But, as a result of lobbying by Wall Street, those curbs were watered down and mostly eliminated along with the uptick rule, etc.

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Waldman points out that the SEC still has the power to act under rule 10b-5, but shareholders, investors, etc. do not.

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The general rule is that knighthoods go with first names and that peerages (Lords, Barons, Dukes etc) go with surnames.

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