Nov. 1 (Bloomberg) -- 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 43 CEHD CHINA ELECTRONICS HOLDINGS, IN 4 CTESY SINOTECH ENERGY LTD ADS 9 EMIS EMISPHERE TECHNOLOGIES INC 6 FLRE FLAMERET INC COM STK (NV) 20 HRBN HARBIN ELEC INC 103 ================================================================= Consecutive Days Ticker Security Name on List ================================================================= HULL Hull Energy, Inc. Common Stock 10 INDY ISHARES S&P INDIA NIFTY 50 IND 14 LBAS Location Based Technologies, I 5 NNAN NATURALNANO INC 6 PLZLY POLYUS GOLD INTL LTD SPON GDR 49 QING QINGDAO FOOTWEAR INC COM STK ( 5 SAGE SAGEBRUSH GOLD LTD COM STK (NV 11 SGLB SIGMA LABS, INC. COMMON STOCK 6 SQQQ PROSHARES ULTRAPRO SHORT QQQ 38 TNGN TENGION INC COM STK (DE) 10 TZOO TRAVELZOO INC 36 VCLT VANGUARD LG-TRM CORP BD ETF 1 VCRT VICOR TECHNOLOGIES INC NEW COM 13 VONE VANGUARD RUSSELL 1000 ETF 3 ================================================================= NOTE: For more information on threshold securities, see: http://www.sec.gov/spotlight/keyregshoissues.htm SOURCE: Nasdaq
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