Nasdaq Regulation SHO Short Sale Threshold List For Friday, October 28, 2011
[url=http://www.nasdaqtrader.com/Trader.aspx?id=RegSHOThreshold]http://www.nasdaqtrader.com/Trader.aspx ... OThreshold[/url]
Regulation SHO Threshold List
REG SHO Overview
NASDAQ-Listed Securities
Effective, on January 3, 2005, as defined in Rule 203(c)(6) of Regulation SHO, a “threshold security” is any equity security of any issuer that is registered under Section 12 of the Exchange Act, or that is required to file reports under Section 15(d) of the Exchange Act (commonly referred to as reporting securities), where, for five consecutive settlement days:
[list]
[*]There are aggregate fails to deliver at a registered clearing agency of 10,000 shares or more per security;[/*:m]
[*]The level of fails is equal to at least one-half of one percent of the issuer’s total shares outstanding; and[/*:m]
[*]The security is included on a list published by a self-regulatory organization (SRO).[/*:m][/list:u]A security ceases to be a threshold security if it does not exceed the specified level of fails for five consecutive settlement days.
For detailed information, please visit the SEC’s website
On April 4, 2006, the Securities and Exchange Commission (SEC) approved new [url=http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3748]Rule 3210[/url], (superseded by [url=http://finra.complinet.com/en/display/display.html?rbid=2403&element_id=9398]Rule 4320[/url]), Short Sale Delivery Requirements, which applies short sale delivery requirements to those equity securities not otherwise covered by the delivery requirements of Regulation SHO, namely non-reporting OTC equity securities.[sup]1[/sup][url=http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3748]Rule 3210[/url], among other things, requires participants of registered clearing agencies to take action on failures to deliver that exist for 13 consecutive settlement days in certain non-reporting securities. In addition, if the fail to deliver position is not closed out in the requisite time period, a participant of a registered clearing agency or any broker-dealer for which it clears transactions is prohibited from effecting further short sales in the particular specified security without borrowing, or entering into a bona-fide arrangement to borrow, the security until the fail to deliver position is closed out.
Symbol|Security Name|Market Category|Reg SHO Threshold Flag|Rule 3210|Filler
AUNFF|AURCANA CORP|u|N|Y|
CEHD|CHINA ELECTRONICS HOLDINGS, IN|U|Y|N|
COBI|COMPASS BIOTECHNOLOGIES INC CO|U|Y|N|
CTESY|SINOTECH ENERGY LTD ADS|u|Y|N|
EMIS|EMISPHERE TECHNOLOGIES INC|U|Y|N|
FLRE|FLAMERET INC COM STK (NV)|u|Y|N|
HRBN|HARBIN ELEC INC|Q|Y|N|
HULL|Hull Energy, Inc. Common Stock|u|Y|N|
INDY|ISHARES S&P INDIA NIFTY 50 IND|G|Y|N|
LBAS|Location Based Technologies, I|U|Y|N|
NNAN|NATURALNANO INC|U|Y|N|
NXOI|Next 1 Interactive, Inc. Commo|U|Y|N|
PLZLY|POLYUS GOLD INTL LTD SPON GDR|u|N|Y|
QING|QINGDAO FOOTWEAR INC COM STK (|U|Y|N|
SAGE|SAGEBRUSH GOLD LTD COM STK (NV|U|Y|N|
SGLB|SIGMA LABS, INC. COMMON STOCK|U|Y|N|
SQQQ|PROSHARES ULTRAPRO SHORT QQQ|G|Y|N|
TNGN|TENGION INC COM STK (DE)|G|Y|N|
TZOO|TRAVELZOO INC|Q|Y|N|
VCRT|VICOR TECHNOLOGIES INC NEW COM|U|Y|N|
VONE|VANGUARD RUSSELL 1000 ETF|G|Y|N|
VTWO|VANGUARD RUSSELL 2000 ETF|G|Y|N|
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