Nov. 2 (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 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
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