SEC Follow Up Exhibits Part C SEC_OEA_FCIC_001760-2501

Recommendations

Info

41.63 41.7 0.07 0 11500 41.27055 41.02585 40.98 41.06 41.64 41.68 0.04 0 5557 41.05099 41.04647 41.03 41.06 41.68 41.74 0.06 0 11100 41.06005 41.05484 41.03 41.07 41.69 41.76 0.07 0 10288 41.05833 41.07012 41.04 41.11 41.73 41.7518 0.0218 0 7925 41.06774 41.07791 41.06 41.09 41.65 41.73 0.08 0 20622 41.04189 41.12005 41.08 41.17 41.65 41.74 0.09 0 26865 41.04276 41.14985 41.12 41.17 41.69 41.76 0.07 0 22899 41.05983 41.14933 41.12 41.16 41.69 41.74 0.05 0 5800 41.06013 41.15861 41.14 41.18 41.73 41.86 0.13 0 50903 41.09057 41.14578 41.14 41.16 41.805 41.92 0.115 0 35103 41.10461 41.14352 41.13 41.15 41.87 41.94 0.07 0 31046 41.11888 41.14564 41.13 41.18 41.83 41.9 0.07 0 28496 41.11255 41.1654 41.1424 41.19 41.81 41.9 0.09 0 23610 41.12512 41.16513 41.15 41.19 41.81 41.9 0.09 0 29600 41.12036 41.12255 41.09 41.16 41.84 41.92 0.08 0 25800 41.14175 41.08736 41.06 41.11 41.82 41.92 0.1 0 27715 41.14741 40.88921 40.85 41.15 41.81 41.85 0.04 0 3910 41.13284 41.12879 41.09 41.16 41.77 41.82 0.05 0 19956 41.12774 41.09898 41.09 41.11 41.77 41.82 0.05 0 14500 41.13185 41.10906 41.09 41.13 41.76 41.84 0.08 0 31330 41.14313 41.12873 41.11 41.15 41.73 41.79 0.06 0 17220 41.15039 41.15784 41.13 41.19 41.72 41.81 0.09 0 36100 41.15285 41.20062 41.17 41.24 41.57 41.735 0.165 0 73012 41.06828 41.17675 41.15 41.21 41.49 41.6291 0.1391 0 51800 41.06151 41.13506 41.1 41.16 41.53 41.6 0.07 0 27988 41.06462 41.09925 41.08 41.12 41.58 41.66 0.08 0 31466 41.10032 41.10164 41.07 41.12 41.64 41.75 0.11 0 35690 41.16852 41.09267 41.07 41.12 41.67 41.75 0.08 13850 54129 41.18567 41.07063 41.06 41.08 41.61 41.71 0.1 0 39578 41.18147 41.07084 41.06 41.08 41.57 41.68 0.11 0 33134 41.16637 41.05127 41.03 41.07 41.56 41.65 0.09 0 12414 41.13813 41.03571 41.01 41.07 41.54 41.61 0.07 0 23305 41.13207 40.96336 40.93 41.01 41.5 41.62 0.12 0 19041 41.1122 40.93769 40.91 40.97 41.5 41.56 0.06 0 7585 41.07186 40.87841 40.81 40.93 41.45 41.52 0.07 0 32900 41.03648 40.82816 40.79 40.86 41.44 41.47 0.03 0 31545 41.00504 40.77165 40.7 40.81 41.445 41.49 0.045 0 21300 41.05065 40.7024 40.67 40.73 41.44 41.48 0.04 0 11075 41.0294 40.72294 40.66 40.78 41.41 41.5 0.09 0 28350 41.03453 40.75044 40.71 40.78 41.41 41.5 0.09 0 22000 41.03766 40.75087 40.72 40.79 41.46 41.52 0.06 0 40135 41.05256 40.72595 40.69 40.76 41.44 41.51 0.07 0 21150 41.04548 40.67292 40.63 40.79 41.42 41.45 0.03 0 10008 41.02923 40.66505 40.65 40.68 41.36 41.44 0.08 0 29590 40.99018 40.71096 40.67 40.75 41.35 41.44 0.09 0 26246 40.96783 40.70276 40.68 40.73 41.35 41.4599 0.1099 0 29041 40.96391 40.67695 40.64 40.71 41.36 41.442 0.082 0 31200 40.98429 40.66257 40.61 40.72 41.36 41.48 0.12 0 26100 41.00308 40.71329 40.68 40.75 41.38 41.45 0.07 0 29700 40.99949 40.7411 40.7 40.8 41.38 41.44 0.06 0 16325 41.00644 40.7949 40.77 40.82 41.43 41.48 0.05 0 12709 41.02051 40.78246 40.75 40.82
41.45 41.48 0.03 0 15300 41.02212 40.77152 40.72 40.83 41.44 41.5 0.06 0 20810 40.99763 40.74375 40.69 40.77 41.49 41.57 0.08 0 9300 41.02401 40.67271 40.63 40.71 41.54 41.6 0.06 0 19353 41.0402 40.62067 40.59 40.65 41.59 41.63 0.04 0 13455 41.04657 40.50926 40.44 40.6 41.56 41.6173 0.0573 0 21446 41.03632 40.4721 40.45 40.49 41.53 41.63 0.1 0 25300 41.02863 40.49572 40.48 40.51 41.59 41.68 0.09 0 19084 41.03345 40.49898 40.48 40.52 41.64 41.68 0.04 0 7710 41.0427 40.45872 40.44 40.48 41.64 41.7 0.06 0 22647 41.06112 40.45046 40.42 40.48 41.67 41.76 0.09 0 30590 41.10776 40.46116 40.43 40.49 41.64 41.76 0.12 0 29970 41.10869 40.46051 40.41 40.5 41.64 41.72 0.08 0 22300 41.1232 40.43361 40.4 40.47 41.59 41.68 0.09 0 21506 41.10742 40.5031 40.44 40.55 41.35 41.66 0.31 65134 30000 41.09556 40.55842 40.54 40.58 41.6 41.72 0.12 0 16551 41.09851 40.5725 40.56 40.58 41.67 41.74 0.07 0 14206 41.11942 40.53764 40.45 40.58 41.65 41.72 0.07 0 31676 41.10817 40.40069 40.34 40.46 41.63 41.71 0.08 0 11500 41.10184 40.29607 40.2 40.3818 41.59 41.68 0.09 0 12460 41.07844 40.23511 40.2 40.289 41.59 41.69 0.1 0 14900 41.06234 40.2256 40.21 40.24 41.55 41.64 0.09 0 28610 41.02412 40.16893 40.12 40.24 41.54 41.61 0.07 0 21643 41.01079 40.14238 40.11 40.16 41.54 41.63 0.09 0 11365 41.01591 40.03888 39.99 40.12 41.62 41.66 0.04 0 4200 41.27202 40.02572 40.005 40.06 41.55 41.67 0.12 0 33610 41.00934 40.01152 39.98 40.03 41.54 41.65 0.11 0 21641 40.99934 40.00106 39.95 40.06 41.65 41.68 0.03 0 11390 41.01712 40.04596 40.01 