SSPT Market Activity — Regulation SHO/Rule 3210 List
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 3210.
Threshold Definitions
Regulation SHO defines threshold securities as any equity security of an issuer that is registered under Section 12, or that is required to file reports pursuant to Section 15(d) and 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; AND
the level of fails is equal to at least one-half of one percent of the issuer's total shares outstanding
FINRA Rule 3210 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.
SHO History Report
As of Wed, Dec 22, '10
Symbol Issue Name Venue Threshold Rule3210
Flag Flag
ATADF ATAC RESOURCES LTD (CDA) Pink Sheets No Yes
AUNFF AURCANA CORP Pink Sheets No Yes
AVEW Actionview International, Inc. Pink Sheets Yes No
CLRH CLEAR-LITE HOLDINGS, INC COMMO OTCBB Yes No
ECMH ENCOMPASS HOLDINGS, INC. COMMO Pink Sheets Yes No
HOTJ HOUSE OF TAYLOR JEWELRY, INC. Pink Sheets Yes No
KSKTF KISKA METALS CORP ORD SHS (CDA Pink Sheets No Yes
LGORF LARGO RESOURCES LTD Pink Sheets No Yes
QADMF QUADRA FNX MNG LTD COM SHS (CD Pink Sheets No Yes
SSPT SHOT SPIRITS CORPORATION COMMO Pink Sheets Yes No
GGCRF SILVERMEX RESOURCES, INC. ORDI Pink Sheets Yes No
SCPZF SPROTT RESOURCE CORP ORD SHS ( Pink Sheets No Yes
WHLKY Wheelock & Co Ltd Hkd .50 Ord Pink Sheets No Yes
YNGFF YUKON-NEVADA GOLD CORP Pink Sheets No Yes
http://www.otcmarkets.com/pink-sheets/marketActivity/reg-sho-otc
