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Last Post: 9/28/2016 8:45:17 AM - Followers: 44 - Board type: Free - Posts Today: 1
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
#1901  Sticky Note WERE PAPER LOSSES THE GOAL ALL ALONG? fourkids_9pets 09/28/16 08:45:17 AM
#921  Sticky Note FINRA Fines Merrill Lynch a Total of $6 fourkids_9pets 10/28/14 08:47:08 AM
#704  Sticky Note A Tale of Two Frauds: Part II Naked fourkids_9pets 03/17/14 08:02:58 PM
#567  Sticky Note Data Technical News #2013 - 34 fourkids_9pets 12/13/13 05:36:03 AM
#446  Sticky Note U.S. SEC charges 23 firms in short-sale crackdown; fourkids_9pets 09/17/13 08:11:54 PM
#429  Sticky Note Shorting America fourkids_9pets 08/27/13 12:46:08 PM
#1901   WERE PAPER LOSSES THE GOAL ALL ALONG? fourkids_9pets 09/28/16 08:45:17 AM
#1900   TURNING UP LIKE A BAD PENNY fourkids_9pets 09/27/16 08:37:25 AM
#1899   CALLING THE SEC fourkids_9pets 09/26/16 01:26:32 PM
#1898   THE MONEY IS GONE fourkids_9pets 09/25/16 10:41:46 AM
#1897   MassRoots Releases Fall 2016 Product Pipeline, to Host fourkids_9pets 09/20/16 08:39:26 AM
#1896   MassRoots Partners with Headset to Expand Business Analytics fourkids_9pets 09/13/16 11:17:42 AM
#1895   20160912/ MSRT / 111240 /0/ 182549 / fourkids_9pets 09/12/16 08:49:26 PM
#1894   MassRoots Releases Updated Business Portal, CEO to Host fourkids_9pets 09/12/16 11:17:01 AM
#1893   20160909/ MSRT / 85217 /0/ 177536 / fourkids_9pets 09/10/16 05:49:23 PM
#1892   20160908/ MSRT / 84189 /0/ 156113 / fourkids_9pets 09/09/16 04:20:22 PM
#1891   take it up with the *author* .. ;) fourkids_9pets 09/09/16 04:08:03 PM
#1890   So that "article" is actually an "advertorial", or janice shell 09/09/16 04:03:32 PM
#1889   Which Cannabis Stock is Poised to Benefit from fourkids_9pets 09/09/16 03:56:31 PM
#1888   Former MyPoints.com CEO Steve Markowitz Joins MassRoots’ Board fourkids_9pets 09/08/16 10:09:49 AM
#1887   GEVO .. fourkids_9pets 09/08/16 09:43:09 AM
#1886   GEVO volume avgs from just about one month fourkids_9pets 09/07/16 01:11:09 PM
#1885   GEVO .. fourkids_9pets 09/07/16 10:21:18 AM
#1884   Gevo Signs Heads of Agreement with Lufthansa fourkids_9pets 09/07/16 09:11:32 AM
#1883   9.6.16 .. Daily IB (legal shares to short) fourkids_9pets 09/06/16 11:32:41 AM
#1882   Detailed Quote:WATT fourkids_9pets 09/06/16 10:47:29 AM
#1881   Detailed Quote:WATT fourkids_9pets 08/29/16 10:03:27 AM
#1880   8.26.16 .. Daily IB (legal shares to short) fourkids_9pets 08/26/16 11:16:39 AM
#1879   MassRoots to Release Bigger Pins and Top List fourkids_9pets 08/25/16 01:14:34 PM
#1878   8.24.16 .. Daily IB (legal shares to short) fourkids_9pets 08/24/16 02:18:12 PM
#1877   MSRT ~ Cannabis Investing ~ Presentations fourkids_9pets 08/24/16 11:40:32 AM
#1876   MassRoots to Present at The MoneyShow Cannabis Investing fourkids_9pets 08/23/16 10:03:00 AM
#1875   MassRoots Launches Dispensary fourkids_9pets 08/22/16 08:48:02 AM
#1874   8.19.16 .. Daily IB (legal shares to short) fourkids_9pets 08/19/16 11:02:10 AM
#1873   20160818/ MSRT / 160123 /0/ 336882[ fourkids_9pets 08/18/16 08:23:05 PM
#1872   MassRoots/ MSRT Q2 Earnings Call and Transcript fourkids_9pets 08/18/16 10:55:37 AM
#1871   20160817/ MSRT / 98057 /0/ 163448 /O 59.99%[ fourkids_9pets 08/17/16 06:05:25 PM
#1870   MassRoots Releases Q2 Earnings Report, Shareholder Call to fourkids_9pets 08/17/16 04:26:02 PM
#1869   MassRoots ( MSRT ) to Release Q2 2016 Earnings fourkids_9pets 08/16/16 10:02:04 AM
#1868   8.12.16 .. Daily IB (legal shares to short) fourkids_9pets 08/12/16 01:11:21 PM
#1867   20160808/ MSRT / 100628 /0/ 189308 /O 53.15 fourkids_9pets 08/08/16 09:09:07 PM
#1866   Sweet thank you for your sentiments KrakenTaken 08/08/16 04:53:53 PM
#1865   GEVO .. fourkids_9pets 08/08/16 04:34:38 PM
#1864   imo CEs' (colluding entities) have a shit fourkids_9pets 08/08/16 04:33:42 PM
#1863   good or bad holding GEVO avg .57 tia KrakenTaken 08/08/16 03:21:13 PM
#1862   8.8.16 .. Daily IB (legal shares to short) fourkids_9pets 08/08/16 12:58:28 PM
#1861   GEVO .. note algo volume avgs re: 10 fourkids_9pets 08/08/16 11:51:10 AM
#1860   MSRT ~ volume being ramped .. yet again fourkids_9pets 08/08/16 11:45:33 AM
#1859   8.5.16 .. Threshold fourkids_9pets 08/06/16 02:46:54 PM
#1858   8.4.16 .. Threshold fourkids_9pets 08/06/16 02:42:37 PM
#1857   8.5.16 .. Daily IB (legal shares to short) fourkids_9pets 08/05/16 01:57:55 PM
#1856   for those new to GEVO .. fourkids_9pets 08/04/16 09:25:49 PM
#1855   or put another way .. fourkids_9pets 08/04/16 04:19:34 PM
#1854   GEVO vs SQ .. fourkids_9pets 08/04/16 04:01:50 PM
#1853   8.3.16 .. Threshold fourkids_9pets 08/04/16 02:15:32 PM
#1852   CEs ' (colluding entities) have real problems on [t fourkids_9pets 08/04/16 01:02:44 PM
PostSubject