40.08 41.665 41.69 0.025 0 4300 41.02561 40.12041 40.055 40.18 41.69 41.72 0.03 0 6273 41.02716 40.14724 40.0729 40.21 41.71 41.78 0.07 0 20250 41.04002 40.22433 40.19 40.29 41.73 41.8 0.07 0 21399 41.05274 40.31645 40.1723 40.36 41.76 41.83 0.07 0 21915 41.07338 40.31228 40.28 40.35 41.77 41.81 0.04 0 14095 41.07774 40.35462 40.29 40.38 41.75 41.8 0.05 0 8380 41.0843 40.42904 40.3223 40.45 41.71 41.76 0.05 0 22600 41.06323 40.39734 40.37 40.44 41.65 41.72 0.07 0 13675 41.03478 40.40705 40.3975 40.43 41.63 41.72 0.09 0 19700 41.01799 40.421 40.39 40.46 41.6605 41.7 0.0395 0 12240 41.02657 40.50424 40.4 40.56 41.62 41.68 0.06 0 24240 41.0053 40.50561 40.47 40.54 41.65 41.73 0.08 0 33265 41.01122 40.46756 40.42 40.495 41.59 41.655 0.065 0 31400 40.97994 40.43638 40.36 40.48 41.64 41.71 0.07 0 12100 40.99891 40.50606 40.47 40.56 41.66 41.75 0.09 0 15163 41.01352 40.59112 40.49 40.64 41.73 41.79 0.06 0 19207 41.03262 40.63802 40.5516 40.69 41.705 41.78 0.075 0 15955 41.0276 40.74144 40.6417 40.82 41.65 41.81 0.16 0 24389 41.02636 40.78092 40.5551 40.84 41.66 41.69 0.03 0 12537 41.00192 40.84166 40.72 40.9 41.69 41.8 0.11 0 33200 41.0112 40.68232 40.62 40.8104 41.62 41.74 0.12 0 35482 40.97496 40.68242 40.63 40.74 41.71 41.8 0.09 0 22300 41.01738 40.61926 40.59 40.68 41.73 41.81 0.08 0 21838 41.02509 40.5648 40.54 40.6045
Page 1 and 2:
TO: Distribution List DRAFT MEMORAN
Page 3 and 4:
DRAFT on short selling, particularl
Page 5 and 6:
Price pressure DRAFT Several empiri
Page 7 and 8:
DRAFT these measures are designed t
Page 9 and 10:
DRAFT the highly automated markets
Page 11 and 12:
submitted analyses that are not dir
Page 13 and 14:
The CFA Institute Centre for Financ
Page 15 and 16:
DRAFT National Association of Real
Page 17 and 18:
To: Chairman Christopher Cox Throug
Page 19 and 20:
In our analyses, (described in furt
Page 21 and 22:
4. 0< ri 100 bp where bp is basis p
Page 23 and 24:
We also found that changes in the p
Page 25 and 26:
- If the order was submitted at the
Page 27 and 28:
ates were 56%. This asymmetry holds
Page 29 and 30:
Table 2 - Minimum Shortable Price(M
Page 31 and 32:
Table 3 Minimum Shortable Price(MSP
Page 33 and 34:
Table 4 - Minimum Shortable Price(M
Page 35 and 36:
Table 5 Minimum Shortable Price(MSP
Page 37 and 38:
Table 5 (cont’d) Minimum Shortabl
Page 39 and 40:
Table 6 (Cont’d) Minimum Shortabl
Page 41 and 42:
Table 7-A Stocks: Three sampled sto
Page 43 and 44:
OFFICE OF ECONOMIC ANALYSIS DRAFT M
Page 45 and 46:
Historical Context To aid in evalua
Page 47 and 48:
Market Volatility Forecast The grap
Page 49 and 50:
Root Mean Squared Return 0.006 0.00
Page 51 and 52:
Abnormal End-of-Day Volatility In o
Page 53 and 54:
To further investigate historical p
Page 55 and 56:
1 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0
Page 57 and 58:
Appendix 2: Open-To-Close vs. Overn
Page 59 and 60:
Appendix 3: Extreme Days The analys
Page 61 and 62:
Index (15:20 = 1) 1.01 1 0.99 0.98
Page 63 and 64:
810 800 790 780 770 760 750 740 Fig
Page 65 and 66:
Have a great week end. Christophe 2
Page 67 and 68:
Smith, Kathrin From: Bisiere, Chris
Page 69 and 70:
SEC_OEA_FCIC_001828
Page 71 and 72:
SEC_OEA_FCIC_001830
Page 73 and 74:
SEC_OEA_FCIC_001832
Page 75 and 76:
Smith, Kathrin From: Bisiere, Chris
Page 77 and 78:
SEC_OEA_FCIC_001836
Page 79 and 80:
SEC_OEA_FCIC_001838
Page 81 and 82:
SEC_OEA_FCIC_001840
Page 83 and 84:
SEC_OEA_FCIC_001842
Page 85 and 86:
In-Threshold Run Length in Number o
Page 87 and 88:
Beta Excess Return cond. on # of da
Page 89 and 90:
Page 91 and 92:
Page 93 and 94:
Beta Excess Return cond. on in-thre
Page 95 and 96:
Total Notional Amount (DTCC) Millio
Page 97 and 98:
Summary of Citigroup Credit Default
Page 99 and 100:
Page 101 and 102:
Page 103 and 104:
Page 105 and 106:
Page 107 and 108:
Page 109 and 110:
Page 111 and 112:
Page 113 and 114:
Page 115 and 116:
Page 117 and 118:
Page 119 and 120:
Page 121 and 122:
Page 123 and 124:
Page 125 and 126:
date _NAME_ TD_C AB_C AS_C TM_C 11/
Page 127 and 128:
ALADDIN R 1 Citigroup Credit Defaul
Page 129 and 130:
Citigroup Credit Default Swap Trans
Page 131 and 132:
namegroup idname _NAME_ rangen day_
Page 133 and 134:
CEDAR HILL CAP 18 bullish bull_18 1
Page 135 and 136:
GOLDMAN SACHS 35 ssell ssel_35 -10,
Page 137 and 138:
MERRILL LYNCH 53 bullish bull_53 5,
Page 139 and 140:
PIM2136 70 ssell ssel_70 PIM2224 71
Page 141 and 142:
PIM3706 88 bullish bull_88 200,000
Page 143 and 144:
