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Rule 10b-17 -- Untimely Announcements of Record Dates
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a. It shall constitute a "manipulative or deceptive device or contrivance" as used in Section 10(b) of the Act for any issuer of a
class of securities publicly traded by the use of any means or instrumentality of interstate commerce or of the mails or of any
facility of any national securities exchange to fail to give notice in accordance with paragraph (b) hereof of the following actions
relating to such class of securities:

1. A dividend or other distribution in cash or in kind, except an ordinary interest payment on a debt security, but
including a dividend or distribution of any security of the same or another issuer;
2. A stock split or reverse split; or
3. A rights or other subscription offering.

b. Notice shall be deemed to have been given in accordance with this section only if:

1. Given to the National Association of Securities Dealers, Inc., no later than 10 days prior to the record date involved
or, in case of a rights subscription or other offering if such 10 days advance notice is not practical, on or before the
record date and in no event later than the effective date of the registration statement to which the offering relates, and
such notice includes:

i. Title of the security to which the declaration relates;
ii. Date of declaration;
iii. Date of record for determining holders entitled to receive the dividend or other distribution or to
participate in the stock or reverse split;
iv. Date of payment or distribution or, in the case of a stock or reverse split or rights or other subscription
offering, the date of delivery;
v. For a dividend or other distribution including a stock or reverse split or rights or other subscription
offering:

a. In cash, the amount of cash to be paid or distributed per share, except if exact per share cash
distributions cannot be given because of existing conversion rights which may be exercised
during the notice period and which may affect the per share cash distribution, then a reasonable
approximation of the per share distribution may be provided so long as the actual per share
distribution is subsequently provided on the record date,
b. In the same security, the amount of the security outstanding immediately prior to and
immediately following the dividend or distribution and the rate of the dividend or distribution,
c. In any other security of the same issuer, the amount to be paid or distributed and the rate of
the dividend or distribution,
d. In any security of another issuer, the name of the issuer and title of that security, the amount
to be paid or distributed, and the rate of the dividend or distribution and if that security is a right
or a warrant, the subscription price,
e. In any other property (including securities not covered under paragraphs (b)(1)(v)(b) through
(d) of this section) the identity of the property and its value and basis for assigning that value;

vi. Method of settlement of fractional interests;
vii. Details of any condition which must be satisfied or Government approval which must be secured to
enable payment of distribution; and in
viii. The case of stock or reverse split in addition to the aforementioned information;

a. The name and address of the transfer or exchange agent; or

2. The Commission, upon written request or upon its own motion, exempts the issuer from compliance with paragraph
(b)(1) of this section either unconditionally or on specified terms or conditions, as not constituting a manipulative or
deceptive device or contrivance comprehended within the purpose of this section; or

3. Given in accordance with procedures of the national securities exchange or exchanges upon which a security of
such issuer is registered pursuant to Section 12 of the Act which contain requirements substantially comparable to
those set forth in paragraph (b)(1) of this section.

c. The provisions of this rule shall not apply, however, to redeemable securities issued by open-end investment companies and
unit investment trusts registered with the Commission under the Investment Company Act of 1940.

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Regulatory History

36 FR 11514, June 15, 1971, as amended at 37 FR 4330, Mar. 2, 1972

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Rule 17Ad-5 -- Written Inquiries and Requests

a. When any person makes a written inquiry to a registered transfer agent
concerning the status of an item presented for transfer during the preceding
six months by such person or anyone acting on his behalf, which inquiry
identifies the issue, the number of shares (or principal amount of debt
securities or number of units if relating to any other kind of security)
presented, the approximate date of presentment and the name in which it is
registered, the registered transfer agent shall, within five business days
following receipt of the inquiry, respond, stating whether the item has been
received; if received, whether it has been transferred; if received and not
transferred, the reason for the delay and what additional matter, if any, is
necessary before transfer may be effected; and, if received and transferred,
the date and manner in which the completed item was made available, the
addressee and address to which it was made available and the number of any new
certificate which was registered and the name in which it was registered. If a
new certificate is dispatched or mailed to the presentor within five business
days following receipt of an inquiry pertaining to that certificate, no
further response to the inquiry shall be required pursuant to this paragraph.


