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SEC to Rule on Grandfathering, Options Market Makers "Privileges" and More, June 13

Location: Blogs Bud Burrell - Front and Center    
Posted by:   bburrell 6/8/2007 10:26 AM

The conventional wisdom of the proponents of the "rightness" of naked shorting and failures to deliver will hear what is next.

If the SIFMA letter to the SEC Reg SHO site in comment is any indication, I can only hope the SEC will reverse its position on this matter, and not put grandfathering privileges into an entire separate and new "Rule Making Procedure".   This would involve an entirely new comment period of most probably years, followed by more of the same that we have seen with Reg SH--. 

On July 24, 2007, Reg SHO will have been in process for 8 (EIGHT) years.  In the last year, in the face of literally uncountable broken promises by the SEC to Fix this piece of garbage, illegal shorting has exploded, along with related Fails to Deliver.

At what point is this going to be addressed?  Japan had a similar problem in the 1980's from real estate and securities margin manipulation literally crashing not only their securities markets, but also their banking system, which even today cannot clean up its mess without risk of imploding their Central Bank, the Federal Reserve of Japan.  Forbes did a great series of articles on this Japanese scandal, literally mythical.

There is one undeniable fact here that NO ONE will face, which is all confidence in the system could simply be restored by the DTCC, Clearing Firms, and Banks opening their books to the public, if not across the Board, then on the Companies where there are multiple reasons to suspect abuse.  Their refusal to do this makes any allegations of Corruption on a grand scale under our concept of law, in that their silence in the face of the stream of manipulations allegations becomes Consent to the statement of fact.

A moron could figure out something is haywire here, as this is most certainly not Quantum Physics except on a mathematical level.  I have shot every weapon in my arsenal with absolutely no result.  At this point, I don't believe that one person acting alone, even if right, can make a difference.  Only a mob can affect an outcome here, and it must act by the same rules as the unlicensed policemen used by the SEC to handle problems it could not control.  The SEC invented that term, and it could come back to haunt them, as the alternative definition of their term "unlicensed policemen" is much scarier:  VIGILANTE IS THAT WORD.

Some one must ensure that at least 10% (25% would be better) of the senior officials of the SEC have some practical business exposure, and should not be lawyers.  They would deny this need, just as the Mandarins did in China, at least until Mao started sanitizing that society. 

In the past, I have not hesitated to back up my assertions with analytical analysis based on personal experience and knowledge gleaned from years of serious work.  I am not sure that this has made any difference.  The SEC still does its studies without maintaining "Control Groups", all the better to massage the results to their desired outcomes.

I am going to experiment with a series of very brief pieces.  No one has ever challenged my offer to debate them in any public forum, nor have I ever been contacted by anyone except for a couple of gutless threats of violence or death to me from parties who wouldn't put their money or bodies where their mouths were. 

Keep an eye out.  If the meeting on the 13th is the cluster bomb I expect, you will see my first newly designed piece.

Copyright ©2007 Bud Burrell
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Comments (10)
Re: SEC to Rule on Grandfathering, Options Market Makers "Privileges" and More, June 13 By captdale on 6/9/2007 9:41 AM
Bud - Thank you, thank you , thank you. How can I help ?
Re: SEC to Rule on Grandfathering, Options Market Makers "Privileges" and More, June 13 By InvestigateTheSEC on 6/9/2007 9:42 AM
Hi Bud,
Thanks for your tireless efforts. You are correct in saying the we must attack this as a "mob" (Vigilante is a strong term). My correspondences are replied to with form letters. No one here in NY is addressing this.

It is my belief that we will only get resolution through the courts. Discovery in the civil suits against Prime Brokers by OSTK and NFI, will yield results. Also the suit against Gradient and Rocker will expose some of the dirty laundry.

What do you think Bud? What can we do better as a "mob"? 8 years is way too long, and like you, am feeling defeated. What will happen in the coming month?
Re: SEC to Rule on Grandfathering, Options Market Makers "Privileges" and More, June 13 By rtway on 6/10/2007 8:58 AM
Am I the only one that remembers one woman as goofy as I thought she was ( JMO) got more media attention than Paris Hilton. She put Crawford Texas on the map. She did not do this with the PC attitude that many here display. I don't think that Gradient and Herb and Jimmy give a rats ass about PC. Who ever gets to the media wins the marbles. Getting to the media requires unconventional methods and sacrifice. It's our future and our kids future, I'm tired of being used like a pawn with false promises and less security than someone who isn't even a citizen. If it weren't some people on a plane that gave a shit there might not even be a White House. And they died.
Re: SEC to Rule on Grandfathering, Options Market Makers "Privileges" and More, June 13 By Olynn1205 on 6/10/2007 12:52 PM
Hello Bud,

Are you saying that you think the SEC is leaning away from reversing the Grandfather clause?

Just wondering if that is your guess.

Thanks and be blessed

Reply: The SEC is under enormous lobbying pressure from Options Market Makers and more to not touch the Grandfathering issue, except after a drawn out rule making process. I don't think they have ever been serious about correcting this problem, but have made meaningless noise to respond to all the complaints.