ROYAL BANK OF 105 ssell ssel_105 -5
Page 145 and 146:
Page 147 and 148:
Page 149 and 150:
Page 151 and 152:
Page 153 and 154:
Page 155 and 156:
Page 157 and 158:
Page 159 and 160:
Page 161 and 162:
Page 163 and 164:
PIM6888 100 Citigroup Credit Defaul
Page 165 and 166:
- 91 41 Bearish # - / Bullish # 91
Page 167 and 168:
BLUE MTN CREDI 12 abuy abuy_12 -20,
Page 169 and 170:
GENERAL ELECT 34 bearish bear_34 GE
Page 171 and 172:
NATIONAL BANK O 56 cnet cnet_56 0 -
Page 173 and 174:
PIM2679 78 sbuy sbuy_78 PIM2679 78
Page 175 and 176:
PROVINZIAL RHE 101 abuy abuy_101 PR
Page 177 and 178:
Page 179 and 180:
Price $15.00 $12.50 $10.00 $7.50 $5
Page 181 and 182:
21 18 COL1 3.807082 3.54 4.04 0.5 3
Page 183 and 184:
Page 185 and 186:
Page 187 and 188:
Page 189 and 190:
Page 191 and 192:
Page 193 and 194:
Page 195 and 196:
Page 197 and 198:
Page 199 and 200:
Page 201 and 202:
Page 203 and 204:
Date Open High Low Close Volume Adj
Page 205 and 206:
date2 _NAME_2 no_NoPay_C fi_NoPay_C
Page 207 and 208:
PIM6888 100 Citigroup Credit Defaul
Page 209 and 210:
- 91 41 Bearish # - / Bullish # 91
Page 211 and 212:
BLACK DIAMOND OFFSHORE, LTD 11 abuy
Page 213 and 214:
FORE ERISA FUND, LTD. 31 bearish be
Page 215 and 216:
MARATHON 51 cnet cnet_51 0 0 -45,00
Page 217 and 218:
PIM2224 71 sbuy sbuy_71 1,000,000 P
Page 219 and 220:
PIM4807 92 abuy abuy_92 PIM4807 92
Page 221 and 222:
THE ROYAL BANK OF SCOTLAND PLC 112
Page 223 and 224:
11/18/08 -17000000 10000000 -7,000,
Page 225 and 226:
Page 227 and 228:
Adjusted Close 25 20 15 10 5 0 10/1
Page 229 and 230:
Page 231 and 232:
Page 233 and 234:
Page 235 and 236:
Page 237 and 238:
BBVA DerivServ SUBMITTING_PARTY SUB
Page 239 and 240:
BUYER_NAME SELLER_ID SELLER_NAME TR
Page 241 and 242:
SUBMIT_DATE SUBMIT_TIME TRANSACTION
Page 243 and 244:
NOTIONAL_AMOUNT NOTIONAL_CURRENCY A
Page 245 and 246:
POST_TRADE_PAYMENT_DATE POST_TRADE_
Page 247 and 248:
PERIOD_MULTIPLIER PAYMENT_FREQUENCY
Page 249 and 250:
INITIAL_CURRENCY RESTRUCTING_INDICA
Page 251 and 252:
MATRIX_TYPE PUBLICATION_DATE 01/01/
Page 253 and 254:
MATRIX_AGREEMENT_DATE ASSIGNMENT_RO
Page 255 and 256:
Page 257 and 258:
Page 259 and 260:
Page 261 and 262:
Page 263 and 264:
Page 265 and 266:
Page 267 and 268:
Page 269 and 270:
date _NAME_ TD_C AB_C AS_C TM_C 11/
Page 271 and 272:
ALADDIN R 1 Citigroup Credit Defaul
Page 273 and 274:
Citigroup Credit Default Swap Trans
Page 275 and 276:
namegroup idname _NAME_ rangen day_
Page 277 and 278:
CREDIT SUISSE INTERNATIONAL 21 abuy
Page 279 and 280:
INTERN KAPIT MBH (PRV-C) 41 bearish
Page 281 and 282:
PIM1356 61 cnet cnet_61 500,000 500
Page 283 and 284:
PIM2755 81 sbuy sbuy_81 300,000 PIM
Page 285 and 286:
PURSUIT 102 abuy abuy_102 PURSUIT 1
Page 287 and 288:
BNP Paribas Securities Corp. Top No
Page 289 and 290:
Page 291 and 292:
Volume (thousands) 1 , 1 0 0 1 , 0
Page 293 and 294:
Page 295 and 296:
Page 297 and 298:
Volume (thousands) Price and Volume
Page 299 and 300:
Volume (thousands) Price and Volume
Page 301 and 302:
Page 303 and 304:
Page 305 and 306:
Volume (thousands) 3 0 2 0 1 0 0 Pr
Page 307 and 308:
security on each calendar day of th
Page 309 and 310:
10. Percentage of short positions c
Page 311 and 312:
selling. The purple bar indicates t
Page 313 and 314:
Chart 1 Form SH Daily Volume Compar
Page 315 and 316:
Form SH Reported Short Volume for C
Page 317 and 318:
Form SH Data Quality Check of Volum
Page 319 and 320:
Form SH Summary of Securities by CR
Page 321 and 322:
# of Securities (3,989 Total) 1,600
Page 323 and 324:
# Security - Days (3,899 Total) 600
Page 325 and 326:
Form SH Reported Data Compared to O
Page 327 and 328:
# Daily Positions 300,000 250,000 2
Page 329 and 330:
# Daily Volumes 45,000 40,000 35,00
Page 331 and 332:
Securities Reported by Filers 30,00
Page 333 and 334:
Dollar Value Sold Short ($ Millions
Page 335 and 336:
# of Security Days with Some Report
Page 337 and 338:
# of Security Days with Significant
Page 339 and 340:
Price $0.20 $0.19 $0.18 $0.17 $0.16
Page 341 and 342:
Price $3.00 $2.50 $2.00 $1.50 $1.00
Page 343 and 344:
Price $17.50 $17.00 $16.50 $16.00 $
Page 345 and 346:
Price $50.00 $45.00 $40.00 $35.00 $
Page 347 and 348:
Price $2.40 $2.35 $2.30 $2.25 $2.20
Page 349 and 350:
Price $16.00 $14.00 $12.00 $10.00 $
Page 351 and 352:
dayn trade_date COMNAM PERMNO SHRCD
Page 353 and 354:
14 14-Nov-08 HONEYWE 10145 11 20.16
Page 355 and 356:
14 14-Nov-08 STURM RU 73219 11 0.00
Page 357 and 358:
14 14-Nov-08 G A T X CO 12036 11 0.
