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securitiesdocket.com - 3/11/2009

Transcript: March 11, 2009 Prepared Testimony of SEC Chairman Mary Schapiro Before House ...

— securitiesdocket.com — Normal 0 false false false MicrosoftInternetExplorer4 <! st1\:*{behavior:url(#ieooui) } --> <! /* Style Definitions */ table.MsoNormalTable {mso-style-name:"Table... Normal"; mso-tstyle-rowband-size:0; mso-tstyle-colband-size:0; mso-style-noshow:yes; ... (more) Transcript: March 11, 2009 Prepared Testimony of SEC ...

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sec.gov - 3/2/2009

SEC Warns Investors and Financial Firms of Government Impersonators

— sec.gov — The Securities and Exchange Commission today is warning investors and financial services firms about con-artists who may... use the names of actual SEC employees to mislead potential victims. The agency also is providing information to help potential ... (more) SEC Warns Investors and Financial Firms of Government ...

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sec.gov - 3/9/2009

Press Release: SEC Charges Investment Adviser For Inventing a Billion-Dollar Client to Lure New ...

— sec.gov — FOR IMMEDIATE RELEASE 2009-51 Washington, D.C., March 9, 2009— The Securities and Exchange Commission today charged a... money manager with offices in New York and Rhode Island for falsely creating a billion-dollar client in order to gain credibility and ... (more) Press Release: SEC Charges Investment Adviser For ...

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NYSE Chief Renews Call for Uptick Rule
Exchanges — ... . Today, Traders magazine is out with another news nugget from the same remarks, with Duncan again calling for the "uptick rule" to be reinstated. ...

'Stakes Can't Be Higher:' Wall St. Looks to Washington to Determine Market's Fate
Yahoo! Finance: Tech Ticker — ... as well as the broader issue of trying to trade when the government is changing rules midstream. "It's a big game of chicken and the stakes can't be higher," Harrison says, suggesting it's unwise to fight against the coordinated efforts of policymakers worldwide. The uptick rule was adopted in the aftermath of the 1929 crash and prohibited the shorting of a stock unless it was rising, i.e. on an "uptick." The rule was suspended in July 2007 by the SEC, and, if nothing else, has had a huge psychological impact as it presumably gives shorts the ability to bet against stocks ...

Nasdaq Decoder Ring, Episode 3
Exchanges — ... (the uptick rule) certainly can provide some psychological benefit for the market. -- Reuters 12 March (sorry, no link available) Gosh, that sounds familiar. Where have I heard that before? Oh wait it was here: Duncan Niederauer, CEO of NYSE Euronext, would like to see the Securities and Exchange Commission reinstate the uptick rule for short sales, even if it's mainly for the sake of bucking up "investor psychology." -- Traders magazine on 5 March, quoting Duncan speaking on 3 March ...