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Threshold Triggered

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Last Post: 2/26/2017 2:19:03 PM - Followers: 42 - 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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#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
#2094   2.24.17 .. Threshold fourkids_9pets 02/26/17 02:19:03 PM
#2093   2.23.17 .. Threshold fourkids_9pets 02/26/17 02:12:50 PM
#2092   2.22.17 .. Threshold fourkids_9pets 02/23/17 10:59:35 AM
#2091   2.21.17 .. Threshold fourkids_9pets 02/22/17 06:46:10 PM
#2090   2.17.17 .. Threshold fourkids_9pets 02/21/17 08:18:51 AM
#2089   MSRT /MassRoots Provides Business Update and Company Outlook fourkids_9pets 02/17/17 09:05:47 AM
#2088   2.16.17 .. Threshold fourkids_9pets 02/17/17 08:55:47 AM
#2087   2.15.17 .. Threshold fourkids_9pets 02/16/17 10:45:56 AM
#2086   2.14.17 .. Threshold fourkids_9pets 02/15/17 10:48:58 AM
#2085   2.13.17 .. Threshold fourkids_9pets 02/14/17 09:50:33 AM
#2084   MSRT >> ROUND 5 >> Day 8 fourkids_9pets 02/13/17 08:36:22 AM
#2083   2.10.17 .. Threshold fourkids_9pets 02/13/17 08:35:23 AM
#2082   MSRT >> ROUND 5 >> Day 7 fourkids_9pets 02/10/17 07:51:48 AM
#2081   2.9.17 .. Threshold fourkids_9pets 02/10/17 07:50:27 AM
#2080   MSRT >> ROUND 5 >> Day 6 fourkids_9pets 02/09/17 08:19:04 AM
#2079   DRYS .. reg sho triggered countdown underway .. fourkids_9pets 02/09/17 08:17:56 AM
#2078   2.8.17 .. Threshold fourkids_9pets 02/09/17 08:14:07 AM
#2077   MassRoots/ MSRT Schedules Conference Call on February 13, 2017 fourkids_9pets 02/08/17 08:47:56 AM
#2076   MSRT >> ROUND 5 >> Day 5 fourkids_9pets 02/08/17 08:40:24 AM
#2075   2.7.17 .. Threshold fourkids_9pets 02/08/17 08:38:51 AM
#2074   MSRT >> ROUND 5 >> Day 4 fourkids_9pets 02/07/17 08:50:21 AM
#2073   2.6.17 .. Threshold fourkids_9pets 02/07/17 08:45:49 AM
#2072   MSRT >> REG SHO/Threshold Triggered >> 4 ROUNDS fourkids_9pets 02/04/17 12:47:45 PM
#2071   2.3.17 .. Threshold fourkids_9pets 02/04/17 12:02:36 PM
#2070   2.2.17 .. Threshold fourkids_9pets 02/03/17 11:22:28 AM
#2069   2.1.17 .. Threshold fourkids_9pets 02/02/17 09:00:25 AM
#2068   DRYS .. reg sho triggered countdown underway .. fourkids_9pets 02/01/17 06:58:51 PM
#2067   1.31.17 .. Threshold fourkids_9pets 02/01/17 08:48:34 AM
#2066   re: DRYS .. ;) .. LMAO at the fourkids_9pets 01/31/17 07:40:38 PM
#2065   1.30.17 .. Threshold fourkids_9pets 01/31/17 08:41:38 AM
#2064   MassRoots Secures Tom Angell as Senior Political Correspondent fourkids_9pets 01/31/17 08:31:40 AM
#2063   let's see how quickly DRYS returns to the fourkids_9pets 01/30/17 08:04:34 PM
#2062   Detailed Quote:WATT fourkids_9pets 01/30/17 07:26:23 PM
#2061   WATT .. getting interesting again .. ;) fourkids_9pets 01/28/17 06:58:53 PM
#2060   GEVO .. ;) fourkids_9pets 01/28/17 12:54:14 PM
#2059   1.27.17 .. Threshold fourkids_9pets 01/28/17 12:40:52 PM
#2058   1.26.17 .. Threshold fourkids_9pets 01/27/17 08:59:11 AM
#2057   MassRoots to Release Revamped Website in Anticipation of fourkids_9pets 01/26/17 01:12:30 PM
#2056   1.25.17 .. Threshold fourkids_9pets 01/26/17 07:06:21 AM
#2055   Gevo Regains Compliance with NASDAQ Minimum Bid Price fourkids_9pets 01/25/17 09:28:36 AM
#2054   1.24.17 .. Threshold fourkids_9pets 01/25/17 07:55:11 AM
#2053   1.23.17 .. Threshold fourkids_9pets 01/24/17 08:21:10 AM
#2052   GEVO .. and speaking of *resets* .. ;) fourkids_9pets 01/23/17 09:13:39 PM
#2051   GEVO .. fourkids_9pets 01/21/17 12:35:44 PM
#2050   1.20.17 .. Threshold fourkids_9pets 01/21/17 11:14:32 AM
#2049   1.19.17 .. Threshold fourkids_9pets 01/20/17 09:09:55 AM
#2048   1.18.17 .. Threshold fourkids_9pets 01/19/17 08:02:19 AM
#2047   1.17.16 .. Threshold fourkids_9pets 01/18/17 07:55:29 AM
#2046   ever notice how hedgie trolls will *create* expertise fourkids_9pets 01/17/17 02:03:22 PM
#2045   EPA Approves Pathway for Isobutanol as an Advanced Biofuel fourkids_9pets 01/17/17 09:17:26 AM
PostSubject