No matter what they do, it will be a day late and trillions of dollars short, to make a pun from a paraphrased piece of conventional philosophy.
Re: SEC to Rule on Grandfathering, Options Market Makers "Privileges" and More, June 13 By captdale on 6/10/2007 12:58 PM
I believe that nothing short of a systemic meltdown will cause the slightest meaningful change. A LOT of people have to be hit very hard in the pocketbook to make any change at all. There is obviously a lot of deals being made as the issue has gotten just too much exposure and the hedge funds are crowding each other for the spoils. Change is in the works but I truly believe it will not be meaningful and the bad boys have to get positioned to take advantage of it before anything will happen. June 13th is pivetal. We will see what we will see. I'm not holding my breath. Bud - do you know if this will be telecast ? I sure would like to hear it first hand.

Reply: I don't know if it will by web or simulcast. We should hear about that Mon or Tues. I am not so sure change is close. On July 24, Reg SHO will have been 8 years in process.

The OCC and others are spending millions on lobbying to block any action on elimination of grandfathering.

We will know more Wed, but based on the history over the past 16 years, there can be no foundation for optimism.
Re: SEC to Rule on Grandfathering, Options Market Makers "Privileges" and More, June 13 By captdale on 6/10/2007 9:23 PM
In reference to the upcoming SEC meeting, this is an interesting piece of legislation.

Section 2 of Pub. L. 94–409 provided that: “It is hereby declared to be the policy of the United States that the public is entitled to the fullest practicable information regarding the decisionmaking processes of the Federal Government. It is the purpose of this Act [see Short Title note set out above] to provide the public with such information while protecting the rights of individuals and the ability of the Government to carry out its responsibilities.”

So - basically a FOIA act concerning the decision making processes. So they are going to have a couple of "open sessions" then a "closed" session to try and get their ducks in a row. Anybody on our side going to attend the open sessions ?
Re: SEC to Rule on Grandfathering, Options Market Makers "Privileges" and More, June 13 By Bfranklin73 on 6/11/2007 7:30 AM
I plan to contact the congressmen on the financail committee ( Spector, Grassley, etc) to state that this is the tiime for the SEC to step up to the plate and correct the aggregious wrong they have perpetrated on the investing public. Should the 'grandfather' clause on FTD's not be repealed and in a timely manner then they have failed miserably in their job. The main purpose at their inception was to instill investor confidence in the marketplace. The continuation of this illegal act would prove their inclusion in the 'confidence game' known as Wall Street. Where the rich and powerful live by the laws of their choosing and everyone else are fodder for their monetary enrichment. I would even consider selling all my stocks in my 401k and investing in more secure assets. Is the SEC owned by special interests or will they do the right thing? The wednesday meeting has been too long in coming! RTB
Re: SEC to Rule on Grandfathering, Options Market Makers "Privileges" and More, June 13 By captdale on 6/12/2007 10:39 AM
I called the SEC and asked if the June 13 open meeting would be webcast and was told yes it would and the "tab" to link up would be available sometime from five minutes prior to when it is scheduled to begin up to the time scheduled for it to begin. Go to sec.gov. Note bottom right corner the box in red. This will be the hot link when it is active for this meeting.
Re: SEC to Rule on Grandfathering, Options Market Makers "Privileges" and More, June 13 By Stephen the Strong on 6/12/2007 5:46 PM
Hi Bud, its been a while, I hope the wait is worth the results. Tonite we seit here on the eve of SEC history and its relationship to the OTC and NASD, what do you invision for tomorrows out come? Will they repeal the Grand Father Clause or is this another milestone not to be counted? Where do we go from here Bud, what are your thoughts? At the end of business tomorrow, will there be a different way of doing business? Thank you I await your reply, Stephen..........

Reply: I expect nothing. Aggressive for me is 80-20 against, but on this one, at this time, I am 95-5 against any meaningful changes. I think in turns of expected return analysis, typical of anyone of my background. No one could be more pleased to be wrong about this, but I have to bet my gut. This fails problem is simply too big, and the statute of limitations for actions by dead victims and their shareholders is still too great.
Re: SEC to Rule on Grandfathering, Options Market Makers "Privileges" and More, June 13 By Valueinvestor on 6/13/2007 6:50 AM
Bud, I sense complete frustration on your part relative to this GF clause and the hope that companies with massive fails could recoup some of their losses...yet Richard Altomare of USXP is brimming with confidence and defiance...just yesterday, he was taunting the SEC once again about proving ownership of goods before selling them via the Michael Jackson collection his company is attempting to auction...are you of the opinion like some of us that he too is not sangunie about the prospects of the GF clause being repealed in the near future ? or that such repealment will have any effect on stock prices of companies such as his, in stark contradiction to what his general counsel Gunderson said a few months ago ? Where is the silver lining about this whole matter that everyone is looking for ? All we see and smell is doom and despair and this condition is never any good for the human soul no matter what the circumstances...finally, as someone has pieced together recently, do you think Altomare's special courage and confidence stems from Prince Alwaleed's backing of USXP as is evident from many signs such as the Friends of Saudi Arabia's using his company to hold a business conference recently in Orlando (announced in Dubai on June 4 and 5) or Kingdom Entertainment which was previously owned by the Prince and Michael Jackson being cleverly alluded to the point of contact in the initial press release about this strange collection auction ?...Bud, give us some hope, for ultimately that is all that feeds the human condition...
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