Threshold Triggered

[fourkids_9pets]

10.10.16 .. Threshold

Trade Date Download Link File Creation Timestamp
Monday, October 10, 2016
Download
10/10/2016 11:00:22 PM
Threshold Security List

 Symbol	Security Name	Market Category	Reg SHO Threshold Flag	Rule 3210 
  
 ALTY	GLOBAL X FDS SUPERDIVIDEND ALT	G	Y	N 
 APRI	APRICUS BIOSCIENCES, INC COM S	S	Y	N 
 BSPM	BIOSTAR PHARMACEUTICALS INC CO	S	Y	N 
 CATH	GLOBAL X FDS GLOBAL X S&P 500	G	Y	N 
 CDC	VICTORY PORTFOLIOS II CEMP US	G	Y	N 
 CFA	VICTORY PORTFOLIOS II CEMP US	G	Y	N 
 CID	VICTORY PORTFOLIOS II CEMP INT	G	Y	N 
 DWAC	ELKHORN ETF TR COMMODITY ROTAT	G	Y	N 
 FEM	FIRST TRUST EMERGING MARKETS A	G	Y	N 
 FKO	FIRST TRUST SOUTH KOREA ALPHAD	G	Y	N 
 FPXI	FIRST TR ETF II INTL IPO ETF (	G	Y	N 
 FTSM	FIRST TR ENHANCED TRADED FD IV	G	Y	N 
 FYC	FIRST TRUST SMALL CAP GROWTH A	G	Y	N 
 FYT	FIRST TRUST SMALL CAP VALUE A	G	Y	N 
 GALT	GALECTIN THERAPEUTICS INC. COM	S	Y	N 
 KWEB	KRANESHARES TR CSI CHINA INTER	G	Y	N 
 LPTH	LIGHTPATH TECHNOLOGIES INC	S	Y	N 
 NVFY	NOVA LIFESTYLE INC COM STK	G	Y	N 
 PNQI	POWERSHARES NASDAQ INTERNET PO	G	Y	N 
 RGSE	REAL GOODS SOLAR INC CL A NEW	S	Y	N 
 SOCL	GLOBAL X SOCIAL MEDIA INDEX	G	Y	N 
 SOXX	ISHARES PHLX SEMICONDUCTOR ETF	G	Y	N 
 SRET	GLOBAL X FDS SUPERDIVIDEND REI	G	Y	N 
 TQQQ	PROSHARES ULTRAPRO QQQ	        G	Y	N 
 TVIX	CREDIT SUISSE AG NASSAU BRH VE	G	Y	N 
 ZBIO	PROSHARES TR ULTRAPRO SHORT NA	G	Y	N

OTC Threshold Securities as of Oct 10, 2016 Threshold Issue Data Information
Issue


nothing showing for 10.10.16 ..

NOTE: If an OTC Threshold list is not available for a certain date, firms must use the prior day’s OTC Threshold list to comply with Rule 203(b)(3) of Regulation SHO or FINRA Rule 4320 until the relevant OTC Threshold list becomes available. Once available, firms must analyze the OTC Threshold list to ensure full compliance with the aforementioned rules. Similarly, if FINRA publishes an updated OTC Threshold list, firms must review the new list to determine whether any additional action must be taken to maintain compliance with the rules. Be aware that in situations where the OTC Threshold list was posted late, or was amended by FINRA on a subsequent date, that list will be reflected in the archives with a date/timestamp that is later than the date contained in the name of the list.

link back for 10.7.16 data ~