Rim Semiconductor Company (fka RSMI)

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Regulation SHO Threshold Security List

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NASDAQ Issues Mutual Funds


NASDAQ Symbols Market Category Market Statistics SOES Tier Size NASDAQ Indexes Fund Type Fund Category MP Type ------------------ Downloads: Other Exchanges NASDAQ Issues Mutual Funds MPs Regulation SHO 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.

NASDAQ will publish a new Threshold Security List on each subsequent settlement day prior to midnight, Eastern Time. NASDAQ's file will contain information for NASDAQ Issues (NNM and SmallCap), OTCBB Issues, and Other OTC Issues.

The current list as well as historical lists can also be obtained via file transfer protocol (FTP).

More information about file layout and file dissemination time is available. Please refer to Head Trader Alert #2004-168 or the Regulation SHO Threshold definitions and data fields.

A spreadsheet is provided via the Regulation SHO Hot Topics page identifying the additional OTC securities subject to Regulation SHO. Firms are advised to review the spreadsheet on a daily basis. For more information please refer to the General News notice dated January 20, 2005.



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Trade Date:
Wednesday, February 02, 2005 File Creation Timestamp:
02/03/2005 12:05:04 AM
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Threshold Security List - Wednesday, February 02, 2005
Symbol Security Name Market
Category Reg SHO Threshold Flag
AAII AAIPHARMA INC Q Y
AANI AMEDIA NETWORKS INC U Y
ABTG AMBIENT CORP U Y
ABTI ALPHA BETA TECH INC u Y
ACTMQ ACT MANUFACTURING INC u Y
ACTY ACCESSITY CORP NEW S Y
ADRA BLDRS ASIA 50 ARR Q Y
ADRD BLDRS DEVELOPED MKTS 100 ARD Q Y
AEGN AEROGEN INC S Y
AEMD AETHLON MEDICAL INC U Y
AEMLW AGNICO EAGLE MINES LTD 11/07/ Q Y
AGEN ANTIGENICS INC. (DEL) Q Y
AICXE APPLIED IMAGING CORP S Y
AITX AIRTRAX INC U Y
AMTC AMERITRANS CAPITAL CORPORATION S Y
ANLT ANALYTICAL SURVEYS INC-NEW S Y
ANTP PHAZAR CORP S Y
AOBO AMERICAN ORIENTAL BIOENGR INC U Y
AOLS AEOLUS PHARMACEUTICALS INC U Y
APNB ASPENBIO INC U Y
APNS APPLIED NEUROSOLUTIONS INC U Y
APPX AMERICAN PHARMACCUTICAL PARTNE Q Y
APWRQ ASTROPOWER INC u Y
ARRU MERRILL LYNCH & CO INC ARN LKD Q Y
ARWR ARROWHEAD RESEARCH CORP S Y
ASTM AASTROM BIOSCIENCES INC S Y
ASURF ASSURE ENERGY, INC. (CANADA) U Y
ATAHQ ATA HLDGS CORP u Y
