Tuesday, November 15, 2011
Threshold Security List
| Symbol | Security Name | Market Category | Reg SHO Threshold Flag | Rule 3210 |
|---|---|---|---|---|
| ADES | ADA-ES INC | S | Y | N |
| AEGY | ALTERNATIVE ENERGY PARTNERS IN | U | Y | N |
| ATTD | ATTITUDE DRINKS INC NEW COM ST | U | Y | N |
| AUNFF | AURCANA CORP | u | N | Y |
| BAMM | BOOKS-A-MILLION INC | Q | Y | N |
| BCEKF | BEAR CREEK MINING CORPORATION | u | N | Y |
| BHVCF | BELLHAVEN COPPER & GOLD, INC O | u | N | Y |
| CEHD | CHINA ELECTRONICS HOLDINGS, IN | U | Y | N |
| ECDC | EAST COAST DIVERSIFIED CORPORA | U | Y | N |
| FLRE | FLAMERET INC COM STK (NV) | u | Y | N |
| GGCRF | SILVERMEX RESOURCES, INC. ORDI | u | Y | N |
| INDY | ISHARES S&P INDIA NIFTY 50 IND | G | Y | N |
| IVSBY | Investor AB Unsponsored ADR re | u | N | Y |
| MILV | MISTRAL VENTURES, INC. NEW COM | u | N | Y |
| MSEH | MESA ENERGY HLDGS INC COM STK | u | Y | N |
| OCPNY | OLYMPUS CORP SPONS ADR | u | N | Y |
| PAOS | PRECISION AEROSPACE COMPONENTS | u | Y | N |
| PLZLY | POLYUS GOLD INTL LTD SPON GDR | u | N | Y |
| POFCY | PETROFAC LTD LONDON UNSPON ADR | u | N | Y |
| PSCC | POWERSHARES S&P SMALLCAP CONSU | G | Y | N |
| QING | QINGDAO FOOTWEAR INC COM STK ( | U | Y | N |
| QQXT | FIRST TR NASDAQ -100 EX-TECHNO | G | Y | N |
| RIOAF | RIO ALTO MNG LTD NEW COM SHS ( | u | N | Y |
| RSCF | REFLECT SCIENTIFIC, INC. | U | Y | N |
| SAGE | SAGEBRUSH GOLD LTD COM STK (NV | U | Y | N |
| VCIT | VANGUARD INTERMEDIATE-TERM COR | G | Y | N |
| VCRT | VICOR TECHNOLOGIES INC NEW COM | U | Y | N |
| VONE | VANGUARD RUSSELL 1000 ETF | G | Y | N |
| VXUS | VANGUARD STAR FD VANGUARD TOTA | G | Y | N |
| WGBS | WAFERGEN BIO-SYSTEMS, INC. COM | U | Y | N |
| ZLCS | ZALICUS INC. COM STK | G | Y | N |
http://www.nasdaqtrader.com/Trader.aspx?id=RegSHOThreshold
November 16, 2011
http://www.nasdaqtrader.com/Trader.aspx?id=RegSHOThreshold
November 17, 2011
November 18, 2011
N
December 02, 2011
@RobertWeinstein
Robert Weinstein G+
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:
A security ceases to be a threshold security if it does not exceed the specified level of fails for five consecutive settlement days.
Note: The list below contains securities from OTCBB, Other OTC and NASDAQ markets. The totals below reflects the number of securities from each marketplace that are included in the list. Please review the "Market Category" field for the specific listing market for each security.
December 05, 2011
Symbol,Security, Market Category,Reg-SHO Threshold Flag, Rule 3210, Filler
ABVV, Abviva, Inc. New Common Stock, u, Y, N,
AGPPY, ANGLO AMERICAN PLATINUM LTD UN, u, Y, N,
ALIM, ALIMERA SCIENCES INC COM STK (, G, Y, N,
ATTD, ATTITUDE DRINKS INC NEW COM ST, U, Y, N,
BTLCY, BRITISH LAND CO PLC SPONSORED, u, N, Y,
FLRE, FLAMERET INC COM STK (NV), u, Y, N,
GRHU, GREENHOUSE HOLDINGS INC COM ST, U, Y, N,
IBB, ISHARES NASDAQ BIOTECHNOLOGY I, G, Y, N,
INDY, ISHARES S&P INDIA NIFTY 50 IND, G, Y, N,
JVA, COFFEE HOLDING CO., INC., S, Y, N,
MINE, MINERCO RESOURCES INC NEW COM, u, Y, N,
MMTC, MICRO IMAGING TECHNOLOGY, INC., u, Y, N,
MSEH, MESA ENERGY HLDGS INC COM STK, u, Y, N,
MSHS, MINN SHARES INC DEL, U, Y, N,
NVIV, INVIVO THERAPEUTICS HOLDINGS C, U, Y, N,
PAOS, PRECISION AEROSPACE COMPONENTS, u, Y, N,
RIOAF, RIO ALTO MNG LTD NEW COM SHS (, u, N, Y,
TXTM, PROTEXT MOBILITY, INC. COMMON, U, Y, N,
VNQI, VANGUARD GLOBAL EX- U.S. REAL, G, Y, N,
VTWO, VANGUARD RUSSELL 2000 ETF, G, Y, N,
VXUS, VANGUARD STAR FD VANGUARD TOTA, G, Y, N,
WHRT, WORLD HEART CORPORATION COM ST, S, Y, N,
20111205230002
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