Page 359 and 360:
14 14-Nov-08 MAGUIRE 89768 18 35.07
Page 361 and 362:
14 14-Nov-08 EMERITUS 82638 11 0.32
Page 363 and 364:
14 14-Nov-08 GRAY TEL 83989 11 76.5
Page 365 and 366:
14 14-Nov-08 CYTEC IND 80079 11 1.5
Page 367 and 368:
14 14-Nov-08 TEXTAINE 92379 12 1.02
Page 369 and 370:
14 14-Nov-08 CONSOL E 86799 11 3.04
Page 371 and 372:
28 ######## DORAL FIN 12169 11 0.00
Page 373 and 374:
volp_b _TYPE_ _FREQ_ countvolp volp
Page 375 and 376:
shortpct ndays ndays_downdays_flat
Page 377 and 378:
ndays_nex ndays_nex COMNAM 1 1 RITC
Page 379 and 380:
PERMNO trade_date sdevv vol_crsp vo
Page 381 and 382:
trade_date _NAME_ PRC_1 prc_down_ p
Page 383 and 384:
vol_rest_7 PRC_10 prc_down_ prc_up_
Page 385 and 386:
TY ENTERPRISES INC Y CO E BRANDS IN
Page 387 and 388:
17 0 191 191 17 18 0 154 154 18 19
Page 389 and 390:
nfilers_hist count low high lab1 _T
Page 391 and 392:
date day_week count count_vol count
Page 393 and 394:
Price $46.00 $45.00 $44.00 $43.00 $
Page 395 and 396:
Price $46.00 $45.00 $44.00 $43.00 $
Page 397 and 398:
Price $46.00 $45.00 $44.00 $43.00 $
Page 399 and 400:
Price $46.00 $45.00 $44.00 $43.00 $
Page 401 and 402:
Price $40.00 $35.00 $30.00 $25.00 $
Page 403 and 404:
Price $40.00 $35.00 $30.00 $25.00 $
Page 405 and 406:
Price $40.00 $35.00 $30.00 $25.00 $
Page 407 and 408:
Symbol hour minute sort trend5_2 tr
Page 409 and 410:
MS 17 43 0 MS 17 44 0 MS 17 45 0 MS
Page 411 and 412:
MS 8 27 1 MS 8 28 1 MS 8 29 1 MS 8
Page 413 and 414:
MS 10 11 1 MS 10 12 1 MS 10 13 1 MS
Page 415 and 416:
MS 11 55 1 MS 11 56 1 MS 11 57 1 MS
Page 417 and 418:
MS 13 39 1 MS 13 40 1 MS 13 41 1 MS
Page 419 and 420:
MS 15 23 1 MS 15 24 1 MS 15 25 1 MS
Page 421 and 422:
HBB HBB HBB HBB HBB HBB HBB HBB HBB
Page 423 and 424:
HBB LBB HBB LBB HBB LBB HBB LBB HBB
Page 425 and 426:
LBB LBB LBB LBB LBB LBB
Page 427 and 428:
HBB HBB HBB HBB HBB HBB HBB HBB HBB
Page 429 and 430:
118679 140734 81539 98153 119580 10
Page 431 and 432:
549976 740793 730713 530553 633869
Page 433 and 434:
241120 221885 463089 242404 268242
Page 435 and 436:
1034773 507119 1929040 729702 21777
Page 437 and 438:
down5_8 down5_9 down5_10 down5_11 d
Page 439 and 440:
594851 477540 815219 558737 595063
Page 441 and 442:
533491 248814 375456 321906 302504
Page 443 and 444:
624651 1105941 805570 1053176 11970
Page 445 and 446:
4200 37163 300 200 7379 500 700 100
Page 447 and 448:
100 100 1501 600 621 330 4000 1200
Page 449 and 450:
100 600 500 5500 100 200 1200 3800
Page 451 and 452:
20910 36164 30643 155502 74702 1124
Page 453 and 454:
34196 19500 55548 30203 29025 49981
Page 455 and 456: 33038 9300 33512 28113 24513 31940
Page 457 and 458: trade_12 trade_15 trade_16 trade_17
Page 459 and 460: 3259 4060 1301 3600 6100 410 3800 1
Page 461 and 462: 245 23292 29685 32235 131277 50646
Page 463 and 464: 94506 158205 426920 1103544 257455
Page 465 and 466: 16200 110995 231657 425131 597896 4
Page 467 and 468: 37430 109134 110898 474335 769341 7
Page 469 and 470: 53417 181823 546172 342284 49297 19
Page 471 and 472: MS 16 49 MS 16 50 MS 16 51 MS 16 52
Page 475 and 476: MS 9 17 MS 9 18 MS 9 19 MS 9 20 MS
Page 477 and 478: MS 11 1 MS 11 2 MS 11 3 MS 11 4 MS
Page 483 and 484: spindex__ meanp_2 minp_2 maxp_2 ran
Page 485 and 486: 41.16
Page 487 and 488: 41.46327 41.45829 41.46125 41.46493
Page 489 and 490: 42.14067 42.1 42.23 0.13 0 35200 41
Page 491 and 492: 42.04836 42 42.1 0.1 0 24500 41.392
Page 493 and 494: 41.39925 41.39 41.42 0.03 0 24442 4
Page 495 and 496: 40.86447 40.82 40.88 0.06 0 28120 4
Page 497 and 498: 41.3 41.3 0 13055 0 41.2573 41.2701
Page 499 and 500: 41.052 41.06055 41.04888 41.1732 41
Page 501 and 502: 41.18338 41.19231 41.19168 41.19479
Page 503 and 504: 41.73 41.82 0.09 0 22423 41.24243 4
Page 505: 41.49 41.54 0.05 0 13778 40.99331 4
Page 509 and 510: angep_4 tradebig_4 tradesmall_spind
Page 511 and 512: 42.18422 42.18422 42.18272 0 0 100
Page 513 and 514: 41.97166 41.96509 41.98361 41.98375
Page 515 and 516: 0.1289 12200 82640 41.8887 40.12155
Page 517 and 518: 0.09 0 21945 41.41648 40.53181 40.4
Page 519 and 520: 0.08 0 51100 41.11773 41.09831 41.0
Page 521 and 522: 0.1 0 43500 41.07753 40.66593 40.64
Page 523 and 524: 40.35161 41.72151 40.34821 41.72793
Page 525 and 526: 100 40.23214 44.32539 44.3 44.51 0.