ATHYQ APPLIEDTHEORY CORP u Y
ATLS ATLAS AMER INC Q Y
ATTU ATTUNITY LTD Q Y
BKYI BIO-KEY INTERNATIONAL, INC U Y
BLRV BULLION RIVER GOLD CORP U Y
BLTI BIOLASE TECHNOLOGY INC Q Y
BPRG BIOPROGRESS PLC AMERICAN DEPOS Q Y
BPTR BRANDPARTNERS GROUP INC U Y
BSTE BIOSITE INC Q Y
BUNZQ SCHLOTZSKYS INC u Y
BVLE BIDVILLE INC U Y
BVSN BROADVISION INC COM NEW Q Y
BZET BIOFIELD CORP U Y
CAFE HOST AMERICA CORP S Y
CALM CAL-MAINE FOODS INC Q Y
CAQC CHARDAN CHINA ACQUISITION CORP U Y
CBYI CAL-BAY INTERNATIONAL INC U Y
CDSS CITADEL SECURITY SOFTWARE INC S Y
CGCP CARDIOGENESIS CORPORATION CALI U Y
CGZT COTELLIGENT INC U Y
CHTR CHARTER COMMUNICATIONS CL-A Q Y
CJML CONE MILLS CORP u Y
CLIK CLICKNSETTLE.COM INC NEW U Y
CMRCQ COMMERCE ONE INC DEL COM NEW u Y
CMTN COPPER MTN NETWORKS INC Q Y
CNLG CONOLOG CORPORATION NEW S Y
CORR CORRIDOR COMMUNICATIONS CORP U Y
CRDM CARDIMA INC S Y
CRHCY CRH PLC ADR Q Y
CSJB MERRILL LYNCH & CO INC JETBLUE Q Y
CSSA MERRILL LYNCH & CO INC 8%CALLA Q Y
CWPC CAN WEST PETROLEUM CORP U Y
CYBX CYBERONICS INC Q Y
CYME CYTOMEDIX INC COM NEW U Y
CYOS CYOP SYSYTEMS INTL INC NEW U Y
CYTR CYTRX CORP S Y
DBMI DOBI MEDICAL INTERNATIONAL INC U Y
DCAI DIALYSIS CORP OF AMERICA S Y
DCTH DELCATH SYSTEMS INC S Y
DDYN DARK DYNAMITE NEW U Y
DISK IMAGE ENTERTAINMENT INC Q Y
DJTCQ TRUMP HOTELS & CASINO RESORTS U Y
DLFG DIGITAL LIFESTYLES GROUP INC U Y
DMAX DRUGMAX INC S Y
DRRAP DURA AUTOMOTIVE SYS CAP TR PFD Q Y
DSTI DAYSTAR TECHNOLOGIES INC S Y
DTMG DATAMEG CORPORATION U Y
DVERQ DAN RIVER INC u Y
DYII DYNACQ HEALTHCARE INC U Y
ECST ECOST.COM INC Q Y
EDGR EDGAR ONLINE.INC Q Y
EEEI ELECTRO ENERGY INC S Y
EFCR EGPI FIRECREEK INC U Y
EGSRE ENERGAS RESOURCES INC (DE) U Y
ELOS SYNERON MEDICAL LTD ORD SHARES Q Y
EMFP EMERGENCY FILTRATION PRODS INC U Y
EMRG EMERGE INTERACTIVE INC S Y
ENWV ENDWAVE CORP Q Y
EVSNF ELBIT VISION SYSTEMS LTD U Y
FAMEC FLAMEMASTER CORP S Y
FCCN FRANCHSISE CAPITAL CORP U Y
FCEL FUELCELL ENERGY INC Q Y
FDMLQ FEDERAL-MOGUL CORP U Y
FLIP FTS GROUP INC U Y
FLYI FLYI INC Q Y
FMKIQ FIBERMARK INC U Y
FMTI FORBES MEDI-TECH INC (F) Q Y
FORD FORWARD INDUSTRIES INC S Y
FRCP FORCE PROTECTION INC U Y
FSVP FIND/SVP INC U Y
FTUSQ FACTORY 2-U STORES INC u Y
FWHWF FOSTER WHEELER WTS (CC-DM) U Y
GBURE GARDENBURGER INC U Y
GEMM JUINA MINING CORP u Y
GFYO GFY FOODS, INC. NEW U Y
GIVN GIVEN IMAGING LTD Q Y
GLBC GLOBAL CROSSING LTD NEW (BERMU Q Y
GMAI MANNING, GREG AUCTIONS INC Q Y
GMTH GLOBAL MATRECHS INC U Y
