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Last Post: 4/29/2017 10:07:36 AM - 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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#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
#2157   MSRT >> ROUND 6 >> Day 4 fourkids_9pets 04/29/17 10:07:36 AM
#2156   4.28.17 .. Threshold fourkids_9pets 04/29/17 10:05:21 AM
#2155   MSRT >> ROUND 6 >> Day 3 fourkids_9pets 04/28/17 10:57:40 AM
#2154   4.27.17 .. Threshold fourkids_9pets 04/28/17 10:54:33 AM
#2153   MSRT >> ROUND 6 >> Day 2 fourkids_9pets 04/27/17 08:10:10 AM
#2152   4.26.17 .. Threshold fourkids_9pets 04/27/17 08:03:42 AM
#2151   gotta love those monster t trades done on fourkids_9pets 04/26/17 07:39:02 PM
#2150   MSRT >> ROUND 6 >> Day 1 fourkids_9pets 04/26/17 09:05:14 AM
#2149   4.25.17 .. Threshold fourkids_9pets 04/26/17 09:03:41 AM
#2148   4.24.17 .. Threshold fourkids_9pets 04/25/17 09:48:39 AM
#2147   4.21.17 .. Threshold fourkids_9pets 04/22/17 01:11:11 PM
#2146   4.20.17 .. Threshold fourkids_9pets 04/21/17 10:03:13 AM
#2145   MassRoots Partners with Marijuana Industry Group, Lyft and fourkids_9pets 04/20/17 06:41:17 PM
#2144   GIGL .. currently 2 rounds .. (5 days fourkids_9pets 04/20/17 12:36:20 PM
#2143   4.19.17 .. Threshold fourkids_9pets 04/20/17 11:39:58 AM
#2142   MassRoots Partners with Whoopi & Maya as Part fourkids_9pets 04/20/17 09:18:04 AM
#2141   4.18.17 .. Threshold fourkids_9pets 04/19/17 09:26:47 AM
#2140   4.17.17 .. Threshold fourkids_9pets 04/18/17 12:05:46 PM
#2139   4.13.17 .. Threshold fourkids_9pets 04/14/17 07:05:58 AM
#2138   4.12.17 .. Threshold fourkids_9pets 04/13/17 10:41:13 AM
#2137   4.11.17 .. Threshold fourkids_9pets 04/12/17 10:08:49 AM
#2136   4.10.17 .. Threshold fourkids_9pets 04/11/17 09:20:09 AM
#2135   4.7.17 .. Threshold fourkids_9pets 04/08/17 08:13:42 PM
#2134   4.6.17 .. Threhold fourkids_9pets 04/07/17 07:43:03 AM
#2133   4.5.17 .. Threshold fourkids_9pets 04/06/17 09:28:55 AM
#2132   4.4.17 .. Threshold fourkids_9pets 04/05/17 08:06:30 PM
#2131   4.3.17 .. Threshold fourkids_9pets 04/04/17 10:09:13 AM
#2130   MassRoots Accelerates Growth Initiatives as it Launches Updated fourkids_9pets 04/03/17 08:51:32 AM
#2129   MSRT >> Historical Short Volume >> March 2017 fourkids_9pets 04/02/17 07:12:04 PM
#2128   3.31.17 .. Threshold fourkids_9pets 04/01/17 04:50:45 PM
#2127   3.30.17 .. Threshold fourkids_9pets 03/31/17 10:10:22 AM
#2126   3.29.17 .. Threshold fourkids_9pets 03/30/17 06:19:58 PM
#2125   MassRoots Receives US$450,000 in Proceeds from Early Exercise fourkids_9pets 03/30/17 06:15:08 PM
#2124   3.28.17 .. Threshold fourkids_9pets 03/29/17 02:38:56 PM
#2123   3.27.17 .. Threshold fourkids_9pets 03/28/17 08:35:23 AM
#2122   MassRoots Launches New Website and Accelerates User Acquisition fourkids_9pets 03/27/17 09:13:04 AM
#2121   3.24.17 .. Threshold fourkids_9pets 03/25/17 11:56:03 AM
#2120   3.23.17 .. Threshold fourkids_9pets 03/24/17 02:09:05 PM
#2119   3.22.17 .. Threshold fourkids_9pets 03/23/17 10:47:03 AM
#2118   3.21.17 .. Threshold fourkids_9pets 03/22/17 09:24:19 AM
#2117   MassRoots Approved for Google Play fourkids_9pets 03/22/17 09:19:03 AM
#2116   3.20.17 .. Threshold fourkids_9pets 03/21/17 12:07:33 PM
#2115   MassRoots Announces One Million Registered Users fourkids_9pets 03/20/17 09:09:40 AM
#2114   3.17.17 .. Threshold fourkids_9pets 03/18/17 12:58:06 PM
#2113   3.16.17 .. Threshold fourkids_9pets 03/17/17 09:03:34 AM
#2112   3.15.17 .. Threshold fourkids_9pets 03/16/17 09:45:09 AM
#2111   3.14.17 .. Threshold fourkids_9pets 03/15/17 08:54:57 AM
#2110   MassRoots Retires All Remaining Convertible Debt fourkids_9pets 03/15/17 08:28:35 AM
#2109   3.13.17 .. Threshold fourkids_9pets 03/14/17 11:49:32 AM
#2108   3.10.17 .. Threshold fourkids_9pets 03/11/17 09:35:11 AM
PostSubject