NYSE Regulation

  • Oct
  • 22
  • 2009
  • 7:10 PM

Insider Trading: Still Crazy After All These Years

By: Ray Pellecchia
File Under: NYSE Regulation

"[A]ny time you try a decent crime, you got fifty ways you're gonna [expletive] up. If you think of twenty-five of them, then you're a genius... and you ain't no genius."
-- Teddy Lewis, the ex-con played by Mickey Rourke in "Body Heat"

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  • Sep
  • 23
  • 2009
  • 9:34 AM

If SEC Is Going to Restrict Short Selling, Best Option Is an Always-On Bid Test

By: Ray Pellecchia
File Under: NYSE, NYSE Amex, NYSE Arca, NYSE Euronext, NYSE Regulation

"...[W]e believe it represents the best balance between restrictions and operability, and would therefore promote public confidence without unduly inhibiting legitimate short-selling."

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  • Jul
  • 30
  • 2009
  • 4:04 PM

How an Alleged Market Fraud Was Stopped -- Fast -- In Its Tracks

By: Ray Pellecchia
File Under: NYSE Regulation

A "good old rumor manipulation" is interrupted by system alerts, a phone tip, and fast and furious detective work and cooperation to halt the alleged scheme before the trades settled and ill-gotten profits could disappear.

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  • Jan
  • 26
  • 2009
  • 3:55 PM

Insider Trading: The Next Generation

By: Ray Pellecchia
File Under: NYSE Regulation

Wrongdoing seems to know no generational boundaries, it has a very short memory, and it never seems to learn from past mistakes. We are reminded of all this by a couple of articles in the last week.

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