b. When any broker-dealer requests in writing that a registered transfer agent
acknowledge the transfer instructions and the possession of a security
presented for transfer by such broker-dealer or revalidate a window ticket
with respect to such security and the request identifies the issue, the number
of shares (or principal amount of debt securities or number of units if
relating to any other kind of security), the approximate date of presentment,
the certificate number and the name in which it is registered, every
registered transfer agent shall, within five business days following receipt
of the request, in writing, confirm or deny possession of the security, and,
if the registered transfer agent has possession, (1) acknowledge the transfer
instructions or (2) revalidate the window ticket. If a new certificate is
dispatched or mailed to the presentor within five business days following
receipt of a request pertaining to that certificate, no further response to
the inquiry shall be required pursuant to this paragraph.


c. When any person, or anyone acting under his authority, requests in writing
that a transfer agent confirm possession as of a given date of a certificate
presented by such person during the 30 days before the date the inquiry is
received and the request identifies the issue, the number of shares (or
principal amount of debt securities or number of units if relating to any
other kind of security), the approximate date of presentment, the certificate
number and the name in which the certificate was registered, every registered
transfer agent shall, within ten business days following receipt of the
request and upon assurance of payment of a reasonable fee if required by such
transfer agent, make available a written response to such person, or anyone
acting under his authority, confirming or denying possession of such security
as of such given date.


d. When any person requests in writing a transcript of such person's account with
respect to a particular issue, either as the account appears currently or as
it appeared on a specific date not more than six months prior to the date the
registered transfer agent receives the request, every registered transfer
agent shall, within twenty business days following receipt of the request and
upon assurance of payment of a reasonable fee if required by such transfer
agent, make available to such person a transcript, ledger or statement of
account in sufficient detail to permit reconstruction of such account as of
the date for which the transcript was requested.


e.
1. Response to written inquiries concerning dividend and interest payments. A
registered transfer agent shall respond, within ten business days of
receipt, to current claims that contain sufficient detail. A registered
transfer agent shall respond, within twenty business days of receipt, to
aged claims that contain sufficient detail. The response shall indicate in
writing that the inquiry has been received, whether the claim requires
further research and, if so, a reasonable estimate of how long that research
may take. If no further research is required, the response shall indicate
whether that claim is being or will be paid and, if not, the reason for not
paying the claim. A registered transfer agent shall devote diligent
attention to unresolved inquiries and shall resolve all inquiries as soon as
possible.


2. Misdirected written inquiries concerning dividend and interest payments. In
the event that a transfer agent is not the dividend disbursing or interest
paying agent for an issue that is the subject of a claim under this section,
but performed those or any transfer agent services for that issue within the
preceding three years, the transfer agent shall provide in writing to the
inquirer, within ten business days of receipt of the inquiry, the name and
address of the current dividend disbursing or interest paying agent. If the
transfer agent did not perform those or other transfer agent services for
the issue within the preceding three years, the transfer agent must respond
to the inquiry and may respond by returning the inquiry with a statement
that the transfer agent is not the current dividend disbursing or interest
paying agent and that it does not know the name and address of the current
dividend disbursing or interest paying agent.


3. As used in this paragraph:


i. A current claim means a written inquiry concerning non-payment or
incorrect payment of dividends or interest, the payment date for which
occurred within the preceding six months.


ii. An aged claim means a written inquiry concerning non-payment or incorrect
payment of dividends or interest, the payment date for which occurred more
than six months before the inquiry.


iii. Sufficient detail means a written inquiry or request that identifies: The
issue; the name(s) in which the securities are registered; the number of
shares (or principal amount of debt securities or number of units for any
other kind of security) involved; the approximate record date(s) or
payment date(s) relating to the claim; and, with respect to registered
broker-dealers, registered clearing agencies, or banks, certificate
numbers.


f. Telephone response.


1. A transfer agent may satisfy the written response requirements of this
section by a telephone response to the inquirer if:


i. The telephone response resolves that inquiry; and


ii. The inquirer does not request a written response.


