands a level playing field, by a regulatory agency that is both capable and willing to create that type of environment.

"I have often spoken of naked short selling, its avoidance of Federal taxes, and the protection of our shareholders. We have openly lobbied against the unconstitutional grandfather clause initiated to protect market makers during the last 3 years of naked short selling. Why must I now point out a trillion plus dollar broker to broker non-transparent account process? Isn't that what we expect of a functioning regulating agency?

"I request that the SEC deal with this question rather than malign the whistle blower. We've played that game before when the SEC actually denied that naked short selling existed and attacked those of us who revealed it. Today sadly the SEC admits that criminal naked short selling exists. Let's not today deny this trillion plus dollar process. Solve this loophole! Acknowledge the oversight! Protect the dignity of our capitalistic electronic trading system!

"This press release will be distributed to the appropriate members of Congress and the Justice Department.

"As the criminal naked short sellers scurry to find non-transparent loopholes, this Ex-Clearing account must be closed or seized.

"Denials, delays, defensiveness and now deceptive accounts. Is it any surprise, our regulatory agency's grade should be a 'D'?" concluded Mr. Altomare.

About Universal Express

Universal Express, Inc. is a 23-year-old logistics and transportation conglomerate with multiple developing subsidiaries and services. For additional information please visit www.usxp.com

Safe Harbor Statement under the Private securities Litigation Reform Act of 1995: The statements contained herein, which are not historical, are forward-looking statements that are subject to risks and uncertainties that could cause actual results to differ materially from those expressed in the forward-looking statements including, but not limited to, certain delays beyond the Company's control with respect to market acceptance of new technologies, products and services, delays in testing and evaluation of products and services, and other risks detailed from time to time in the Company's filings with the Securities and Exchange Commission.

http://www.marketwirecanada.com:80/2.0/release.do?id=744620
Re: It Was The Best Of Times..... By Sean on 6/21/2007 11:40 AM
Stock Lending the new name for Naked Shorting and stock manipulation!!!

Criminal Probe Snares Morgan Stanley VP
A stock-loan investigation has prompted one executive to resign. Individuals at Bear Stearns and Janney Montgomery Scott are also under scrutiny
by Matthew Goldstein
The fallout from a long-running criminal investigation into improprieties in the stock-lending business is starting to hit some of Wall Street's biggest firms. Earlier this week, a Morgan Stanley (MS) vice-president resigned after his name arose in conjunction with the inquiry into a complex kickback scheme involving the lending of stock to hedge funds and other short-sellers. Resignations at other Wall Street investment houses could soon follow as federal prosecutors get closer to filing criminal charges, according to people familiar with the matter.

In May, BusinessWeek reported that federal investigators are nearing the end of an 18-month probe of the murky world of stock lending. Investigators are examining allegations that employees working on the stock-loan desks of some of the biggest Wall Street firms accepted improper cash payment and other gratuities for referring work to so-called stock-loan finders—middlemen who help firms get their hands on hard-to-borrow shares (see BusinessWeek.com, 5/17/07, "The Crackdown on Stock-Loan Schemes").

The investigators believe that many of these middlemen did little work to justify their fees. But to keep the referrals coming, the middlemen would split their fees with the employees of the Wall Street firms who had hired them.

Resignation Confirmed
So far, federal prosecutors have secured guilty pleas from three confidential witnesses in the case and are expected to file charges in July against as many as a dozen current and former Wall Street employees, say sources familiar with the investigation. The individuals drawing the most scrutiny are ones who either currently or formerly worked at Bear Stearns (BSC), Janney Montgomery Scott, and Morgan Stanley.

The Morgan Stanley vice-president, Peter Sherlock, a 13-year veteran, resigned on June 18, say people familiar with the investigation. Telephone calls for Sherlock were referred to a Morgan Stanley spokesman, who declined to comment. Sherlock's lawyer, John Wallenstein, a Mineola (N.Y.) criminal defense attorney, confirmed his client had resigned, but declined to say why. Wallenstein pointed out that Sherlock has not been charged with any wrongdoing. "I know there is an investigation by the Eastern District of New York," Wallenstein says, referring to federal prosecutors in Brooklyn, N.Y. "I know the SEC is looking at it too." A spokesman for Roslynn Mauskopf, U.S. Attorney for the Eastern District of New York, declined to comment. An SEC spokesman also wouldn't comment.

