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diy_investor

01/27/12 12:33 PM

#9897 RE: ponzi_implosion #9892

It is likely that the sales are short exempt. Types of sales that qualify as short exempt may be found under Rules 201(c) and 201(d) of Regulation SHO.

http://taft.law.uc.edu/CCL/regSHO/rule201.html#c.