2. When any person makes a written inquiry or request that would qualify under
paragraph (e) of this section except that it fails to provide sufficient
detail as specified in paragraph (e)(3)(iii) of this section, a registered
transfer agent may telephone the inquirer to obtain the necessary additional
detail within the time periods specified in paragraph (e)(1) of this
section. If the transfer agent does not receive the additional detail within
ten business days, the transfer agent immediately shall make a written
request for the additional information.

g.
1. When any person makes a written inquiry or request which would qualify under
paragraph (a), (b), (c), or (d) of this section except that it fails to
provide all of the information specified in those paragraphs, or requests
information which refers to a time earlier than the time periods specified
in those paragraphs, a registered transfer agent shall confirm promptly
receipt of the inquiry or request and respond to it as soon as possible.


2. When any person makes a written inquiry or request which would qualify under
paragraph (e) of this section except that it fails to provide sufficient
detail as specified in paragraph (e)(3)(iii) of this section, a registered
transfer agent must respond to the inquiry within the time periods specified
in paragraph (e)(1) of this section. A registered transfer agent may respond
to such an inquiry in accordance with paragraph (e)(1) of this section as
though sufficient detail had been provided, or may return it to the
inquirer, requesting the additional necessary details.



Regulatory History

42 FR 32413, June 24, 1977, as amended at 51 FR 5707, Feb. 18, 1986

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Originally posted by Mr Bill:
In terms of a FOIA inquiry on GVRP one of the most interesting pieces of information to know would be which insider(s) were involved in the selling of the 138,000 shares as well as who was buying on 5/20 and 5/23. This might be useful when trying to pressure the regulatory agencies into letting MAMG trade again and taking steps to require any insider with a short position to cover the short. Thoughts?

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Originally posted by Mr Bill:
I disagree, the OS should be 33M and the short position 414 BILLION. Auth remains at 100M. No share structure change until you clear the SHORT positions. Require short positions to be covered in normal timeframes given regulations. Why should these POS get to increase the OS to cover their SHORT position? When the OS was 11 there were about 180,000 shares sold. While the OS was 11 there were many shares in trader accounts that someone owed a short position on. Should be exactly the same before and after the FS. Shortie should be OBLIGATED TO COVER IN OPEN MARKET PLACE WITH NO PROTECTION WHAT SO EVER

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Originally posted by pcloadletter:
I still don't have have my shares!

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Posted by: Jim Bishop
In reply to: SSP who wrote msg# 71632 Date:8/7/2005 8:28:54 PM
Post #of 71725

These are terrific:

Posted by: lancebps
In reply to: None Date:8/7/2005 5:02:18 PM
Post #of 89830

The Mensa Invitational once again asked members to take any word from the dictionary, alter it by adding, subtracting, or changing one letter, and supply a new definition.

Here are this year's {2005} winners:

1. Intaxication: Euphoria at getting a tax refund, which lasts until you realize it was your money to start with.

2. Reintarnation: Coming back to life as a hillbilly

3. Bozone (n.): The substance surrounding stupid people that stops bright ideas from penetrating. The bozone layer, unfortunately, shows little sign of breaking down in the near future.

5. Cashtration (n.): The act of buying a house, which renders the subject financially impotent for an indefinite period.

6. Giraffiti: Vandalism spray-painted very, very high.

7. Sarchasm: The gulf between the author of sarcastic wit and the person who doesn't get it.

8. Inoculatte: To take coffee intravenously when you are running late.

9. Hipatitis: Terminal coolness.

10. Osteopornosis: A degenerate disease. (This one got extra credit.)

11. Karmageddon: It's like, when everybody is sending off all these really bad vibes, right? And then, like, the Earth explodes and it's like, a serious bummer.

12. Decafalon (n.): The grueling event of getting through the day consuming only things that are good for you.

13. Glibido: All talk and no action.

14. Dopeler effect: The tendency of stupid ideas to seem smarter when they come at you rapidly.

15. Arachnoleptic fit (n.): The frantic dance performed just after you've accidentally walked through a spider web.

16. Beelzebug (n.): Satan in the form of a mosquito, that gets into your bedroom at three in the morning and cannot be cast out.
17. Caterpallor (n.): The color you turn after finding half a worm in the fruit you're eating.

And the pick of the literature:

18. Ignoranus: A person who's both stupid and an ass

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