SEC FOIA

  DTC

the SEC obtained information from the Depository Trust Company, the National Securities Clearing Corp., and LoanNet, Inc. (which lends securities for use in short-selling). 

pg 8:

https://cryptome.wikileaks.org/nara/sec/sec-03-0916.pdf

 In order to identify short sales, in addition to reviewing bluesheet information, we obtained data about short sales from the Depository Trust Company, the National Securities Clearing Corporation and from LoanNet Inc. 

pg: 3

https://unredacted.com/wp-content/uploads/2010/04/9-11-sec-report.pdf

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SEISINT

At the conclusion of the investigation, the SEC gave DOl a CD containing all the relevant trades the SEC and the SROs had found. Cella then accompanied Paul Johns of DOJ and FBI agent Gurvais Grigg to Seisint, a DOJ contractor based in Virgina, where Seisint's computer experts "sliced and diced" the data on its powerful computers to generate a series of reports. Johns, Grigg, and Cella reviewed these reports, which revealed no evidence of illicit trading. Cella said the CD contained all of the trading information obtained through the blue-sheeting process, which is a tremendous amount of data

pg: 9

https://cryptome.wikileaks.org/nara/sec/sec-03-0916.pdf

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SUNGARD/LOANNET subpoena:

On September 28, 2001, the Securities and Exchange Commission (SEC) (SEC) initiated a formal order of investigation regarding LoanNet. This investigation was prompted by information from SunGuard Securities Finance Inc, LoanNet's parent company, indicating a need for a subpoena to obtain records. The CFTC was also reportedly reviewing trading in financial futures products around the same time. 

the SEC obtained information from the Depository Trust Company, the National Securities Clearing Corp., and LoanNet, Inc. (which lends securities for use in short-selling). 

pg 8

https://cryptome.wikileaks.org/nara/sec/sec-03-0916.pdf

pg:3

 In order to identify short sales, in addition to reviewing bluesheet information, we obtained data about short sales from the Depository Trust Company, the National Securities Clearing Corporation and from LoanNet Inc. 

LoanNet facilitates lending of securities to deliver to complete a short sale transaction. Counsel for SunGuard Securities Finance Inc., LoanNet's parent company, notified the staff that a subpoena would be required for the production of any records. Accordingly, the staff sought a formal order of investigation from the Commission on September 28, 2001. 

Pre-September 11, 2001 Trading Review

unredacted.com

https://unredacted.com › 2010/04 › 9-11-sec-report

PDF

May 15, 2002 — 6. LoanNet facilitates lending of securities to deliver to complete a short sale transaction. Counsel for SunGuard Securities Finance Inc ...

--Records for all 65 firms contacted for XL bluesheet data

Records for all 43 Firms contacted for AIG bluesheet data

Records for all 10 firms contacted for MMC bluesheet data 

-The NYSE obtained bluesheet information for XL Capital common stock for the period of September 4, 2001 through September 10 2001, from a total of 65 firms

-The NYSE obtained bluesheet information for AIG common stock for the period of September 4, 2001 through September 10 2001, from 43 firms

-The NYSE obtained bluesheet information for Marsh & Mclennan common stock for the period of September 4, 2001 through September 10 2001, from 10 firms

These firms were selected based on either the volume of selling activity or a shift in concentration from buying activity prior to the review period of selling activity during the review period.

pg 16:

https://nsarchive.files.wordpress.com/2010/04/9-11-sec-report.pdf

https://unredacted.com/wp-content/uploads/2010/04/9-11-sec-report.pdf