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.
The Securities and Exchange Commission (SEC) has amended Regulation SHO to eliminate the “grandfather provision” effective October 15, 2007. Please refer to Regulatory Alert #2007-086 for complete details.
On January 2, 2007, a Regulation SHO Threshold List for NASDAQ and OTCBB stocks was not published on NASDAQTrader.com. As a result, certain original published Regulation SHO Threshold/NASD 3210 Lists listed below have been modified. Please review General News 2007-022 for complete details.
Certain securities included in the July 7, 2006, Regulation SHO Threshold List published on the NASDAQ Trader website should not have been included. Firms are advised to refer to NASDAQ's General News item and review the revised list of securities subject to the Regulation SHO requirements for July 7, 2006.
For detailed information, please visit the SEC's website at:
Trade Date Download Link File Creation Timestamp Friday, May 21, 2010 Download 5/21/2010 11:00:04 PM Threshold Security List
Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210 ACLH ACT CLEAN TECHNOLOGIES, INC. C u N Y ACWX ISHARES MSCI ACWI EX US INDEX G Y N AICPQ AICI CAP TST 9% PFD SECS u Y N AIXG AIXTRON AKTEINGESESELLSCHAFT A Q Y N AMEL AMERILITHIUM CORP COM STK (NV) U Y N AMTC AMERITRANS CAPITAL CORPORATION S Y N ATTD ATTITUDE DRINKS INC COMMON U Y N BNPQY BNP PARIBAS SPONS ADR u N Y CCTR China Crescent Enterprises, In U Y N CHIO CHINA INSONLINE CORP COM S Y N CHNC CHINA INFRASTRUCTURE CONSTRUCT U Y N CLQMF CANADA LITHIUM CORP ORDINARY S u N Y CTPZY COMP DE TRAN PAULISTA ADR u N Y CVVUF CanAlaska Uranium Ltd. Ordinar U Y N DPMLF DUNDEE PRECIOUS METALS INC u N Y EUBK EUROBANCSHARES, INC. u Y N FNXMF FNX MNG CO INC u N Y FRCMQ FAIRPOINT COMMUNICATIONS INC. u Y N FTBK FRONTIER FINL CORP NEW COM STK u Y N FXFL Flex Fuels Energy, Inc. Common U Y N GEVI General Environmental Manageme U Y N GGCRF GENCO RESOURCES LTD u Y N IFLG INFOLOGIX INC COM STK (DE) S Y N ISCHY Israel Chemicals Limited Unspo u N Y KBLB KRAIG BIOCRAFT LABORATORIES IN U Y N MURZY MURRAY & ROBERTS HLDG LTD ORD u N Y RMIXQ U.S. CONCRETE INC u Y N RNWF Renewal Fuels, Inc. Common Sto u N Y SANWU S&W SEED CO UIT (DE) S Y N SGSVF SABINA GOLD & SILVER CORP ORDI u N Y SQQQ PROSHARES ULTRAPRO SHORT QQQ G Y N TEWI TITAN ENERGY WORLDWIDE, INC. N U Y N TQQQ PROSHARES ULTRAPRO QQQ G Y N TWSRF TOWER SEMICONDUCTOR LTD WTS SH U Y N VCIT VANGUARD INTERMEDIATE-TERM COR G Y N VCRT VICOR TECHNOLOGIES INC NEW COM U Y N VCSH VANGUARD SHT-TERM CORP BD ETF G Y N VIVK VIVAKOR INC COMMON STOCK U Y N VLKPY VOLKSWAGEN AG SPONS ADR REPSTG u Y N WEMU Worldwide Energy Manufacturing U Y N WHCI W HOLDING COMPANY INC. (NEW) u Y N WPUR WATERPURE INTERNATIONAL, INC. U Y N
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