SureTrader SureTrader SureTrader
Home > Boards > Free Zone > Education >

Threshold Triggered

RSS Feed
      Hide Sticky   Hide Intro
Moderator: fourkids_9pets Assistants:
Search This Board:
Last Post: 1/23/2017 9:13:39 PM - 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
#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
#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
#2044   MSRT .. *legal short* (vs abusive) .. ;) fourkids_9pets 01/14/17 01:44:18 PM
#2043   Resources: http://www.shareintel.com/resources.cfm original link/post courtesy of fourkids_9pets 01/14/17 11:49:28 AM
#2042   1.13.17 .. Threshold fourkids_9pets 01/14/17 08:31:22 AM
#2041   GEVO .. ;) fourkids_9pets 01/14/17 08:04:39 AM
#2040   GEVO .. fourkids_9pets 01/13/17 02:00:46 PM
#2039   1.12.17 .. Threshold fourkids_9pets 01/13/17 01:54:01 PM
#2038   1.11.17 .. Threshold fourkids_9pets 01/13/17 01:49:18 PM
#2037   1.10.17 .. Threshold fourkids_9pets 01/13/17 01:46:00 PM
#2036   1.9.17 .. Threshold fourkids_9pets 01/13/17 01:42:08 PM
#2035   1.6.17 .. Threshold fourkids_9pets 01/13/17 01:38:53 PM
#2034   1.5.17 .. Threshold fourkids_9pets 01/13/17 01:35:31 PM
#2033   1.4.17 .. Threshold fourkids_9pets 01/13/17 01:32:05 PM
#2032   1.3.17 .. Threshold fourkids_9pets 01/13/17 01:28:23 PM
#2031   12.30.16 .. Threshold fourkids_9pets 01/13/17 01:24:22 PM
#2030   12.29.16 .. Threshold fourkids_9pets 01/13/17 01:19:34 PM
#2029   12.28.16 .. Threshold fourkids_9pets 01/13/17 01:14:52 PM
#2028   12.27.16 .. Threshold fourkids_9pets 01/13/17 01:11:16 PM
#2027   12.23.16 .. Threshold fourkids_9pets 01/13/17 01:07:25 PM
#2026   12.22.16 .. Threshold fourkids_9pets 01/13/17 10:35:56 AM
#2025   12.21.16 .. Threshold fourkids_9pets 01/13/17 10:20:51 AM
#2024   12.20.16 .. Threshold fourkids_9pets 01/13/17 10:16:17 AM
#2023   12.19.16 .. Threshold fourkids_9pets 01/13/17 10:11:48 AM
#2022   MassRoots Recruits Daniel Droller as Vice President of fourkids_9pets 01/13/17 08:17:33 AM
#2021   12.16.16 .. Threshold fourkids_9pets 01/12/17 01:47:16 PM
#2020   12.15.16 .. Threshold fourkids_9pets 01/12/17 01:40:37 PM
#2019   12.14.16 .. Threshold fourkids_9pets 01/12/17 01:31:09 PM
#2018   12.13.16 .. Threshold fourkids_9pets 01/12/17 01:26:23 PM
#2017   12.12.16 .. Threshold fourkids_9pets 01/12/17 01:22:28 PM
#2016   12.9.16 .. Threshold fourkids_9pets 01/12/17 01:17:35 PM
#2015   12.8.16 .. Threshold fourkids_9pets 01/12/17 01:13:58 PM
#2014   12.7.16 .. Threshold fourkids_9pets 01/12/17 01:09:29 PM
#2013   12.6.16 .. Threshold fourkids_9pets 01/12/17 01:05:58 PM
#2012   12.5.16 .. Threshold fourkids_9pets 01/12/17 12:59:53 PM
#2011   12.2.16 .. Threshold fourkids_9pets 01/12/17 12:51:48 PM
#2010   12.1.16 .. Threshold fourkids_9pets 01/12/17 12:48:23 PM
#2009   11.30.16 .. Threshold fourkids_9pets 01/12/17 12:44:44 PM
#2008   11.29.16 .. Threshold fourkids_9pets 01/12/17 12:40:05 PM
#2007   11.28.16 .. Threshold fourkids_9pets 01/12/17 12:36:28 PM
#2006   GEVO .. fourkids_9pets 01/12/17 12:08:05 PM
#2005   GEVO per FIDO today .. fourkids_9pets 01/11/17 01:14:05 PM
#2004   MassRoots Receives $2.0 Million in Proceeds from Warrant Exercise fourkids_9pets 01/11/17 01:01:08 PM
#2003   11.25.16 .. Threshold fourkids_9pets 01/11/17 12:40:05 PM
PostSubject