NYSE ‘Threshold’ Securities for Nov. 1
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Nov 1, 2011
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.
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Consecutive Days
Ticker Security Name on List
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DGW Duoyuan Global Water Inc 25
FIF First Trust Energy Infrastructure Fund 17
GAT Georgia Power Co 9
JKS JinkoSolar Holding Co Ltd 18
LDK LDK Solar Co Ltd 13
UTA Universal Travel Group 44
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NOTE: For more information on threshold securities, see:
http://www.sec.gov/spotlight/keyregshoissues.htm
SOURCE: New York Stock Exchange
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