Nasdaq ‘Threshold’ Securities for Sept. 21
By Daniel Petrie -
2011-09-22T04:11:52Z
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.
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Consecutive Days
Ticker Security Name on List
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ARREF AMERIGO RESOURCES LTD 1
ATTD ATTITUDE DRINKS INC NEW COM ST 17
AUNFF AURCANA CORP 15
BICK FIRST TRUST ISE BICK INDEX FUN 3
BLOAQ BLOCKBUSTER INC CL-A 112
CTE SINOTECH ENERGY LTD ADS 16
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Consecutive Days
Ticker Security Name on List
=================================================================
EMBA EMAMBA INTERNATIONAL CORP. COM 7
FCHI ISHARES FTSE CHINA (HK LISTED) 4
GAPTQ GREAT ATLANTIC & PAC TEA 18
HRBN HARBIN ELEC INC 75
LOCM LOCAL.COM CORP COM STK 14
LRLCY L’OREAL CO ADR 2
LUKOY LUKOIL OIL COMPANY;SPON ADR RE 4
MEMI MIRACLE ENTERTAINMENT INC 26
MMTC MICRO IMAGING TECHNOLOGY, INC. 8
PLZLY POLYUS GOLD INTL LTD SPON GDR 21
QTWW QUANTUM FUEL SYS TECHNOLOGIES 3
RELM RELM HOLDINGS INC. COM 1
RVUE RVUE HLDGS INC COM STK (NV) 11
SAPX SEVEN ARTS ENTMT INC COM (NV) 7
SGAPY Singapore Telecommunications L 2
SMXI SEBRING SOFTWARE, INC. COMMON 4
SNOFF SINA-FOREST CORP SUB VTG(F) 40
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Consecutive Days
Ticker Security Name on List
=================================================================
SNWTE SAN WEST, INC. COMMON STOCK (C 15
SQQQ PROSHARES ULTRAPRO SHORT QQQ 10
TRMAQ TRICO MARINE SERVICES INC NEW 23
TZOO TRAVELZOO INC 8
VCIT VANGUARD INTERMEDIATE-TERM COR 30
VCRT VICOR TECHNOLOGIES INC NEW COM 21
VCSH VANGUARD SHT-TERM CORP BD ETF 32
VGIT VANGUARD INTERMEDIATE-TERM GOV 4
VGLT VANGUARD LG-TRM GOVT BD ETF 8
VGSH VANGUARD SHT-TRM GOVT BD ETF 27
VITFF Victoria Gold Corp Ordinary Sh 4
VSUL Visualant, Incorporated Common 2
VXUS VANGUARD STAR FD VANGUARD TOTA 30
YRCW YRC WORLDWIDE INC 56
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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
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