Page 527 and 528: 40.04062 44.11875 44.1 44.15 0.05 0
Page 529 and 530: 37530 39.78727 41.9703 41.88 42.08
Page 531 and 532: 17590 40.17506 42.82236 42.77 42.86
Page 533 and 534: 23962 40.35303 42.48832 42.45 42.55
Page 535 and 536: meanp_9 minp_9 maxp_9 rangep_9 trad
Page 537 and 538: 43.18457 43.18117 43.19477 43.18627
Page 539 and 540: 43.36903 43.37727 39.7425 39.74 43.
Page 541 and 542: 42.95786 42.87 43 0.13 0 70242 43.1
Page 543 and 544: 42.17411 42.14 42.24 0.1 0 90289 42
Page 545 and 546: 41.78421 41.74 41.84 0.1 0 26343 42
Page 547 and 548: 40.50608 40.45 40.55 0.1 0 34709 42
Page 549 and 550: 40.4893 40.45867 40.4 0 41937 0 40.
Page 551 and 552: 40 0.05 0 600 40.50209 37.71002 37.
Page 553 and 554: 39.94 0.13 0 2192 40.67039 35.91425
Page 555 and 556: 38.32 0.14 0 111093 40.37693 37.312
Page 557 and 558:
39.02 0.08 0 34460 40.69035 37.5625
Page 559 and 560:
40.07 0.05 0 21911 40.88056 38.7236
Page 561 and 562:
tradebig_11tradesmall_spindex_11mea
Page 563 and 564:
39.07 39.07 39.07 0 0 100 39.05293
Page 565 and 566:
0 1500 38.43361 0 500 38.39862 38.2
Page 567 and 568:
0 208240 38.53788 37.8859 37.84 37.
Page 569 and 570:
0 119996 38.95339 39.13122 39.06 39
Page 571 and 572:
0 44256 38.79547 37.98676 37.94 38.
Page 573 and 574:
0 110077 39.01476 38.22831 38.21 38
Page 575 and 576:
38.70023 37.3634 38.72405 37.23349
Page 577 and 578:
38.55764 34.03986 33.9 34.5 0.6 0 8
Page 579 and 580:
38.32867 32.99608 32.99 33.01 0.02
Page 581 and 582:
38.63587 34.58665 34.56 34.66 0.1 4
Page 583 and 584:
38.56625 33.82328 33.76 33.88 0.12
Page 585 and 586:
38.54373 32.38956 32.27 32.5 0.23 0
Page 587 and 588:
minp_16 maxp_16 rangep_16 tradebig_
Page 589 and 590:
32.13448 31.78 31.78 0 0 200 32.134
Page 591 and 592:
27.86 28.24 0.38 0 60290 31.67596 2
Page 593 and 594:
28.025 28.75 0.725 59400 618974 31.
Page 595 and 596:
26.42 26.78 0.36 0 182872 31.98663
Page 597 and 598:
27.83 27.995 0.165 0 85468 32.13794
Page 599 and 600:
28.42 28.8 0.38 40100 308589 32.558
Page 601 and 602:
0.38 0 7875 28.54326 22.66857 22.58
Page 603 and 604:
0.4 0 37836 28.72396 22.84878 22.55
Page 605 and 606:
0.46 23416 91786 28.11341 20.14171
Page 607 and 608:
0.29 0 408554 27.96835 19.59765 19.
Page 609 and 610:
0.225 0 494911 27.84082 15.32434 14
Page 611 and 612:
0.56 145997 1370219 27.91591 17.442
Page 613 and 614:
tradesmall_spindex_18meanp_19 minp_
Page 615 and 616:
2900 21.79807 22.57521 7500 22.7348
Page 617 and 618:
59616 21.91836 32.85777 32.69 33 0.
