Nasdaq ‘Threshold’ Securities for Nov. 2
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 ================================================================= ARNGF ARGONAUT GOLD LTD ORD SHS (CDA 1 AUNFF AURCANA CORP 45 CEHD CHINA ELECTRONICS HOLDINGS, IN 6 CTESY SINOTECH ENERGY LTD ADS 11 FLRE FLAMERET INC COM STK (NV) 22 HULL Hull Energy, Inc. Common Stock 12 ================================================================= Consecutive Days Ticker Security Name on List ================================================================= INDY ISHARES S&P INDIA NIFTY 50 IND 16 IZEA IZEA HLDGS INC COM INC 1 OCPNY OLYMPUS CORP SPONS ADR 1 PLZLY POLYUS GOLD INTL LTD SPON GDR 51 QING QINGDAO FOOTWEAR INC COM STK ( 7 QTWW QUANTUM FUEL SYS TECHNOLOGIES 1 SAGE SAGEBRUSH GOLD LTD COM STK (NV 13 SPOW SKY PWR SOLUTIONS CORP COM ST 1 SQQQ PROSHARES ULTRAPRO SHORT QQQ 40 TNGN TENGION INC COM STK (DE) 12 VCLT VANGUARD LG-TRM CORP BD ETF 3 VCRT VICOR TECHNOLOGIES INC NEW COM 15 VONE VANGUARD RUSSELL 1000 ETF 5 VXUS VANGUARD STAR FD VANGUARD TOTA 1 ================================================================= NOTE: For more information on threshold securities, see: http://www.sec.gov/spotlight/keyregshoissues.htm SOURCE: Nasdaq
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