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Diane Publishing Books
Practices Related to Naked Short Selling Complaints and Referrals
H. David Kotz (au)
Final report on an audit conducted by the SEC detailing the results of the audit on the Div. of Enforcement’s (DE) policies, procedures, and practices for processing complaints about “naked short selling.” Naked short selling (i.e., intentionally failing to borrow and deliver shares sold short in order to drive down the stock price) violates the fed. securities laws. Numerous complaints, particularly since Dec. 2007, alleged that the DE failed to take sufficient action regarding naked short selling, causing investors and companies to lose billions of dollars. This audit examined DE’s general complaint receipt and processing procedures as they applied to the receipt and referral of naked short selling complaints. Includes recommendations.
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