Stock Loans' Mysterious Ways
Securities lending is a large, but little-understood business for Wall Street. Investment banks rake in roughly $10 billion a year on the fees they collect for lending stocks and bonds to short-sellers, hedge funds, and other professional traders who bet on falling prices. But the prices charged by Wall Street firms for borrowing stock—particularly for shares of small-cap securities—has been something of a mystery. Hedge fund managers often complain about the lack of predictability in the prices big Wall Street firms charge for borrowing stock. Investigators believe the alleged kickback scheme drove up the borrowing costs for hedge funds and may have cost the funds millions of dollars in additional fees.

In a classic short sale, a trader borrows shares from an investment firm and sells them. If the stock falls as expected, the short-seller can pay back the loan and make a profit by repurchasing the shares at a lower price. When the investment firms don't have enough shares in their inventory, they sometimes seek out independent finders, who work the phones, calling friends, relatives, and buddies at other stock-loan desks to make up the difference. But investigators believe finders often aren't providing a legitimate service.

Matthew Goldstein is an associate editor at BusinessWeek, covering hedge funds and finance.

http://www.businessweek.com/bwdaily/dnflash/content/jun2007/db20070620_430560.htm?chan=rss_topStorie...



Not that this'll have any effect on us!IMO Elrac
Re: It Was The Best Of Times..... By Tatanka on 6/23/2007 12:41 AM

Revealed by US Congressman Charles A. Lindbergh, SR from Minnesota
before the US Congress sometime during his term of office
between the years of 1907 and 1917 to warn the citizens.



"We (the bankers) must proceed with caution and guard every move made, for the lower order of people are already showing signs of restless commotion. Prudence will therefore show a policy of apparently yielding to the popular will until our plans are so far consummated that we can declare our designs without fear of any organized resistance.

The Farmers Alliance and Knights of Labor organizations in the United States should be carefully watched by our trusted men, and we must take immediate steps to control these organizations in our interest or disrupt them.

At the coming Omaha Convention to be held July 4th (1892), our men must attend and direct its movement, or else there will be set on foot such antagonism to our designs as may require force to overcome. This at the present time would be premature. We are not yet ready for such a crisis. Capital must protect itself in every possible manner through combination (conspiracy) and legislation.

The courts must be called to our aid, debts must be collected, bonds and mortgages foreclosed as rapidly as possible.

When through the process of the law, the common people have lost their homes, they will be more tractable and easily governed through the influence of the strong arm of the government applied to a central power of imperial wealth under the control of the leading financiers. People without homes will not quarrel with their leaders.

History repeats itself in regular cycles. This truth is well known among our principal men who are engaged in forming an imperialism of the world. While they are doing this, the people must be kept in a state of political antagonism.

The question of tariff reform must be urged through the organization known as the Democratic Party, and the question of protection with the reciprocity must be forced to view through the Republican Party.

By thus dividing voters, we can get them to expand their energies in fighting over questions of no importance to us, except as teachers to the common herd. Thus, by discrete action, we can secure all that has been so generously planned and successfully accomplished."

THE BANKERS' MANIFESTO OF 1934

From New American, February, 1934.

"Capital must protect itself in every way, through combination and through legislation. Debts must be collected and loans and mortgages foreclosed as soon as possible. When through a process of law, the common people have lost their homes, they will be more tractable and more easily governed by the strong arm of the law applied by the central power of wealth, under control of leading financiers. People without homes will not quarrel with their leaders. This is well known among our principle men now engaged in forming an IMPERIALISM of capital to govern the world. By dividing the people we can get them to expend their energies in fighting over questions of no importance to us except as teachers of the common herd. Thus by discrete action we can secure for ourselves what has been generally planned and successfully accomplished."
Ben Stein-- starting to get it right By rmr on 6/24/2007 5:21 PM

June 24, 2007
Everybody's Business
Where Is Washington’s Love for Shareholders?