GOAM GO AMERICA INC NEW S Y
GRMN GARMIN LTD Q Y
GSAC GELSTAT CORPORATION U Y
GSTRF GLOBALSTAR TELECOMMUNICATS LTD u Y
HAWK PETROHAWK ENERGY CORP Q Y
HESG HEALTH SCIENCES GROUP INC U Y
HFBL HOME FED BANCORP INC LA U Y
HHDG HEAVENTLY HOT DOGS INC-NEW u Y
HIET HIENERGY TECHNOLOGIES, INC. (D U Y
HOFF HORIZON OFFSHORE INC Q Y
HOGC HEARTLAND OIL & GAS CORP NEV U Y
HPLF HEPALIFE TECHNOLOGIES INC U Y
ICUI I C U MEDICAL INC Q Y
IFLB INFINIUM LABS INC U Y
IFNY INFINITY INCE NEW Q Y
INCX INTERCHANGE CORPORATION S Y
INFY INFOSYS TECHNOLOGIES LTD ADS Q Y
INSA INVISA INC U Y
INSM INSMED INC-NEW Q Y
IRBO IR BIOSCIENCES HOLDINGS INC NE U Y
ISON ISONICS CORP S Y
ISONL ISONICS CORP WTS B 12/31/2005 S Y
ISONZ ISONICS CORP WTS C 12/31/2005 S Y
ISRE ISECURETRAC CORP U Y
ITRD INTRAC, INC. - NEW U Y
IVHN INNOVATION HOLDINGS NEW u Y
IWMC INTERWEST MEDICAL CORP U Y
JMIH JUPITER MARINE INTL HLDGS INC U Y
KWBT KIWA BIO TECH PRODS GROUP CORP U Y
LENF LAW ENFORCEMENT ASSOC CORP U Y
LFTC LIFESTREAM TECHNOLOGIES INC. U Y
LMMG LIMELIGHT MEDIA GROUP INC U Y
LMRA LUMERA CORP Q Y
LNKEW LINK ENERGY LLC WTS 3/1/08 u Y
LOUD LOUDEYE CORPORATION S Y
LXRS LEXINGTON RESOURCES INC U Y
MAMT MEDICAL ASSET MGMT INC u Y
MBTE TRANSMEDIA EUROPE INC u Y
MCHX MARCHEX INC Q Y
MDWYQ MIDWAY AIRLINES CORP u Y
MHTT MANHATTAN PHARM INC U Y
MJES MAJESCO HOLDINGS INC. NEW Q Y
MRKL MARKLAND TECHNOLOGIES INC NEW U Y
MSEV MICRON ENVIRO SYSTEMS INC U Y
MSMAW MILLSTREAM II ACQUISITION CORP U Y
MYTNQ MYTURN.COM INC u Y
NAPS NAPSTER INC. Q Y
NFLD NORTHFIELD LABORATORIES INC Q Y
NFLX NETFLIX COM INC Q Y
NGEN NANOGEN INC Q Y
NTES NETEASE.COM INC ADS Q Y
NVEC NVE CORPORATION NEW S Y
NVEI NEW VISUAL CORP U Y
NXUSF NEXUS TELOCATION SYS LTD NEW U Y
NXXI NUTRITION 21 INC S Y
NYNY EMPIRE RESORTS INC S Y
OGHC ON THE GO HEALTH CARE INC NEW U Y
OLKT ONE LINK 4 TRAVEL INC U Y
OLYD OLYMPIC CASCADE FINANCIAL CORP U Y
ONSM ONSTREAM MEDIA CORP S Y
ORTN ORTEC INTERNATIONAL INC NEW U Y
OSTK OVERSTOCK COM INC DEL Q Y
OTIV ON TRACK INNOVATIONS LTD Q Y
PACT PACIFICNET INC NEW S Y
PATY PATIENT INFOSYSTEMS INC NEW U Y
PCCG PCC GROUP INC u Y
PCMC P-COM INC NEW U Y
PGTV PEGASUS COMMUNICATIONS CORP CL Q Y
PHPG PHOTONICS PRODUCTS GROUP INC U Y
PHYX PHYSIOMETRIX INC S Y
PIHC PHC INC CL-A U Y
PLRS PLURISTEM LIFE SYSTEM INC U Y
PRKR PARKERVISION INC Q Y
PRNW PROCERA NETWORKS INC U Y
PSRE POWERSOURCE CORP u Y
PWRC POWERCHANNEL INC U Y
PYST PAYSTAR CORP u Y
RBAKZ REDBACK NETWORKS INC WT EXP $9 U Y
