Nasdaq ‘Threshold’ Securities for Oct. 28
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 ================================================================= AUNFF AURCANA CORP 42 CEHD CHINA ELECTRONICS HOLDINGS, IN 3 COBI COMPASS BIOTECHNOLOGIES INC CO 9 CTESY SINOTECH ENERGY LTD ADS 8 EMIS EMISPHERE TECHNOLOGIES INC 5 FLRE FLAMERET INC COM STK (NV) 19 ================================================================= Consecutive Days Ticker Security Name on List ================================================================= HRBN HARBIN ELEC INC 102 HULL Hull Energy, Inc. Common Stock 9 INDY ISHARES S&P INDIA NIFTY 50 IND 13 LBAS Location Based Technologies, I 4 NNAN NATURALNANO INC 5 NXOI Next 1 Interactive, Inc. Commo 5 PLZLY POLYUS GOLD INTL LTD SPON GDR 48 QING QINGDAO FOOTWEAR INC COM STK ( 4 SAGE SAGEBRUSH GOLD LTD COM STK (NV 10 SGLB SIGMA LABS, INC. COMMON STOCK 5 SQQQ PROSHARES ULTRAPRO SHORT QQQ 37 TNGN TENGION INC COM STK (DE) 9 TZOO TRAVELZOO INC 35 VCRT VICOR TECHNOLOGIES INC NEW COM 12 VONE VANGUARD RUSSELL 1000 ETF 2 VTWO VANGUARD RUSSELL 2000 ETF 5 ================================================================= NOTE: For more information on threshold securities, see: http://www.sec.gov/spotlight/keyregshoissues.htm SOURCE: Nasdaq
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