By BEN STEIN
SOMETHING terrible happened last week in terms of legal protections for stockholders. The terrible thing came out of the present administration, and I simply cannot understand how it could have gotten it so wrong, except on the basis of the machinations of one of our favorite subjects, Henry M. Paulson Jr., the Treasury secretary.

The loyal reader will recall that a few months ago, I wrote in this space about a stunning decision by the Fifth Circuit Court of Appeals involving Enron. In that decision, the judges reversed a federal district court and threw out a case against the investment banks that are accused of helping to make the Enron fraud possible.

The Fifth Circuit did not deny that the Enron fraud took place with the aid of many large investment banks. And the Fifth Circuit did not deny that Enron fraud was made possible by investment banks not just helping out when Enron asked for questionable accounting schemes, but also coming forward to help obscure the truth about Enron’s parlous situation and therefore badly misleading investors.

No, the Fifth Circuit said that under a case with totally different facts, called Central Bank of Denver vs. First Interstate Bank of Denver, there was no liability for parties who were not an integral part of the fraud, but “merely” (always a red-flag word in legal opinions) “aiding and abetting” and could not be liable under federal securities law in a class action.

To allow for certainty in fraud cases (in other words, the certainty that stockholders will be mistreated), the Fifth Circuit said that the class-action case against the investment banks could not even go to trial.

There was much screaming and gnashing of teeth over this opinion, especially from longtime proponents of stockholders’ rights, like Lynn E. Turner, former chief accountant of the Securities and Exchange Commission (and me).

This set up a conflict of circuits because other courts of appeal had held that there could be, as it is called, “scheme liability” when an investment bank or an accounting firm had been an integral part of a fraud scheme. The Supreme Court will generally hear such cases.

Now comes the part that is enough to make you cry if you, like me, had any hope that the law had something to do with justice or the Department of Justice.

Many writers and public figures came forward to ask Christopher Cox, the chairman of the S.E.C., to file an amicus brief asking the Supreme Court to hear the Enron case. Mr. Cox, while a great guy, has not always been the most attuned to shareholder issues. But Mr. Cox and his S.E.C. did the right thing and drew up an amicus brief on behalf of the shareholders asking the highest court to hear the case.

This was Saul on the road to Damascus and a great turning point — except that’s when Mr. Paulson weighed in. Mr. Paulson, who before becoming Treasury secretary was head of Goldman Sachs, a huge investment bank (in which I am a paltry stockholder), urged Paul D. Clement, a worthy gent who is the United States solicitor general at the Justice Department, not to file the S.E.C. amicus brief in the Enron case.

Why? Well, certainly not because such a move might result in a change that could cost investment banks a ton of money. No, it wasn’t that at all. It was because if the law started to go after investment banks for aiding and abetting and making possible immense securities frauds, that would hurt the competitiveness of United States financial markets.

That same old whining about how poor, poor Wall Street, where high-ranking officials can make only $50 million or $60 million a year and where hedge fund managers can make $1 billion-plus a year, might be hurt if stockholders were actually protected from sneak attacks by investment bankers.

Poor, poor Wall Street, where the Champagne flows like water and the players get billions for helping the rich get richer. We had better protect them instead of the widows and orphans who were wiped out by the fraud at Enron.

The next thing we knew, others in the White House weighed in, saying they did not want trial lawyers running amok looking for people to sue and upsetting businessmen.

And that was that. Mr. Clement decided not to file the brief in the Supreme Court. The shareholders of Enron and other similarly situated companies will have their cases heard, but without the justices partaking of a fine opinion from the S.E.C. siding with them. That’s the kind of juice Mr. Paulson has.