RDCM RADCOM LTD Q Y
RDXM RADIX MARINE INC U Y
RECM RECOM MANAGED SYSTEMS INC-NEW U Y
REDF REDIFF.COM INDIA LTD ADS S Y
RITA RITA MEDICAL SYSTEMS, INC. Q Y
RITT R I T TECHNOLOGIES LTD S Y
RKNW REMOTE KNOWLEDGE INC U Y
RSGC RS GROUP COS INC U Y
RSTG RASER TECHNOLOGIES INC U Y
RVSIE ROBOTIC VISION SYSTEMS INC NEW U Y
SAUC STANDARD AUTOMOTIVE CORP u Y
SCRH SCORES HOLDING COMPANY INC (UT U Y
SEHO SENSE HOLDINGS INC U Y
SEVIE SYSTEMS EVOLUTION INC U Y
SFBI SFSB INC. U Y
SLGLF SILVERADO GOLD MINES LTD U Y
SMRA SOMERA COMMUNICATIONS INC Q Y
SMTX SMTC CORPORATION NEW Q Y
SMVD SMARTVIDEO TECHNOLOGIES INC U Y
SNDA SHANDA INTERACTIVE ENTERTAINME Q Y
SNMX SENOMYX INC Q Y
SONT SONTRA MED CORP S Y
SPCK SUPERCLICK INC U Y
SPEA SPORTS ENTMT ENTERPRISES INC U Y
SPEM SPEEDEMISSIONS INC U Y
SPSC SPECTRUM SCIENCES & SOFTWARE H U Y
SSRV SMARTSERV ONLINE INC NEW U Y
STTS STATS CHIPPAC LTD ADR Q Y
SWIR SIERRA WIRELESS INC Q Y
SWME SWISS MEDICA INC U Y
TASR TASER INTERNATIONAL INC Q Y
TAYD TAYLOR DEVICES INC S Y
TCHC 21ST CENTURY HLDGS CO. Q Y
THDOQ 3DO COMPANY (THE) NEW u Y
TIDE TIDELANDS OIL & GAS CORP U Y
TKER TASKER CAPITAL CORPORATION U Y
TNOLF TECHNOPRISES LTD U Y
TORCQ TORCH OFFSHORE INC Q Y
TREN TORRENT ENERGY CORP U Y
TRIP TRAVELBYUS INC u Y
TRLG TRUE RELIGION APPAREL INC U Y
TSICQ TROPICAL SPORTSWEAR INTL CORP u Y
TTCS TITAN CONSOLIDATED INC u Y
TYRRF TYLER RESOURCES INC (F) U Y
TZOO TRAVELZOO INC Q Y
UAIRQ US AIRWAYS GROUP INC CL A NEW U Y
UALAQ UAL CORP(NEW) U Y
UALNQ UAL CORP CAP TR 13 1/4% (TOPRS U Y
UALZQ UAL CP DPSHS(RP1/1000SH12.25%B U Y
UCSY UNIVERSAL COMMUNICATION SYSTEM U Y
UDTT UNIVERSAL DETECTION TECHNOLOGY U Y
UGHO UNIVERSAL GUARDIAN HLDGS INC U Y
ULTEQ ULTIMATE ELECTRONICS INC Q Y
UWRL US WIRELESS ONLINE INC U Y
VERT VERTICALNET INC S Y
VETX VERTEX INTERACTIVE INC U Y
VITX V.I. TECHNOLOGIES INC Q Y
VLDI VALIDIAN CORPORATION U Y
VLTS VALENTIS INC S Y
VMTI VISTA MEDICAL TECHNOLOGIES INC S Y
VOII VOIP INC U Y
VOXW VOXWARE INC U Y
VPHM VIROPHARMA INC Q Y
VPRO VIROPRO INC NEW U Y
VTLV VITAL LIVING INC U Y
WATFZ WATERFORD WEDGEWOOD PLC ADR UT Q Y
WAVR WAVERIDER COMMUNICATIONS INC N U Y
WBCL WEBCATALYST INC u Y
WHAI WORLD HEALTH ALTERNATIVES INC U Y
WHRT WORLD HEART CORPORATION (CANAD Q Y
WTFCP WINTRUST CAPITAL TR I PFD Q Y
XFNE XFONE INC U Y
XNNC XENONICS HOLDINGS INC U Y
XNVA XENOVA GROUP PLC ADS-NEW Q Y
XSBV XSTREAM BEVERAGE NETWORK INC U Y
XYNY XYNERGY CORPORATION u Y
ZAPZ ZAP U Y