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Author: H. David Kotz
Publisher: DIANE Publishing
ISBN: 1437921760
Category : Business & Economics
Languages : en
Pages : 55
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Book Description
Final report on an audit conducted by the SEC detailing the results of the audit on the Div. of Enforcement¿s (DE) policies, procedures, and practices for processing complaints about ¿naked short selling.¿ Naked short selling (i.e., intentionally failing to borrow and deliver shares sold short in order to drive down the stock price) violates the fed. securities laws. Numerous complaints, particularly since Dec. 2007, alleged that the DE failed to take sufficient action regarding naked short selling, causing investors and companies to lose billions of dollars. This audit examined DE¿s general complaint receipt and processing procedures as they applied to the receipt and referral of naked short selling complaints. Includes recommendations.
Author: H. David Kotz
Publisher: DIANE Publishing
ISBN: 1437921760
Category : Business & Economics
Languages : en
Pages : 55
Get Book Here
Book Description
Final report on an audit conducted by the SEC detailing the results of the audit on the Div. of Enforcement¿s (DE) policies, procedures, and practices for processing complaints about ¿naked short selling.¿ Naked short selling (i.e., intentionally failing to borrow and deliver shares sold short in order to drive down the stock price) violates the fed. securities laws. Numerous complaints, particularly since Dec. 2007, alleged that the DE failed to take sufficient action regarding naked short selling, causing investors and companies to lose billions of dollars. This audit examined DE¿s general complaint receipt and processing procedures as they applied to the receipt and referral of naked short selling complaints. Includes recommendations.
Author: CreateSpace Independent Publishing Platform
Publisher: Createspace Independent Publishing Platform
ISBN: 9781722615864
Category :
Languages : en
Pages : 56
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Book Description
Practices related to naked short selling complaints and referrals .
Author: United States. Congress. Senate. Committee on Homeland Security and Governmental Affairs. Subcommittee on Federal Financial Management, Government Information, Federal Services, and International Security
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 104
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Book Description
Author:
Publisher:
ISBN:
Category :
Languages : en
Pages : 88
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Book Description
Author: United States. Congress. House. Committee on Financial Services. Subcommittee on Oversight and Investigations
Publisher:
ISBN:
Category : Biography & Autobiography
Languages : en
Pages : 108
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Book Description
Author: Kathleen C. Engel
Publisher: Oxford University Press
ISBN: 0199398283
Category : Business & Economics
Languages : en
Pages : 368
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Book Description
In this lively new book, Kathleen C. Engel and Patricia A. McCoy tell the full story behind the subprime crisis. The authors, experts in the law and economics of financial regulation and consumer lending, offer a sharply reasoned, but accessible account of the actions that produced the greatest economic collapse since the Great Depression.
Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 76
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Book Description
Author: Kevin D. Freeman
Publisher: Simon and Schuster
ISBN: 1596983116
Category : Political Science
Languages : en
Pages : 304
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Book Description
A New York Times bestseller! Who’s really to blame for America’s catastrophic financial meltdown and devastating national recession? Contrary to what the “Occupy Movement” might tell you, it’s not just greedy Wall Street executives (though they certainly earned their share of scorn). It’s not just failed regulation (even though Washington has failed miserably, both Republicans and Democrats, to protect us). As one of America’s top financial professionals reveals in this shocking new book, the failures of Wall Street and Washington have opened us up to economic warfare, with our foreign enemies exploiting our lurking financial weaknesses. In Secret Weapon, Kevin D. Freeman unveils how all the evidence—including motive, means, and opportunity—points to America’s foreign enemies as deliberately pushing our economy over the brink.
Author: Susanne Trimbath
Publisher: Spiramus Press Ltd
ISBN: 1910151831
Category : Business & Economics
Languages : en
Pages : 373
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Book Description
Rigged financial markets and hopeless under-regulation on Wall Street are not new problems. In this book, Susanne Trimbath gives a sobering account of naked short selling, the failure to settle, and her efforts over decades, trying to get this fixed. Twenty-five years ago, Trimbath was working “backstage at Wall Street” when a group of corporate trust specialists told her about a problem in shareholder voting rights. When she went to senior management at Depository Trust Company (DTC), then and still the largest securities depository in the world, they brushed it off saying, “You can’t balance the world.” Ten years later, a lawyer from Texas would tell her that the same problem was about to blow up the financial markets: Wall Street brokers are using short sales and fails to deliver to grab the assets of American entrepreneurs. This is a cautionary tale. What started as a regulatory failure turned into a regulatory crisis. Shareholder democracy is in shambles. The institutions that were established to correct a problem of trade settlement failures have instead exacerbated the problem. Global financial markets may not survive what comes next.
Author:
Publisher: Academic Press
ISBN: 0123877253
Category : Business & Economics
Languages : en
Pages : 625
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Book Description
This comprehensive examination of short selling, which is a bet on stocks declining in value, explores the ways that this strategy drives financial markets. Its focus on short selling by region, its consideration of the history and regulations of short selling, and its mixture of industry and academic perspectives clarify the uses of short selling and dispel notions of its destructive implications. With contributions from around the world, this volume sheds new light on the ways short selling uncovers market forces and can yield profitable trades. - Combines academic and professional research on short selling in all major financial markets - Emphasizes details about strategies, implementations, regulation, and tax advantages - Chapters provide summaries for readers who want up-to-date maps of subject landscapes