Now, Goldman Sachs is a defendant in an Enron stockholders’ case in which allegations of an illegal offering statement for Enron’s stock — underwritten by Goldman Sachs — have been made. It is not the same case as is under discussion in the “scheme liability” cases, but the basic issue — fraud connected with Enron — is the same.

As noted, Mr. Paulson until recently was head of Goldman Sachs. I think it is fair to assume that a clubbable guy like him still has many friends in investment banking.

So he apparently felt there was something wrong about standing up for stockholders of Enron hurt by investment banks’ possible manipulations of truth — but nothing wrong with his using his exalted post at Treasury to protect his Wall Street pals. Surely there is an ethical issue there somewhere. If not in the statutes, is there not the ethical issue of Mr. Paulson, one of the highest honchos in the land, lacking basic shame?

I KNOW that Mr. Bush does not read The Times. But I know a lot of people at the White House do. Please, some of you, reconsider this embarrassment. There is no justice in this refusal to aid the Enron shareholders. There is no political gain from slapping the little guy in the face. There is no money to be made: Wall Street is giving lavishly to Hillary Clinton and Barack Obama already.

The G.O.P. is supposed to be on the side of the small investors, not of those accused of being crooks — or so I used to think. Was I wrong all along? Is the Bush White House just the handmaiden of Wall Street? Please don’t let this be true. I am sure Mr. Paulson is a powerful figure. And I know the hour is late. But the time is always right to do right, and that time is now.

Please ask the solicitor general to reconsider filing the S.E.C.’s brief. The basic building block of capitalism is trust, and it is crumbling.

Ben Stein is a lawyer, writer, actor and economist. E-mail: ebiz@nytimes.com.


Copyright 2007 The New York Times Company
Privacy Policy
Re: It Was The Best Of Times..... By Sean on 6/25/2007 7:51 AM
Bobo, USXP'S Altmomare has officially taken off the gloves...

Universal Express Responds to SEC Request
Market Wire - June 25, 2007 7:30 AM ET


Related Quotes
Symbol Last Chg
USXP Trade 0.0004 0.00
Quotes delayed at least 15 minutes

Universal Express, Inc. (OTCBB: USXP) CEO Richard A. Altomare responded to the most recent SEC's revealing and inappropriate request for Receivership. "How can Receivership be requested for a company with a functioning chain of command, with ongoing acquisitions, with increasing valuation and with vibrant subsidiaries?" asked Mr. Altomare.

"Did Universal Express request Receivership to replace SEC management after we received a $700,000,000 judgment proving the existence of naked short selling and the awareness of the SEC's active participation in that illegal practice?" continued Mr. Altomare.

"Did Universal Express request Receivership when 6000 companies were damaged or failed due to the trading problems caused by naked short selling or when the SEC reversed its public statements on the existence of naked short selling or when the SEC issued a criminal counterfeiting grandfather clause and was recently forced to remove it?

"A 'before the appeal' grandstanding Receivership request reveals the SEC's fear of our jury trial appeal. Our entitled jury trial will determine not only if USXP did anything worthy of such attention, but if the SEC's naked short selling cover-up resulted in causing this case in the first place. That jury trial will also determine if the SEC owes the $700,000,000 judgment and has over-regulated, profited from, or damaged other public companies.

"Universal Express is much more than a court case with the SEC. Yet, with no jury trial, no criminal accusations, how does the opposing litigant in an existing legal matter attempt to seize and discredit a company with a proven $700,000,000 judgment against the process which has been permitted by the same litigant?

"Such a premature and legally unfounded press maneuver causes no concern, no capitulation and no docile acceptance of something that would take months to accomplish if there had been no jury trial planned.

"Naked short sellers first demean and bash a company's core business or CEO, then begins short selling the company's value and finally they try to destroy the stock value so that they will never have to pay for their criminal activity. In this case, the only additional ingredient added by the SEC is the avoidance of a jury trial. Apparently, the SEC has learned the pattern taught by professional naked short sellers. Fortunately, our justice department must permit a full jury trial appeal process.

