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Threshold Triggered

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Last Post: 11/21/2018 11:40:17 AM - Followers: 38 - 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









 
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#429  Sticky Note Shorting America fourkids_9pets 08/27/13 12:46:08 PM
#2326   MSRT >> ROUND 11 & ROUND 12 fourkids_9pets 11/21/18 11:40:17 AM
#2325   APHQF .. reg sho >> 5.23.18 - 10.4.18 fourkids_9pets 10/22/18 03:10:52 PM
#2324   ACBFF .. reg sho >> 9.25.17 - 10.19.18 fourkids_9pets 10/22/18 03:03:27 PM
#2323   APHQF .. reg sho >> 5.23.18 - 9.25.18 fourkids_9pets 09/26/18 01:51:39 PM
#2322   ACBFF .. reg sho >> 9.25.17 - 9.25.18 fourkids_9pets 09/26/18 01:43:48 PM
#2321   APHQF .. reg sho >> 5.23.18 - 9.24.18 fourkids_9pets 09/25/18 10:24:34 AM
#2320   ACBFF .. reg sho >> 9.25.17 - fourkids_9pets 09/25/18 10:18:49 AM
#2319   CVSI >> ROUND 2 >> DAY 13 fourkids_9pets 09/05/18 09:48:47 AM
#2318   APHQF .. on reg sho >> 5.23.18 - fourkids_9pets 09/05/18 09:27:20 AM
#2317   ACBFF .. on reg sho from fourkids_9pets 09/05/18 09:21:51 AM
#2316   CVSI >> ROUND 2 >> DAY 11 fourkids_9pets 08/31/18 09:49:13 AM
#2315   CVSI >> ROUND 2 >> DAY 9 fourkids_9pets 08/29/18 09:36:58 AM
#2314   CVSI >> ROUND 2 >> DAY 8 fourkids_9pets 08/28/18 11:38:58 AM
#2313   MSRT >> ROUND 11 >> DAY 1 fourkids_9pets 08/28/18 10:45:26 AM
#2312   CVSI >> ROUND 2 >> DAY 7 fourkids_9pets 08/27/18 10:36:35 AM
#2311   APHQF >> on reg sho << 5.23.18 - fourkids_9pets 08/27/18 10:24:45 AM
#2310   ACBFF >> on reg sho from << fourkids_9pets 08/27/18 10:19:17 AM
#2309   CVSI >> ROUND 2 >> DAY 6 fourkids_9pets 08/24/18 09:26:32 AM
#2308   APHQF >> reg sho 5.23.18 - 8.23.18 fourkids_9pets 08/24/18 09:20:49 AM
#2307   ACBFF >> reg sho from 9.25.17 to 8.23.18 fourkids_9pets 08/24/18 09:15:51 AM
#2306   MSRT >> ROUND 10 >> DAY 5 fourkids_9pets 08/23/18 09:26:58 AM
#2305   CVSI >> ROUND 2 >> DAY 5 fourkids_9pets 08/23/18 08:58:47 AM
#2304   MSRT >> ROUND 10 >> DAY 4 fourkids_9pets 08/22/18 08:47:53 AM
#2303   CVSI >> ROUND 2 >> DAY 4 fourkids_9pets 08/22/18 08:41:17 AM
#2302   CVSI >> ROUND 2 >> DAY 3 fourkids_9pets 08/21/18 09:19:33 AM
#2301   MSRT >> ROUND 10 >> DAY 3 fourkids_9pets 08/21/18 09:04:55 AM
#2300   APHQF >> reg sho 5.23.18 - 8.20.18 fourkids_9pets 08/21/18 09:02:00 AM
#2299   ACBFF >> reg sho from 9.25.17 to 8.20.18 fourkids_9pets 08/21/18 08:58:22 AM
#2298   CVSI >> ROUND 2 >> DAY 2 fourkids_9pets 08/19/18 12:40:06 PM
#2297   MSRT >> ROUND 10 >> DAY 1 fourkids_9pets 08/17/18 11:32:47 AM
#2296   so NR (non retail) triggers reg sho on fourkids_9pets 08/16/18 05:57:30 PM
#2295   APHQF >> reg sho 5.23.18 - 8.15.18 fourkids_9pets 08/16/18 09:53:41 AM
#2294   ACBFF >> reg sho from 9.25.17 to 8.15.18 fourkids_9pets 08/16/18 09:51:30 AM
#2293   Thank you as well bud:) Hunchbackgeek 08/15/18 12:01:09 AM
#2292   thx for the read and link .. fourkids_9pets 08/14/18 01:42:25 PM
#2291   ACBFF "AURORA CANNABIS INTERNATIONAL OPERATIONAL UPDATE: COMPANY SHIPS Hunchbackgeek 08/14/18 11:26:06 AM
#2290   APHQF >> reg sho 5.23.18 - 8.13.18 fourkids_9pets 08/14/18 11:19:48 AM
#2289   ACBFF >> reg sho from 9.25.17 to 8.13.18 fourkids_9pets 08/14/18 11:17:41 AM
#2288   APHQF >> reg sho 5.23.18 - 8.9.18 fourkids_9pets 08/10/18 10:19:13 AM
#2287   ACBFF >> reg sho from 9.25.17 to 8.9.18 fourkids_9pets 08/10/18 10:16:35 AM
#2286   MassRoots Schedules Conference Call on August 14, 2018 fourkids_9pets 08/10/18 10:02:00 AM
#2285   APHQF >> reg sho 5.23.18 - 8.8.18 fourkids_9pets 08/09/18 01:58:55 PM
#2284   ACBFF >> reg sho from 9.25.17 to 8.8.18 fourkids_9pets 08/09/18 01:56:31 PM
#2283   MSRT >> ROUND 9 >> DAY 9 fourkids_9pets 08/09/18 12:48:17 PM
#2282   MSRT >> ROUND 9 >> DAY 8 fourkids_9pets 08/07/18 11:31:47 AM
#2281   MSRT >> ROUND 9 >> DAY 7 fourkids_9pets 08/04/18 03:05:48 PM
#2280   APHQF >> reg sho 5.23.18 - 8.2.18 fourkids_9pets 08/03/18 10:59:41 AM
#2279   ACBFF >> reg sho from 9.25.17 to 8.2.18 fourkids_9pets 08/03/18 10:55:06 AM
#2278   MassRoots Releases Shareholder Update and Plans for Continued fourkids_9pets 08/03/18 10:17:53 AM
#2277   MSRT >> ROUND 9 >> DAY 6 fourkids_9pets 08/03/18 10:15:02 AM
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