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The International Association of Small Broker Dealers and Advisors
File no.4-605-Petition Request for rulemaking to exempt securities offerings up to $100,000 with $100 maximum per investor from registration
DF Title IV - Accredited Investor Standard:
File Number 4-606 study Regarding Brokers, Dealers and Investment Advisers
Limiting the Paul Anka Finder's Exemption.
Shining a light on the naked short seller - Washington Times
Real Time Marking and Reporting of Short Sales
short selling and the plunge= unlimited fear
Plexus quoted on recent hard close case.
Short Selling Disclosure-The SEC now emphasizes it.
IDD Story Plexus Quoted.
SEC Let Politics Spur Short-Sale Decision, Sirri Says (Update1)
The value of such "liquidity" has been vastly oversold
Lehman and Sarbox.
Pre emptive vs reactive regulation
CFAW ANNUAL DINNER Dinner with Bob Pozen, Author of "Too Big To Save?"
SEC ADOPTS ALTERNATIVE TICK RULE 3-2
The useless U-5
Regulatory Notice 09-69-Payments to Unregistered Persons
FINRA Regulatory Notice 10-03 Proposed Rule 4330(a)
Gadinis: The SEC and the Financial Industry: Evidence from Enforcement against Broker-Dealers
Jun 2007
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6/28/07 - NTM 07-30-SUPERVISION OF ELECTRONIC COMMUNICATIONS DRAFT
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