"Throughout the centuries of human development, well-intended government employees, judges and even some journalists have blindly embraced unquestioned status quo practices until the collective intelligence of the common man finally understood that the status quo may have been incorrect.

"Segregation, women's rights, gay rights, fascism and even unpopular wars have taken intelligent and well-intended people decades to realize that the status quo may have been wrong. Naked short selling and today's SEC unchecked policies are part of that same critical thought process. When legal status quo is questioned, the individuals who question those practices must be persistent, resilient and believe the results are worth the battle.

"For 17 years, Universal Express' filings were approved by the SEC. Yet, days after suing the SEC for its naked short selling policy our entire capitalization was attacked by the opposing litigant in our trial. The only defense the SEC feels it has to present is one of immunity from prosecution. Our requested jury trial will question immunity, naked short selling, abuse of power and monies owed to failed public companies. Therefore, it is no surprise that the SEC wants to also run our company during that trial.

"This trial will examine, through full disclosure, the magnitude of the incompetence, abuse of power or criminal activities. The stakes of this case are much more complex than 'paid or friendly' reporters would want the collective intelligent reader to be told.

"I am sure that Rosa Parks, Susan B. Anthony and others, who questioned previously accepted 'legal' practices, were vilified, criticized and even demonized prior to the truth finally surfacing. When the cause is just, the enemy must be engaged. Naked short selling and the unchecked abuse of power of a governmental agency are such valuable causes worthy of the battle. We will help the truth to surface.

"Universal Express intends to vigorously defend the rights of its officers, employees, shareholders and all worldwide investors. We have requested a jury trial for full disclosure and let us not forget that all components of this company continue functioning and prospering.

"After all the facts are heard, Universal Express will have aided in improving our future trading system, create a healthier relationship between the regulatory agency and its member companies, as well as, receiving the funds its shareholders have earned during this ten year process of aiding in the surfacing of the truth," concluded Richard A. Altomare, CEO.

About Universal Express

Universal Express, Inc. is a 23-year-old logistics and transportation conglomerate with multiple developing subsidiaries and services. For additional information please visit www.usxp.com

Safe Harbor Statement under the Private securities Litigation Reform Act of 1995: The statements contained herein, which are not historical, are forward-looking statements that are subject to risks and uncertainties that could cause actual results to differ materially from those expressed in the forward-looking statements including, but not limited to, certain delays beyond the Company's control with respect to market acceptance of new technologies, products and services, delays in testing and evaluation of products and services, and other risks detailed from time to time in the Company's filings with the Securities and Exchange Commission.

Contact:
Chris Gunderson
Universal Express, Inc.
917-639-4157
Email Contact


Re: It Was The Best Of Times..... By Hans on 6/25/2007 2:10 PM
Author Message
Patrick Byrne
Report

Joined: 24 Sep 2004
Posts: 57

Posted: Sun Jun 24, 2007 12:38 pm Post subject: Mitzvahs and A News Story You Must Read at MN1.com

--------------------------------------------------------------------------------

Short version: visit these two links.

http://feeds.mn1.com/brookstreet_flabbergasted_after_liquidation_news.htm
http://75.126.3.206/mp3/John_gittle_062207.mp3

Long version:

Dear readers.

I know from your emails that many of you are following my Mitzvah*. To bring new readers up to speed: I believe there is a crack in our financial system ("naked short selling") that has been manipulated by powerful financial elites in order to drain countless billions out of the savings of Americans; that the regulators charged with protecting Main Street from Wall Street have been captured by the interests they were supposed to be policing; and that the mainstream financial press are such lapdogs of the financial industry that they have not only failed to cover this scandal, some journalists have actually taken part in the cover-up. As a result, I think this country is at serious risk of seeing its financial system implode. As this situation becomes apparent to the public, either through the few honest investigative journalists (e.g., Bloomberg, Forbes.com) who are figuring it out, or through a financial collapse, then it will be the Yorktown of the 2.0 Revolution. (To learn more background, click here: http://www.overstock.com/cgi-bin/d2.cgi?SEC_IID=25194&PAGE=staticpopupfull&sta_id=11150&TRACK=FOOT_OI_L9 )

