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

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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