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Nasdaq ‘Threshold’ Securities for Nov. 1

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                                          44
CEHD    CHINA ELECTRONICS HOLDINGS, IN                         5
CTESY   SINOTECH ENERGY LTD ADS                               10
FLRE    FLAMERET INC  COM STK (NV)                            21
HULL    Hull Energy, Inc. Common Stock                        11
INDY    ISHARES S&P INDIA NIFTY 50 IND                        15
=================================================================
                                                Consecutive Days
Ticker  Security Name                                    on List
=================================================================
PLZLY   POLYUS GOLD INTL LTD SPON GDR                         50
QING    QINGDAO FOOTWEAR INC COM STK (                         6
SAGE    SAGEBRUSH GOLD LTD COM STK (NV                        12
SQQQ    PROSHARES ULTRAPRO SHORT QQQ                          39
TNGN    TENGION INC COM STK (DE)                              11
VCLT    VANGUARD LG-TRM CORP BD ETF                            2
VCRT    VICOR TECHNOLOGIES INC NEW COM                        14
VONE    VANGUARD RUSSELL 1000 ETF                              4
=================================================================
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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