Events of potentially seismic significance occured this week. The chain of events has three links:

1) Bear Stearns, one of the so-called "Bulge Bracket" Wall Street banks (which, I have alleged in a lawsuit, stands at the center of this activity), has two hedge funds with deep exposure in a type of investment called a "CMO". The details of CMO's can be learned elsewhere, but the main event is, they are investments that track the nation's housing industry. That industry is in a horrific downturn, and the CMO's are losing their value. Thus, Bear Stearns' hedge funds gushed losses to the point that other Wall Street firms with which they do business began pulling their credit and threatening to dump their collateral (personally, I suspect that most of Wall Street has exposure to the same problem, so this threat was like a bunch of bullies standing in a garage in an inch of gasoline threatening to throw lighted matches at each other). Technically Bear Stearns could walk away from its own hedge fund and let it collapse, but that would ruin them in the industry. So they have promised to inject $3.2 billion of their own money, or about 1/3 of the net worth of the mighty Bear Stearns, to keep their own hedge fund afloat and stop a run on the bank. Incidentally, that was all to save the smaller of their two disressed hedge funds.

2) This situation created a bit of a death spiral in CMO's (if someone who owns millions of bushels of corn looks like he is about to go under, then others know that those bushels of corn may soon be liquidated on the market, and hence, the current value of a bushel of corn will drop as well). Another broker-dealer named Brookstreet was heavily invested in CMO's. As their value declined, Brookstreet's net worth declined below $0, and they collapsed on Friday. In other words, Bear Stearns sneezed and Brookstreet caught pneumonia.

3) The collapse of Brookstreet is nothing to celebrate: 650 folks lose their jobs, for example. But Brookstreet is widely believed to be implicated in the issue that is at the heart of my Mitzvah (that is, widespread naked short selling). If this is true, it sets in motion a chain reaction: the firm through which Brookstreet "cleared" (that is, "did their buying and selling") becomes liable for the financial toxic waste Brookstreet leaves behind. That firm is Fidelity, which would either have to cover those losses (it is big enough to do so), or else, take over the cover-up of those losses. If it does the former, however, the very act of covering the losses will create losses for others (through a dynamic called a "short squeeze"), and the effects could ricochet around the system.

Of course, this is all conjecture, as no one on the outside knows the degree to which Brookstreet is, in fact, implicated in naked shorting. Even if they are, the chain reaction I describe could be slowed or halted by the regulators (and the SEC staff would probbly do so, as they are in-the-pocket of the people who would want them to stop this chain reaction). However, in my view, the SEC leadership (in particular, Chairman Cox and Commissioner Atkins) are smart guys who lately have shown spine in standing up for Main Street, even at the expense of Wall Street.

Lastly (and going back to my theme that the bloggers and non-mainstream media have connnected the dots better than the mainstream media), there is an online news site called "mn1.com" (it is a kind of online CNBC). They connected the dots first.

http://feeds.mn1.com/brookstreet_flabbergasted_after_liquidation_news.htm
http://75.126.3.206/mp3/John_gittle_062207.mp3

A friend of mine likes to say, "No one knows who has been swimming naked until the tide goes out." The tide has started its run.

Patrick

* "Mitzvah" is a Hebrew word meaning (as I was taught, anyway) "obligatory good deed". For example, the "Ten Commandments" of the Old Testament are actually the ten Mitzvahs in the original (the word shows up in "Bar Mitzvah" and "Bat Mitzvah" as well). While at times my battle against Wall Street has been termed a "Jihad" (though I honestly do not remember who used that first, myself or my opponents), and later I called it a "Crusade," more recently I have settled on "Mitzvah" as the best term, as my actions sprring less from any fervor, passion, or desire than they do from a sense of obligation. Normal humans, when they see ordinary people getting kicked by powerful bullies, feel an obligation to intervene. Doing so seems to be the Mitzvah that has been thrust upon me of late.

