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Dec 2, 2009, 6:02am



- SEC Regulation 17A(a)(1)(A) -
“The prompt and accurate clearance and settlement of securities transactions, including the transfer of record ownership and the safeguarding of securities and funds related thereto, are necessary for the protection of investors and persons facilitating transactions by and acting on behalf of investors.”



CMKX United Shareholders Board :: Market Reform :: Dave's Patch (1 Viewing)
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  SubjectStarted byRepliesViewsLast Post
  About Dave's Patchkranker0146May 27, 2006, 3:08pm
by kranker
  GAO Tells SEC to Finish the Job jannikki0228Sept 19, 2007, 11:39pm
by jannikki
  Canadians Regulators Resurrect Solutions to Settlejannikki056Sept 19, 2007, 11:38pm
by jannikki
  Settlement Failures Abound in Bear Market jannikki057Aug 23, 2007, 12:11am
by jannikki
  Is SEC a Breeding Ground for Future Fraud? jannikki057Aug 17, 2007, 10:16pm
by jannikki
  Not to be Rude But...jannikki051Aug 15, 2007, 9:33pm
by jannikki
  Pequot Capital's Washing Machine jannikki071Aug 7, 2007, 6:38pm
by jannikki
  Open Hunting Season; Bear Raids jannikki060Jul 31, 2007, 6:59pm
by jannikki
  Prime Broker's Defense; The SEC Made Us Do It jannikki054Jul 25, 2007, 4:59pm
by jannikki
  Overstock Ruling Favors Public Companies Across thjannikki061Jul 19, 2007, 9:46pm
by jannikki
  NYSE Trivializes More Naked Shorts With Another 'Ejannikki063Jul 16, 2007, 7:57pm
by jannikki
  A Plea Bargain to Rattle Wall Street jannikki056Jul 11, 2007, 10:41pm
by jannikki
  A 6.8% Problem With SHO jannikki069Jul 5, 2007, 6:40pm
by jannikki
  SEC Violates Own Policies Regarding Accuracy in Pujannikki065Jun 26, 2007, 1:16am
by jannikki
  Chairman Cox, A Lesson in Securities Law jannikki066Jun 15, 2007, 12:02am
by jannikki
  SEC Throws Investors under the Bus jannikki062Jun 13, 2007, 11:16pm
by jannikki
  It's a Hedge Hedge Hedge Hedge World jannikki058Jun 5, 2007, 11:14pm
by jannikki
  Overstock Court Success Rattles Group of Financialjannikki067Jun 1, 2007, 6:00am
by jannikki
  SEC's OEA Study Short Changes Public jannikki076Apr 26, 2007, 5:39pm
by jannikki
  Latest Scam; Reverse PIPE's jannikki070Apr 20, 2007, 11:39pm
by jannikki
  SEC Hedges on Accredited Investor Limits jannikki074Apr 16, 2007, 10:06pm
by jannikki
  Chairman Cox Please Say it Ain't So, More SEC covejannikki082Apr 12, 2007, 5:12pm
by jannikki
  STOCKGATE TODAY: Remedies Act Revisited jannikki071Apr 6, 2007, 8:22pm
by jannikki
  A Lesson in Transparency jannikki064Mar 30, 2007, 10:59pm
by jannikki
  STOCKGATE TODAY: Short Sale Corrections Postponed jannikki062Mar 28, 2007, 8:38pm
by jannikki
  STOCKGATE TODAY: How Much Fraud....jannikki050Mar 26, 2007, 9:33pm
by jannikki
  Cramer Chronicles Manipulation and Boyd Reports itjannikki076Mar 22, 2007, 6:19pm
by jannikki
  SEC's Cox "SHO has proven insufficient to stop thejannikki075Mar 15, 2007, 5:44pm
by jannikki
  STOCKGATE TODAY: Goldman Fined for Short Sale Frajannikki062Mar 14, 2007, 7:32pm
by jannikki
  When there are too many Bears in the Forest can thjannikki061Mar 13, 2007, 7:32pm
by jannikki
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