The following is a list of “threshold securities” from the New York Stock Exchange, 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 ================================================================== BUI BlackRock Utility and Infrastructure Trust 3 CMM China Mass Media Corp 3 DGW Duoyuan Global Water Inc 70 JKS JinkoSolar Holding Co Ltd 9 LDK LDK Solar Co Ltd 58 ================================================================== NOTE: For more information on threshold securities, see: http://www.sec.gov/spotlight/keyregshoissues.htm SOURCE: New York Stock Exchange
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