Re: It Was The Best Of Times..... By oldfeller on 6/27/2007 9:22 PM



Patrick, I`ll see your mitzvah and raise you. Your reference to "ordinary people" and "powerful bullies" is not what I see. You helped enlighten us, and we see clearly what is happening. If you think we are ordinary or they are powerful just wait and watch. The "ordinary people" in this country you speak of include a heck of a lot of honest lawmakers and law enforcers. "Powerful" is not how I would describe the roaches that are currently running from the light being shined on them.
Re: It Was The Best Of Times..... By BestofTimes on 6/28/2007 2:02 PM
SEC opens probes into subprime loans

By Rex Nutting & Greg Morcroft, MarketWatch
Last Update: 6:45 PM ET Jun 26, 2007


WASHINGTON (MarketWatch) -- The Securities and Exchange Commission is actively looking into possible securities fraud in the packaging and sales of securitized subprime mortgages, Chairman Christopher Cox told lawmakers Tuesday.
Cox said the SEC had opened 12 investigations into "issues" similar to the meltdown of two Bear Stearns Cos. Inc. (BSC : BSC
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Cox said the SEC's enforcement division has formed a working group and is "actively on the lookout for possible securities fraud."
Last week, Cox revealed in an interview that the SEC was looking into the problems at the two Bear hedge funds. Bear said last week that it would provide up to $3.2 billion in financing for one of the funds after the investment bank discovered that the underlying value of the assets was much less than it had believed.
There is little "systemic risk" to the financial system from the two Bear funds, Cox said.
Collateralized debt obligations are extremely illiquid and have no true market price. The sellers value the securities based on models that use ratings from the credit agencies to judge the risk that they will go sour. Buyers have little idea what the underlying assets are, or what they should be valued at.
In a wide-ranging oversight hearing before the House Financial Services Committee, Cox and the other four SEC commissioners defended the agency on a host of issues ranging from reform of the Sarbanes-Oxley corporate governance law to the approval of a public offering by Blackstone Group LLP (BX : BX
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Despite strong criticism from several Republicans on the committee that Sarbanes-Oxley is a hindrance to U.S. capital formation, all five commissioners said they didn't believe Congress should amend the law. The SEC is wrapping up a rule that would exempt most small businesses from the most cumbersome requirements of the law.
Cox said the SEC staff had examined and rejected arguments that Blackstone was an investment company under the law and should be regulated as a mutual fund. Blackstone shares dipped below the initial offering price on Tuesday. See full story.
In remarks prepared ahead of the hearing, the commission defended its policing of corporate America under Cox's watch, saying it has fined nine companies in the first half of 2007, approaching its record high of 11 in a full year.
Since the five-member commission unanimously agreed last year on policies for fining companies, the agency has levied eight fines of $25 million or more, including a $400 million fine on Fannie Mae, the SEC also noted in testimony prepared for delivery to the House Financial Services Committee.
"No other two-year period in commission history is higher," according to the prepared remarks.
The House panel called all five SEC commissioners to appear at an oversight hearing Tuesday, an unusual move.
The commission provided a single written statement to the House committee on Tuesday that highlighted the agency's enforcement efforts and rulemaking projects, and stressed consensus.
During Cox's tenure, 98% of SEC decisions have been unanimous, a spirit the SEC said "we intend to continue" in tackling future challenges.

Rex Nutting is Washington bureau chief of MarketWatch.
Greg Morcroft is MarketWatch's financial editor in New York.
Re: It Was The Best Of Times..... By Catmandue on 6/29/2007 10:08 AM
Cramer at it again.



