Nasdaq ‘Threshold’ Securities for Oct. 19
By Michael J. Munoz -
2011-10-20T03:07:14Z
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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ATPG ATP OIL & GAS CORPORATION 6
AUNFF AURCANA CORP 35
BGMO BERGAMO ACQUISITION CORPORATIO 5
BLIAQ BB LIQUIDATING INC CL A 5
CEDT CHINA EDUCATION TECHNOLOGY, IN 5
CGXEF CGX ENERGY INC 12
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Consecutive Days
Ticker Security Name on List
=================================================================
COBI COMPASS BIOTECHNOLOGIES INC CO 2
CTESY SINOTECH ENERGY LTD ADS 1
EGDFF ENERGOLD DRILLING CORP (CDA) 14
FLRE FLAMERET INC COM STK (NV) 12
HRBN HARBIN ELEC INC 95
HULL Hull Energy, Inc. Common Stock 2
INDY ISHARES S&P INDIA NIFTY 50 IND 6
MEMI MIRACLE ENTERTAINMENT INC 46
MWWC MARKETING WORLDWIDE CORPORATIO 11
PLPE PEOPLESTRING CORPORATION COM 16
PLZLY POLYUS GOLD INTL LTD SPON GDR 41
PNPFF PINETREE CAPITAL LTD 4
RELM RELM HOLDINGS INC. COM 1
RXII GALENA BIOPHARMA INC COM 4
SAGE SAGEBRUSH GOLD LTD COM STK (NV 3
SAPX SEVEN ARTS ENTMT INC COM (NV) 27
SPFMD HI- TECH CRIME SOLUTIONS CORP. 1
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Consecutive Days
Ticker Security Name on List
=================================================================
SQQQ PROSHARES ULTRAPRO SHORT QQQ 30
TNGN TENGION INC COM STK (DE) 2
TZOO TRAVELZOO INC 28
VCRT VICOR TECHNOLOGIES INC NEW COM 5
VCSH VANGUARD SHT-TERM CORP BD ETF 52
VXUS VANGUARD STAR FD VANGUARD TOTA 2
XXII 22ND CENTURY GROUP, INC. COMMO 5
YRCW YRC WORLDWIDE INC 76
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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: Michael J. Munoz in Hong Kong at mjmunoz@bloomberg.net
To contact the editor responsible for this story: Alex Tanzi at atanzi@bloomberg.net
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