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Last Post: 6/26/2017 7:23:43 AM - Followers: 42 - Board type: Free - Posts Today: 5

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
#2230   6.23.17 .. Threshold fourkids_9pets 06/26/17 07:23:43 AM
#2229   6.22.17 .. Threshold fourkids_9pets 06/26/17 07:20:55 AM
#2228   6.21.17 .. Threshold fourkids_9pets 06/26/17 07:18:19 AM
#2227   6.20.17 .. Threshold fourkids_9pets 06/26/17 07:15:18 AM
#2226   6.19.17 .. Threshold fourkids_9pets 06/26/17 07:12:13 AM
#2225   6.16.17 .. Threshold fourkids_9pets 06/18/17 03:21:00 PM
#2224   6.15.17 .. Threshold fourkids_9pets 06/18/17 03:17:50 PM
#2223   6.14.17 .. Threshold fourkids_9pets 06/18/17 03:14:52 PM
#2222   6.13.17 .. Threshold fourkids_9pets 06/18/17 03:11:14 PM
#2221   6.12.17 .. Threshold fourkids_9pets 06/18/17 03:08:18 PM
#2220   High Times magazine sells to Bob Marley’s son, fourkids_9pets 06/16/17 12:23:38 PM
#2219   6.9.17 .. Threshold fourkids_9pets 06/10/17 03:13:29 PM
#2218   MassRoots Takes Strategic Position in High Times Holdings Corporation fourkids_9pets 06/09/17 11:11:36 AM
#2217   MSRT >> ROUND 7 >> Day 10 fourkids_9pets 06/09/17 08:43:15 AM
#2216   6.8.17 .. Threshold fourkids_9pets 06/09/17 08:42:12 AM
#2215   MSRT >> ROUND 7 >> Day 9 fourkids_9pets 06/08/17 04:53:39 PM
#2214   6.7.17 .. Threshold fourkids_9pets 06/08/17 04:52:30 PM
#2213   MSRT >> ROUND 7 >> Day 8 fourkids_9pets 06/07/17 08:36:56 AM
#2212   6.6.17 .. Threshold fourkids_9pets 06/07/17 08:36:01 AM
#2211   MassRoots Schedules Conference Call After Market Close on fourkids_9pets 06/07/17 08:30:36 AM
#2210   MassRoots Presentation Now Available for On-Demand Viewing fourkids_9pets 06/06/17 09:39:58 AM
#2209   MSRT >> ROUND 7 >> Day 7 fourkids_9pets 06/06/17 07:07:40 AM
#2208   6.5.17 .. Threshold fourkids_9pets 06/06/17 07:06:31 AM
#2207   MSRT >> ROUND 7 >> Day 6 fourkids_9pets 06/03/17 10:50:39 AM
#2206   6.2.17 .. Threshold fourkids_9pets 06/03/17 10:49:35 AM
#2205   MSRT >> ROUND 7 >> Day 5 fourkids_9pets 06/02/17 10:41:36 AM
#2204   6.1.17 .. Threshold fourkids_9pets 06/02/17 10:40:27 AM
#2203   MSRT >> ROUND 7 >> Day 4 fourkids_9pets 06/01/17 02:25:14 PM
#2202   5.31.17 .. Threshold fourkids_9pets 06/01/17 02:24:12 PM
#2201   MSRT >> ROUND 7 >> Day 3 fourkids_9pets 05/31/17 08:58:16 AM
#2200   5.30.17 .. Threshold fourkids_9pets 05/31/17 08:53:20 AM
#2199   MSRT >> ROUND 7 >> Day 2 fourkids_9pets 05/29/17 10:01:02 AM
#2198   5.26.17 .. Threshold fourkids_9pets 05/29/17 09:38:31 AM
#2197   MSRT >> ROUND 7 >> Day 1 fourkids_9pets 05/26/17 09:28:36 AM
#2196   5.25.17 .. Threshold fourkids_9pets 05/26/17 09:27:11 AM
#2195   5.24.17 .. Threshold fourkids_9pets 05/25/17 10:52:18 AM
#2194   5.23.17 .. Threshold fourkids_9pets 05/24/17 01:43:47 PM
#2193   MassRoots Provides Shareholder Update on Strategic Initiatives and fourkids_9pets 05/24/17 08:33:52 AM
#2192   5.22.17 .. Threshold fourkids_9pets 05/23/17 09:22:50 AM
#2191   5.19.17 .. Threshold fourkids_9pets 05/22/17 10:19:47 AM
#2190   MSRT >> 6 ROUNDS since coming public in fourkids_9pets 05/19/17 10:52:52 AM
#2189   5.18.17 .. Threshold fourkids_9pets 05/19/17 10:42:52 AM
#2188   MassRoots and Grownetics Partner to Analyze Data from fourkids_9pets 05/18/17 04:57:03 PM
#2187   MSRT .. *cant* help NR/CEs' *trolls* stuckonstoopid fourkids_9pets 05/18/17 02:50:37 PM
#2186   MSRT >> ROUND 6 >> Day 17 fourkids_9pets 05/18/17 07:23:46 AM
#2185   5.17.17 .. Threshold fourkids_9pets 05/18/17 07:21:40 AM
#2184   MSRT >> ROUND 6 >> Day 16 fourkids_9pets 05/17/17 09:21:48 AM
#2183   5.16.17 .. Threshold fourkids_9pets 05/17/17 09:19:14 AM
#2182   MSRT >> ROUND 6 >> Day 15 fourkids_9pets 05/16/17 05:34:43 AM
#2181   5.15.17 .. Threshold fourkids_9pets 05/16/17 05:32:15 AM
PostSubject