Nasdaq ‘Threshold’ Securities for Sept. 20
By Daniel Petrie -
2011-09-21T04:48:59Z
The following is a list of “threshold securities” from the Nasdaq Stock Market, published daily in compliance with the U.S. Securities and Exchange Commission’s Regulation SHO.
The list consists of stocks for which sellers failed to deliver 10,000 shares or more in the past five trading days and the level of “fails” is a minimum of 0.5 percent of the shares outstanding. Securities are listed alphabetically by ticker.
=================================================================
Consecutive Days
Ticker Security Name on List
=================================================================
ATTD ATTITUDE DRINKS INC NEW COM ST 16
AUNFF AURCANA CORP 14
BICK FIRST TRUST ISE BICK INDEX FUN 2
BLOAQ BLOCKBUSTER INC CL-A 111
CTE SINOTECH ENERGY LTD ADS 15
EMBA EMAMBA INTERNATIONAL CORP. COM 6
=================================================================
Consecutive Days
Ticker Security Name on List
=================================================================
FCHI ISHARES FTSE CHINA (HK LISTED) 3
GAPTQ GREAT ATLANTIC & PAC TEA 17
HRBN HARBIN ELEC INC 74
LOCM LOCAL.COM CORP COM STK 13
LRLCY L’OREAL CO ADR 1
LUKOY LUKOIL OIL COMPANY;SPON ADR RE 3
MEMI MIRACLE ENTERTAINMENT INC 25
MMTC MICRO IMAGING TECHNOLOGY, INC. 7
PLZLY POLYUS GOLD INTL LTD SPON GDR 20
QTWW QUANTUM FUEL SYS TECHNOLOGIES 2
RVUE RVUE HLDGS INC COM STK (NV) 10
SAPX SEVEN ARTS ENTMT INC COM (NV) 6
SGAPY Singapore Telecommunications L 1
SMXI SEBRING SOFTWARE, INC. COMMON 3
SNOFF SINA-FOREST CORP SUB VTG(F) 39
SNWTE SAN WEST, INC. COMMON STOCK (C 14
SQQQ PROSHARES ULTRAPRO SHORT QQQ 9
=================================================================
Consecutive Days
Ticker Security Name on List
=================================================================
TRMAQ TRICO MARINE SERVICES INC NEW 22
TZOO TRAVELZOO INC 7
VCIT VANGUARD INTERMEDIATE-TERM COR 29
VCRT VICOR TECHNOLOGIES INC NEW COM 20
VCSH VANGUARD SHT-TERM CORP BD ETF 31
VGIT VANGUARD INTERMEDIATE-TERM GOV 3
VGLT VANGUARD LG-TRM GOVT BD ETF 7
VGSH VANGUARD SHT-TRM GOVT BD ETF 26
VITFF Victoria Gold Corp Ordinary Sh 3
VSUL Visualant, Incorporated Common 1
VXUS VANGUARD STAR FD VANGUARD TOTA 29
YRCW YRC WORLDWIDE INC 55
=================================================================
NOTE: For more information on threshold securities, see:
http://www.sec.gov/spotlight/keyregshoissues.htm
SOURCE: Nasdaq
To contact the reporter on this story: Daniel Petrie in Sydney at dpetrie5@bloomberg.net
To contact the editor responsible for this story: Alex Tanzi at atanzi@bloomberg.net
Rate this Page
Bloomberg moderates all comments. Comments that are abusive or off-topic will not be posted to the site. Excessively long comments may be moderated as well. Bloomberg cannot facilitate requests to remove comments or explain individual moderation decisions.