Page 619 and 620:
813439 22.14338 25.76577 24.85 26.7
Page 621 and 622:
463989 21.6108 28.04861 27.99 28.12
Page 623 and 624:
439396 21.88219 28.96691 28.85 29.0
Page 625 and 626:
1307381 22.45974 25.50933 25.1388 2
Page 627 and 628:
27.09373 0 26.89034 26.75 26.9 0.15
Page 629 and 630:
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
Page 631 and 632:
1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1
Page 633 and 634:
1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1
Page 635 and 636:
1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1:0
Page 637 and 638:
1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1
Page 639:
verticle close_1 close_2 close_3 cl
Page 643 and 644:
40.83 41.3 42.17 40.34 41.36 43.27
Page 645 and 646:
50 51 52 53 54 55 56 57 58 59 60 61
Page 647 and 648:
154 155 156 157 158 159 160 161 162
Page 649 and 650:
258 259 260 261 262 263 264 265 266
Page 651 and 652:
362 363 364 365 366 367 368 369 370
Page 653 and 654:
466 467 468 469 470 471 472 473 474
Page 655 and 656:
570 571 572 573 574 575 576 577 578
Page 657 and 658:
Morgan Stanley Intraday Trading by
Page 659 and 660:
Goldman Sachs September Activity Ja
Page 661 and 662:
Trading Patterns of Interest • Tr
Page 663 and 664:
Goldman Sachs Stock Price Summary P
Page 665 and 666:
Goldman Sachs Intra-Day Stock Price
Page 667 and 668:
Goldman Sachs Intra-Day Stock Price
Page 669 and 670:
Goldman Sachs 21(a) Response - Exam
Page 671 and 672:
Goldman Sachs 21(a) Response - Exam
Page 673 and 674:
Morgan Stanley CDS Summary (Goldman
Page 675 and 676:
Morgan Stanley CDS Transactions (Go
Page 677 and 678:
Example 6: CDS (Using Morgan Stanle
Page 679 and 680:
Goldman Sachs Example 8a: Assent St
Page 681 and 682:
Goldman Sachs Example 8c: Assent St
Page 683 and 684:
Summary File Common Stock Transacti
Page 685 and 686:
Confidential 45 Wellington Capital
Page 687 and 688:
OEA DRAFT - INTERNAL Therefore, exa
Page 689 and 690:
Figure 2 Percent of Shares Outstand
Page 691 and 692:
Page 693 and 694:
Page 695 and 696:
Page 697 and 698:
Merrill Lynch September Activity Ja
Page 699 and 700:
Page 701 and 702:
Merrill Lynch Stock Price Summary P
Page 703 and 704:
Merrill Lynch Intra-Day Stock Price
Page 705 and 706:
Merrill Lynch Intra-Day Stock Price
Page 707 and 708:
Merrill Lynch CDS Prices of New Tra
Page 709 and 710:
Merrill Lynch CDS Transactions Top
Page 711 and 712:
Merrill Lynch 21(a) Response - Exam
Page 713 and 714:
Page 715 and 716:
Page 717 and 718:
Merrill Lynch Example 7a: Assent St
Page 719 and 720:
Merrill Lynch Example 7c: Assent St
Page 721 and 722:
Page 723 and 724:
Morgan Stanley Stock Price Summary
Page 725 and 726:
Morgan Stanley Intra-Day Stock Pric
Page 727 and 728:
Morgan Stanley CDS Summary SEC_OEA_
Page 729 and 730:
Morgan Stanley 21(a) Response - Exa
Page 731 and 732:
Page 733 and 734:
Page 735 and 736:
Page 737 and 738:
Page 739 and 740:
Morgan Stanley September Activity J
Page 741 and 742:
Page 743 and 744:
Morgan Stanley Stock Price Summary
Page 745 and 746:
Page 747 and 748:
Page 749 and 750:
Morgan Stanley CDS Prices of New Tr
Page 751 and 752:
Morgan Stanley CDS Transactions Top
Page 753 and 754:
Morgan Stanley Example 1b: CDS Cita
Page 755 and 756:
Morgan Stanley Example 2b: CDS Paul
Page 757 and 758:
Morgan Stanley Example 3b: CDS Deut
Page 759 and 760:
Morgan Stanley Example 4b: CDS Merr
Page 761 and 762:
Morgan Stanley Example 5b: Assent S
Page 763 and 764:
Page 765 and 766:
Washington Mutual September Activit
Page 767 and 768:
Page 769 and 770:
Washington Mutual Stock Price Summa
Page 771 and 772:
Washington Mutual Intra-Day Stock P
Page 773 and 774:
Washington Mutual Intra-Day Stock P
Page 775 and 776:
Washington Mutual CDS Prices of New
Page 777 and 778:
Washington Mutual CDS Transactions
Page 779 and 780:
Washington Mutual 21(a) Response -
Page 781 and 782:
Page 783 and 784:
Page 785 and 786:
Washington Mutual Example 7a: Assen
Page 787 and 788:
Washington Mutual Example 7c: Assen
Page 789 and 790:
Page 791 and 792:
Form 424B2 NATIONAL CITY CORP - ncc
Page 793 and 794:
2013 at a redemption price per shar
Page 795 and 796:
Table of Contents ABOUT THIS PROSPE
Page 797 and 798:
Table of Contents SUMMARY This summ
Page 799:
Table of Contents Dividend Stopper
Page 802 and 803:
S-4
Page 804 and 805:
Table of Contents RISK FACTORS An i
Page 806 and 807:
Table of Contents decline as a resu
Page 808 and 809:
Table of Contents USE OF PROCEEDS W
Page 810 and 811:
Table of Contents upon the conversi
Page 812 and 813:
Table of Contents number of shares
Page 814 and 815:
Table of Contents not to issue such
Page 816 and 817:
Table of Contents adjustments to th
Page 818 and 819:
Table of Contents to authorize, or
Page 820 and 821:
Table of Contents exercised by the
Page 822 and 823:
Table of Contents DIRECT REGISTRATI
Page 824 and 825:
Table of Contents of a partnership
Page 826 and 827:
Table of Contents in an amount equa
Page 828 and 829:
Table of Contents Information Repor
Page 830 and 831:
Table of Contents Plan, or any pers
Page 832 and 833:
Table of Contents Shares of Series
Page 834 and 835:
Table of Contents Maximum Number of
Page 837 and 838:
Page 839 and 840:
Page 841 and 842:
Table of Contents (1) The “Maximu
Page 843 and 844:
Table of Contents natural persons t
Page 845:
Table of Contents Because the selli
Page 848 and 849:
Table of Contents PLAN OF DISTRIBUT
Page 850 and 851:
Table of Contents PROSPECTUS Senior
Page 852 and 853:
Table of Contents ABOUT THIS PROSPE
Page 854 and 855:
Table of Contents No dealer, salesp
Page 856 and 857:
Washington, DC 20549-9040 (202) 551
Page 858 and 859:
Table of Contents CALCULATION OF RE
Page 860 and 861:
TABLE OF CONTENTS ABOUT THIS PROSPE
Page 862 and 863:
Table of Contents Risks and uncerta
Page 864 and 865:
Table of Contents Stock will automa
Page 867 and 868:
Table of Contents Anti-Dilution Adj
Page 869 and 870:
Table of Contents Voting Rights Ran
Page 871 and 872:
Table of Contents The market price
Page 873 and 874:
Table of Contents The Series G Pref
Page 875 and 876:
Table of Contents DESCRIPTION OF NA
Page 877 and 878:
Table of Contents Certificate of De
Page 879 and 880:
Table of Contents Where, OS 0 = the
Page 881 and 882:
Table of Contents with a tender or
Page 883 and 884:
Table of Contents Right to Elect Tw
Page 885 and 886:
Table of Contents participating, op
Page 887 and 888:
Table of Contents based on the high
Page 889 and 890:
Table of Contents CERTAIN U.S. FEDE
Page 891 and 892:
Table of Contents Stock or our comm
Page 893 and 894:
Table of Contents other requirement
Page 895 and 896:
Table of Contents CERTAIN ERISA CON
Page 897 and 898:
Table of Contents SELLING STOCKHOLD
Page 899 and 900:
Page 901:
Page 904 and 905:
Page 906 and 907:
Page 908 and 909:
(12) Aristeia Capital LLC is the in
Page 910 and 911:
Table of Contents (22) All of the e
Page 913 and 914:
Table of Contents Each of SAC Capit
Page 915 and 916:
Table of Contents EXPERTS The conso
Page 917 and 918:
TABLE OF CONTENTS Prospectus About
Page 919 and 920:
Table of Contents You may request a
Page 921 and 922:
Fallon, Zachary From: Krawitz, Jaco
Page 923 and 924:
Confidential # Producer How To Use
Page 925 and 926:
Price $30.00 $25.00 $20.00 $15.00 $
Page 927 and 928:
Price $20.00 $18.00 $16.00 $14.00 $
Page 929 and 930:
Price $50.00 $45.00 $40.00 $35.00 $
Page 931 and 932:
dayn hour _NAME_ AIG_mean AIG_minp
Page 933 and 934:
10 11 COL1 18.24242 17.62 18.9 1.28
Page 935 and 936:
18 19 COL1 2.697085 2.58 2.8 0.22 1
Page 937 and 938:
21.08166 159.9686 159.95 160.03 0.0
Page 939 and 940:
20.65615 134.4959 130.43 145.89 15.
