NYSE ‘Threshold’ Securities for Jan. 13
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 6 CPY CPI Corp 2 DGW Duoyuan Global Water Inc 73 JKS JinkoSolar Holding Co Ltd 12 LDK LDK Solar Co Ltd 61 ================================================================== NOTE: For more information on threshold securities, see: http://www.sec.gov/spotlight/keyregshoissues.htm SOURCE: New York Stock Exchange
To contact the editor responsible for this story: Alex Tanzi at email@example.com