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ID Supermoney

11/16/12 4:04 PM

#11506 RE: PipBoy #11502

Threshold Security List

Effective January 3, 2005, new short sale rules were implemented, including a uniform “locate” requirement for short sales in all equity securities and additional requirements for broker-dealers trading securities in which a substantial amount of failures to deliver have occurred (Regulation SHO Threshold Securities). Please refer to Head Trader Alerts #2004-108, #2004-155, #2004-166 and #2004-168.

The SEC amended Regulation SHO to eliminate the “grandfather provision” effective October 15, 2007. Please refer to Regulatory Alert #2007-086 for complete details.

As announced in General News Item #2005-005, Wednesday, April 13, 2005, was the last day that NASDAQ posted a separate addendum to the Threshold List in order to identify the additional OTC securities subject to Regulation SHO.

View the Threshold List
Contact Information

For Investors:

Call the SEC's office of Investor Education and Assistance at +1 800 SEC 0330.
File complaints at www.sec.gov/ complaint.shtml.
Send specific enforcement-related information to enforcement@sec.gov.

ID Supermoney

11/16/12 4:04 PM

#11507 RE: PipBoy #11502

I have sent my complaint in days ago!!


ID