Page 941 and 942:
GS_close LEH_meanLEH_minp LEH_maxpL
Page 943 and 944:
7.766267 7.44 8.2 0.76 1864755 2700
Page 945 and 946:
142.51 129.8
Page 947 and 948:
24.59935 24.21 24.9 0.69 0 33850 27
Page 949 and 950:
18.62415 17.26 19.45 2.19 1793447 3
Page 951 and 952:
MS_minp MS_maxp MS_rangepMS_tradeb
Page 953 and 954:
38.08 39.04 0.96 342900 3791667 39.
Page 955 and 956:
22.81 25.07 2.26 0 176151 39.31129
Page 957 and 958:
4.0454 26650 4.02 0.12 5/18/1927 16
Page 959 and 960:
2.17 0.18 15724864 47826532 3.96374
Page 961 and 962:
MER_shortGS_shorta GS_shortp AIG_sh
Page 963 and 964:
23.01972 855059 156.7115 5143237 18
Page 965 and 966:
22.71091 19061 114.533 600 2.75 127
Page 967 and 968:
2200 6000 100 7200 26800 3.919888 3
Page 969 and 970:
23916408 2.052039 81053295 38584977
Page 971 and 972:
Fallon, Zachary From: Edwards, Amy
Page 973 and 974:
2118 Wilshire Boulevard, #596 Santa
Page 975 and 976:
SAS Output 20080925 60505724BANK OF
Page 977 and 978:
SAS Output 20080916 261018105DOWNEY
Page 979 and 980:
SAS Output 2008091734958B106 FORTRE
Page 981 and 982:
SAS Output 20080922 493267405KEYCOR
Page 983 and 984:
SAS Output 20080918 902973882US Ban
Page 985 and 986:
SAS Output 20080918 929251106W HOLD
Page 987 and 988:
SAS Output 20080925 939322103WASHIN
Page 989 and 990:
Fallon, Zachary From: McCormick, Ti
Page 991 and 992:
arrived, they might borrow real sha
Page 993 and 994:
friendly relations with its short-s
Page 995 and 996:
To: Jim Overdahl From: Tim McCormic
Page 997 and 998:
Page 999 and 1000:
Page 1001 and 1002:
Page 1003 and 1004:
Page 1005 and 1006:
Page 1007 and 1008:
• For exchange-listed issues, the
Page 1009 and 1010:
Table 2 Average Daily Number of Sec
Page 1011 and 1012:
Table 4 Summary Statistics for Secu
Page 1013 and 1014:
Reg SHO Pilot Report DRAFT 9/14/200
Page 1015 and 1016:
Page 1017 and 1018:
Page 1019 and 1020:
Page 1021 and 1022:
Page 1023 and 1024:
Page 1025 and 1026:
Page 1027 and 1028:
Page 1029 and 1030:
Page 1031 and 1032:
Page 1033 and 1034:
Page 1035 and 1036:
Page 1037 and 1038:
Page 1039 and 1040:
Page 1041 and 1042:
Page 1043 and 1044:
Page 1045 and 1046:
Page 1047 and 1048:
Page 1049 and 1050:
Page 1051 and 1052:
Page 1053 and 1054:
Page 1055 and 1056:
Page 1057 and 1058:
Page 1059 and 1060:
Page 1061 and 1062:
Page 1063 and 1064:
Page 1065 and 1066:
Page 1067 and 1068:
Page 1069 and 1070:
Page 1071 and 1072:
Page 1073 and 1074:
Page 1075 and 1076:
Page 1077 and 1078:
Page 1079 and 1080:
Page 1081 and 1082:
Page 1083 and 1084:
Page 1085 and 1086:
Page 1087 and 1088:
Page 1089 and 1090:
Page 1091 and 1092:
Page 1093 and 1094:
Page 1095 and 1096:
Page 1097 and 1098:
Page 1099 and 1100:
Page 1101 and 1102:
permanent the relevant provisions o
Page 1103 and 1104:
• The average daily dollar value
Page 1105 and 1106:
Table 1 Summary Statistics on Fails
Page 1107 and 1108:
Page 1109 and 1110:
2.5 2 1.5 1 0.5 0 20040401 20040825
Page 1111 and 1112:
700 600 500 400 300 200 100 0 20050
Page 1113 and 1114:
3 2.5 2 1.5 1 0.5 0 Figure 5 Fails
Page 1115 and 1116:
2 1.5 1 0.5 0 Figure 7 Fails to Del
Page 1117 and 1118:
Fail Category Settlement Days to Cl
Page 1119 and 1120:
Reg SHO Pilot Report 2/12/2007 Tabl
Page 1121 and 1122:
Reg SHO Pilot Report 2/12/2007 In J
Page 1123 and 1124:
Reg SHO Pilot Report 2/12/2007 grou
Page 1125 and 1126:
Reg SHO Pilot Report 2/12/2007 pilo
Page 1127 and 1128:
Reg SHO Pilot Report 2/12/2007 Thir
Page 1129 and 1130:
Reg SHO Pilot Report 2/12/2007 II H
Page 1131 and 1132:
Reg SHO Pilot Report 2/12/2007 In 1
Page 1133 and 1134:
Reg SHO Pilot Report 2/12/2007 With
Page 1135 and 1136:
Reg SHO Pilot Report 2/12/2007 stoc
Page 1137 and 1138:
Reg SHO Pilot Report 2/12/2007 This
Page 1139 and 1140:
Reg SHO Pilot Report 2/12/2007 rule
Page 1141 and 1142:
Reg SHO Pilot Report 2/12/2007 Simi
Page 1143 and 1144:
Reg SHO Pilot Report 2/12/2007 The
Page 1145 and 1146:
Reg SHO Pilot Report 2/12/2007 V Me
Page 1147 and 1148:
Reg SHO Pilot Report 2/12/2007 R =
Page 1149 and 1150:
