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Last Post: 12/6/2016 8:45:51 AM - Followers: 44 - Board type: Free - Posts Today: 0
THRESHOLD



A security will be placed on the threshold list if it has a significant fail to deliver position for at least 5 business days. The threshold qualifications are different for SEC reporting issuers and non-SEC reporting issuers (see definitions). Reporting companies are governed by  Reg SHO and non-reporting companies are governed by  Rule 4320



REG SHO Overview

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:

There are aggregate fails to deliver at a registered clearing agency of 10,000 shares or more per security;
The level of fails is equal to at least one-half of one percent of the issuer's total shares outstanding; and
The security is included on a list published by a self-regulatory organization (SRO).


A security ceases to be a threshold security if it does not exceed the specified level of fails for five consecutive settlement days.

http://www.nasdaqtrader.com/trader.aspx?id=RegSHOThreshold

 
 

FINRA Rule 4320 defines threshold securities as any equity security of an issuer that is not an SEC reporting security and, for five consecutive settlement days, has:

  • aggregate fails to deliver at a registered clearing agency of 10,000 shares or more; AND
    a reported last sale during normal market hours (9:30 a.m. to 4 p.m., ET) for the security on that settlement day that would value the aggregate fail to deliver position at $50,000 or more.
 
     Market Category Counts      OTCBB (U)  Other OTC (u)   NASDAQ (Q,G,S) 


threshold is updated each evening at approximately 11 PM

======

some other links worth bookmarking

http://www.sec.gov/

http://www.finra.org/

http://failstodeliver.com/default.aspx

reg sho >> daily short sale data for OTC

http://regsho.finra.org/regsho-Index.html

for big board co.s >> one has to *collate* daily reg sho
data reported from each link listed via

http://www.sec.gov/answers/shortsalevolume.htm









 
PostSubject
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#1970   MassRoots and MJ Freeway Partner on Live Menu Pricing fourkids_9pets 12/05/16 10:06:00 AM
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#1968   Gevo's Fuel to Power Alaska Airlines Flight #4 fourkids_9pets 11/14/16 10:04:24 AM
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#1965   MassRoots Releases Community-Driven Product and Strain Reviews fourkids_9pets 11/02/16 09:41:15 AM
#1964   MassRoots Raises $250,000 for Marijuana Campaigns and Non-Profits fourkids_9pets 11/01/16 09:34:09 AM
#1963   Why MassRoots Stock Could Soar After Nov. 8 fourkids_9pets 10/31/16 09:07:07 AM
#1962   10.21.16 .. Threshold fourkids_9pets 10/24/16 01:59:50 PM
#1961   MassRoots Completes $5.0 Million Equity Financing fourkids_9pets 10/21/16 08:54:40 AM
#1960   10.20.16 .. Threshold fourkids_9pets 10/21/16 07:35:26 AM
#1959   10.19.16 .. Threshold fourkids_9pets 10/20/16 09:14:25 AM
#1958   10.18.16 .. Threshold fourkids_9pets 10/19/16 07:43:09 AM
#1957   speaking of monster t trades that bypass reg fourkids_9pets 10/18/16 06:56:08 PM
#1956   10.17.16 .. Threshold fourkids_9pets 10/18/16 08:49:31 AM
#1955   Aphria and MassRoots Partner in One of First fourkids_9pets 10/18/16 08:06:01 AM
#1954   10.14.16 .. Threshold fourkids_9pets 10/17/16 08:53:44 AM
#1953   10.13.16 .. Threshold fourkids_9pets 10/14/16 09:26:22 AM
#1952   10.12.16 .. Threshold fourkids_9pets 10/13/16 09:27:02 AM
#1951   10.11.16 .. Threshold fourkids_9pets 10/12/16 09:06:12 AM
#1950   10.10.16 .. Threshold fourkids_9pets 10/11/16 07:14:13 PM
#1949   Gevo Produces First Cellulosic Renewable Jet Fuel Specified fourkids_9pets 10/11/16 09:38:25 AM
#1948   MassRoots ( MSRT ) Closes $3.2 Million Equity Financing to fourkids_9pets 10/10/16 09:09:41 AM
#1947   10.7.16 .. Threshold fourkids_9pets 10/10/16 08:22:56 AM
#1946   10.6.16 .. Threshold fourkids_9pets 10/07/16 09:33:34 AM
#1945   MassRoots' March 2016 Convertible Debt Repaid In Full fourkids_9pets 10/07/16 09:09:50 AM
#1944   10.5.16 .. Threshold fourkids_9pets 10/06/16 08:54:11 AM
#1943   10.4.16 .. Threshold fourkids_9pets 10/05/16 10:49:59 AM
#1942   10.3.16 .. Threshold fourkids_9pets 10/04/16 09:29:15 AM
#1941   9.30.16 .. Threshold fourkids_9pets 10/02/16 04:38:24 PM
#1940   9.29.16 .. Threshold fourkids_9pets 10/02/16 04:34:42 PM
#1939   9.28.16 .. Threshold fourkids_9pets 10/02/16 04:25:06 PM
#1938   9.27.16 .. Threshold fourkids_9pets 10/02/16 04:21:34 PM
#1937   9.26.16 .. Threshold fourkids_9pets 10/02/16 04:18:05 PM
#1936   9.23.16 .. Threshold fourkids_9pets 10/02/16 04:14:58 PM
#1935   9.22.16 .. Threshold fourkids_9pets 10/02/16 04:09:23 PM
#1934   9.21.16 .. Threshold fourkids_9pets 10/02/16 04:06:15 PM
#1933   9.20.16 .. Threshold fourkids_9pets 10/02/16 04:02:48 PM
#1932   9.19.16 .. Threshold fourkids_9pets 10/02/16 02:33:42 PM
#1931   9.16.16 .. Threshold fourkids_9pets 10/02/16 01:18:48 PM
#1930   9.15.16 .. Threshold fourkids_9pets 10/02/16 01:14:34 PM
#1929   9.14.16 .. Threshold fourkids_9pets 10/02/16 01:11:11 PM
#1928   9.13.16 .. Threshold fourkids_9pets 10/02/16 01:07:25 PM
#1927   9.12.16 .. Threshold fourkids_9pets 10/02/16 01:04:12 PM
#1926   9.9.16 .. Threshold fourkids_9pets 10/02/16 01:00:35 PM
#1925   9.8.16 .. Threshold fourkids_9pets 10/02/16 12:57:00 PM
#1924   9.7.16 .. Threshold fourkids_9pets 10/02/16 12:52:59 PM
#1923   9.6.16 .. Threshold fourkids_9pets 10/02/16 12:48:28 PM
#1922   9.2.16 .. Threshold fourkids_9pets 10/02/16 12:44:31 PM
PostSubject