Three Subprime Titanics Are a Side Show

By Jim Cramer

About this article:
American Home put up a good fight, until today. NovaStar Financial, amazingly, fights every day. How is Fremont still trading? What is it, after all that has been sold? Rather than focus on all the possible hedge fund blowups out there -- because there still will be some -- the media should be camped out at these three institutions. In fact, I don't understand why someone doesn't want to earn a Pulitzer Prize by prying into NovaStar. These are the troika of publicly traded companies that should make every bull shudder. As long as they are out there telling you everything is under control, as American Home did for months -- you know that the short side's got some real ammo. I have never believed that subprime can wipe out or even damage much the investment banks that we all know and now hate. That's because those investment banks'...
http://secure2.thestreet.com/cap/login/rm_mbp_yho_b-rep-ads_ver3.jsp?flowid=c0faefe8b&url=http%3A%2F%2Fwww.thestreet.com%2Fp%2F_yahoo%2Frmoney%2Fjimcramerblog%2F10365655.html%26cm_ven%3DYAHOO%26cm_cat%3DPREMIUM%26cm_ite%3D003190
Re: It Was The Best Of Times..... By bobo on 7/2/2007 3:19 PM
So Cramer continues to bash NFI, which tells me that his short buddies are still counting on a zero cost exit. Not a surprise.

What also isn't a surprise is that the SEC shows literally no interest in the massive stock manipulations going on daily, but man, one of Wall Street's big names gets bruised in its bad bets in CMOs, and they form an emergency session.

That's par for the course. Anyone that has a dime in the markets at this stage is a frigging idiot. You have all the info you need.
Re: It Was The Best Of Times..... By Kallister on 6/14/2007 9:00 AM
Thank you for articulating the obvious in such a straight forward article.
You said it very well.
You tell a plain and simple truth, a question often asked to politicians and never answered.
Re: It Was The Best Of Times..... By Mississipibluffs on 6/14/2007 9:23 AM
"The law, in its majestic equality, forbids the rich as well as the poor to sleep under bridges, to beg in the streets, and to steal bread." (Anatole France)

Anatole France (April 16, 1844 – October 12, 1924) was the pen name of French author Jacques Anatole François Thibault. (Wikipedia)
Re: It Was The Best Of Times..... By Chris Joseph Stalin Cox on 6/14/2007 10:26 AM
"Mankind is divided into rich and poor, into property owners and exploited; and to abstract oneself from this fundamental division ;and from the antagonism between poor and rich means abstracting oneself from fundamental facts."
Joseph Stalin

"Ditto... Hahahaha investors"
Chris Cox June 13th, 2007

Re: It Was The Best Of Times..... By davidn on 6/14/2007 3:55 PM
Whether these changes do what they were supposed to or not, I am convinced that they would not have been implemented without the relentless efforts of the activists on this site.

Change comes slowly, with little feedback or reward, kind of like snowflakes piling on a mountainside, but don't be surprised when change finally comes in an avalanche. It only takes that one last snowflake.

Glaring loopholes that need to be closed: relending lent shares in a daisy chain, foreign fails, repurchase agreements, options mm exceptions, lack of enforcement / weak penalties, desking, long chains of netting and beneficial ownership, etc.

I'd like to get to a point where shareholders are rewarded for owning an IOU instead of a share. If there is an asterisk next to my ownership on my brokerage statement, I should get some sort of montly compensation for lending my asset out.

That is only going to come with maximum transparency where shareholders and IOUholders are clearly identified.

We can't let our foot off the gas because as slow as it is coming, we are making progress.

There are more regular investors than back office thieves and we have all the power, if only the average investor would wake up to the fraud.
Re: It Was The Best Of Times..... By zimms on 6/14/2007 5:24 PM
"....if only the average investor would wake up to the fraud."

Does anyone have any ideas, as wild as they may be... on how to do that? That seems to be the $64,000 question, and the key to the whole deal.

Re: It Was The Best Of Times..... By rtway on 6/14/2007 7:05 PM
Thanks for the comment. I'm sure we were all aware that this would play out this way. We weren't sure what color paint they would use or what size brush would be used to change the appearance. In your estimation Bobo did Cox by admitting to these bullshit remedies incriminate the SEC or himself or is this question better left unanswered. It just seems that an astute attorney or attorneys could make a class action suit against the SEC and certain individuals who might be willing to co-operate.