Reg SHO Pilot Report 2/12/2007 dist
Page 1151 and 1152:
Reg SHO Pilot Report 2/12/2007 acti
Page 1153 and 1154:
Reg SHO Pilot Report 2/12/2007 Stoc
Page 1155 and 1156:
Reg SHO Pilot Report 2/12/2007 side
Page 1157 and 1158:
Reg SHO Pilot Report 2/12/2007 Stoc
Page 1159 and 1160:
Reg SHO Pilot Report 2/12/2007 toge
Page 1161 and 1162:
Reg SHO Pilot Report 2/12/2007 incr
Page 1163 and 1164:
Reg SHO Pilot Report 2/12/2007 day
Page 1165 and 1166:
Reg SHO Pilot Report 2/12/2007 mani
Page 1167 and 1168:
Reg SHO Pilot Report 2/12/2007 pilo
Page 1169 and 1170:
Reg SHO Pilot Report 2/12/2007 marg
Page 1171 and 1172:
Reg SHO Pilot Report 2/12/2007 acti
Page 1173 and 1174:
Reg SHO Pilot Report 2/12/2007 lowe
Page 1175 and 1176:
Reg SHO Pilot Report 2/12/2007 Refe
Page 1177 and 1178:
Page 1179 and 1180:
Page 1181 and 1182:
Page 1183 and 1184:
Page 1185 and 1186:
Page 1187 and 1188:
Page 1189 and 1190:
Page 1191 and 1192:
Page 1193 and 1194:
Page 1195 and 1196:
Page 1197 and 1198:
Page 1199 and 1200:
Page 1201 and 1202:
Reg SHO Pilot Report 2/12/2007 Figu
Page 1203 and 1204:
Page 1205 and 1206:
Reg SHO Pilot Report 2/12/2007 Stud
Page 1207 and 1208:
TO: File FROM: Office of Economic A
Page 1209 and 1210:
• The average daily number of opt
Page 1211 and 1212:
Page 1213 and 1214:
provides for a 35-settlement day ph
Page 1215 and 1216:
• The average daily number of fai
Page 1217 and 1218:
Page 1219 and 1220:
Page 1221 and 1222:
2.5 2 1.5 1 0.5 0 20040401 20040825
Page 1223 and 1224:
700 600 500 400 300 200 100 0 20050
Page 1225 and 1226:
2.5 2 1.5 1 0.5 0 20080602 20080616
Page 1227 and 1228:
1.6 1.4 1.2 1 0.8 0.6 0.4 0.2 0 200
Page 1229 and 1230:
Page 1231 and 1232:
All Securities (Table 1): Table 1 s
Page 1233 and 1234:
Daily Fails to Deliver in All Secur
Page 1235 and 1236:
Page 1237 and 1238:
Page 1239 and 1240:
700 600 500 400 300 200 100 0 0501
Page 1241 and 1242:
1.4 1.2 1 0.8 0.6 0.4 0.2 0 2005010
Page 1243 and 1244:
700 600 500 400 300 200 100 0 20080
Page 1245 and 1246:
Number of Threshold Securities 700
Page 1247 and 1248:
Page 1249 and 1250:
• The average daily number of fai
Page 1251 and 1252:
Daily Number of Threshold List Secu
Page 1253 and 1254:
Page 1255 and 1256:
Page 1257 and 1258:
700 600 500 400 300 200 100 0 0501
Page 1259 and 1260:
1.4 1.2 1 0.8 0.6 0.4 0.2 0 2005010
Page 1261 and 1262:
700 600 500 400 300 200 100 0 20080
Page 1263 and 1264:
Fail Category Settlement Days to Cl
Page 1265 and 1266:
Short Selling in Initial Public Off
Page 1267 and 1268:
delay, as previously thought. Short
Page 1269 and 1270:
threshold list on the first possibl
Page 1271 and 1272:
Both Geczy, Musto and Reed (2002) a
Page 1273 and 1274:
esponsible for the Internet bubble.
Page 1275 and 1276:
on periods during the tech bubble.
Page 1277 and 1278:
trading although the levels are qui
Page 1279 and 1280:
in offer price as measured as the p
Page 1281 and 1282:
ule allows short sales to execute a
Page 1283 and 1284:
negative and occasionally significa
Page 1285 and 1286:
SROs daily for stocks that have agg
Page 1287 and 1288:
place it on a list known as the Reg
Page 1289 and 1290:
order to provide price support. Agg
Page 1291 and 1292:
Panel B of Table 6 presents the det
Page 1293 and 1294:
In focusing on the potential short
Page 1295 and 1296:
During our sample period, Regulatio
Page 1297 and 1298:
The perceived inability of short se
Page 1299 and 1300:
References Aggarwal, Reena and Pat
Page 1301 and 1302:
Houge, Todd, Tim Loughran, Gerry Su
Page 1303 and 1304:
Table 2 Comparison of First Day Tra
Page 1305 and 1306:
Page 1307 and 1308:
Variable Table 6 Determinants of Lo
Page 1309 and 1310:
Table 8 Short Term Price Effects Th
Page 1311 and 1312:
Figure 1 Distribution of Short Sell
Page 1313 and 1314:
Figure 3 Short Selling, Returns and
Page 1315:
Figure 5 Short Selling and Failures
show all

SEC Follow Up Exhibits Part C SEC_OEA_FCIC_001760-2501

You also want an ePaper? Increase the reach of your titles

Delete template?

Save as template?