Nasdaq ‘Threshold’ Securities for Nov. 2

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
=================================================================
ARNGF   ARGONAUT GOLD LTD ORD SHS (CDA                         1
AUNFF   AURCANA CORP                                          45
CEHD    CHINA ELECTRONICS HOLDINGS, IN                         6
CTESY   SINOTECH ENERGY LTD ADS                               11
FLRE    FLAMERET INC  COM STK (NV)                            22
HULL    Hull Energy, Inc. Common Stock                        12
=================================================================
                                                Consecutive Days
Ticker  Security Name                                    on List
=================================================================
INDY    ISHARES S&P INDIA NIFTY 50 IND                        16
IZEA    IZEA HLDGS INC COM INC                                 1
OCPNY   OLYMPUS CORP SPONS ADR                                 1
PLZLY   POLYUS GOLD INTL LTD SPON GDR                         51
QING    QINGDAO FOOTWEAR INC COM STK (                         7
QTWW    QUANTUM FUEL SYS TECHNOLOGIES                          1
SAGE    SAGEBRUSH GOLD LTD COM STK (NV                        13
SPOW    SKY PWR SOLUTIONS CORP  COM ST                         1
SQQQ    PROSHARES ULTRAPRO SHORT QQQ                          40
TNGN    TENGION INC COM STK (DE)                              12
VCLT    VANGUARD LG-TRM CORP BD ETF                            3
VCRT    VICOR TECHNOLOGIES INC NEW COM                        15
VONE    VANGUARD RUSSELL 1000 ETF                              5
VXUS    VANGUARD STAR FD VANGUARD TOTA                         1
=================================================================
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

Press spacebar to pause and continue. Press esc to stop.

Bloomberg reserves the right to remove comments but is under no obligation to do so, or to explain individual moderation decisions.

Please enable JavaScript to view the comments powered by Disqus.