nasdaq reg sho list ie large short position...motley fool had an article out about them i posted over on the nest...been keeping an eye on it...
Regulation SHO Threshold Security List
Background
As defined in Rule 203(c)(6) of Regulation SHO, a “threshold security” is any equity security of any issuer that is registered under Section 12 of the Exchange Act, or that is required to file reports under Section 15(d) of the Exchange Act (commonly referred to as reporting securities), where, for five consecutive settlement days:
There are aggregate fails to deliver at a registered clearing agency of 10,000 shares or more per security;
The level of fails is equal to at least one-half of one percent of the issuer’s total shares outstanding; and
The security is included on a list published by a self-regulatory organization (SRO).
A security ceases to be a threshold security if it does not exceed the specified level of fails for five consecutive settlement days.
Certain securities included in the July 7, 2006, Regulation SHO Threshold List published on the NASDAQ Trader website should not have been included. Firms are advised to refer to NASDAQ's General News item and review the revised list of securities subject to the Regulation SHO requirements for July 7, 2006.
For detailed information, please visit the SEC's website at:
sec.gov
sec.gov
Threshold List Information
NASDAQ publishes a Regulation SHO Threshold Security List for NASDAQ-listed issues, OTCBB issues, and Other-OTC issues.
NASDAQ publishes a new Threshold Security List on each settlement day prior to midnight, Eastern Time.
Formats: HTML (see below) and Pipe-Delimited ASCII Text File (.txt)
FTP Availability (ftp://ftp.nasdaqtrader.com/symboldirectory/regsho) including archive of historical threshold list files.
File Layout and Field
Additional OTC Securities subject to Regulation SHO for January 20, 2005 to April 13, 2005. Note: As of April 14, 2005, all OTC Securities have been included on the Threshold Security List.
Contact Information
For Investors:
Call the SEC's office of Investor Education and Assistance at 800.SEC.0330.
File complaints at www.sec.gov.
Send specific enforcenent-related information to enforcement@sec.gov.
For NASDAQ Market Participants and NASD Members:
Please visit the NASD Website for comprehensive contact information.
Contact your NASDAQ Market Sales representative.
For Issuers:
Questions regarding NASDAQ-listed stocks should be directed to your NASDAQ Market Intelligence Desk Director.
Questions regarding an OTCBB or Pink Sheet stock, should be emailed to regtips@nasd.com.
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Trade Date:
Thursday, April 19, 2007 File Creation Timestamp:
04/19/2007 11:00:05 PM
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Threshold Security List - Thursday, April 19, 2007
Symbol
Security Name Market
Category
Reg SHO Threshold Flag
Rule 3210
AANIE AMEDIA NETWORKS INC U Y N
ACMG Alcard Chemicals Group, Inc. ( u Y N
ADES ADA-ES INC S Y N
ADLI AMERICAN MEDICAL TECH INC U Y N
ADLR ADOLOR CORPORATION G Y N
ADSO ADSERO CORP u Y N
AFML Aerofoam Metals Inc. Common St u Y N
AGIX ATHEROGENICS INC G Y N
ANARF ADRIANA RESOURCES, INC u N Y
AQUA AQUACELL TECH INC u Y N
ARLP ALLIANCE RESOURCES PART L.P. Q Y N
ASFI ASTA FUNDING INC Q Y N
ASTI ASCENT SOLAR TECHNOLOGIES INC S Y N
ASTT ASAT HLDGS LTD SPONS ADR (HK) S Y N
ASVI A S V INC Q Y N
ATCTW ATS Corporation Warrants 10/19 U Y N
ATLJ Asia Telecom, Ltd. Common Stoc u N Y
ATSAF ATS AUTOMATION TOOLING SYS (F) u N Y
AUAYF Adanac Molybdenum Corporation u N Y
AUNFF AURCANA CORP u N Y
AURC Aurus Corp. Common Stock u Y N
AURRF AUR RESOURCES INC (F) u N Y
AVNR AVANIR PHARMACEUTICALS CL A NE G Y N
AWYI ARIEL WAY, INC U Y N
BAESY BAE SYS PLC SPONS ADR u N Y
BAYFF BAYSWATER URANIUM CORP ORD SHS u N Y
BGUE Bogue International Inc. Commo u Y N
BLEFF BLUE PEARL MINING LTD (CANADA) u N Y
BNTNF BONTAN CORP INC U Y N
BPURL BIOPURE CORPORATION WTS TO PUR U Y N
BRLC SYNTAX-BRILLIAN CORPORATION G Y N
BZET BIOFIELD CORP u Y N
CBEEF CABO DRILLING CORP ORD SHS (CA u N Y
CBEL Cybertel Capital Corporation N U Y N
CCJFF Coalcorp Mining Inc Ordinary S u N Y
CCRT COMPUCREDIT CORP Q Y N
CDOUF CANDENTRE RESOURCES CORP u N Y
CEGE CELL GENESYS INC G Y N
CERTF CERTICOM CORP (F) u N Y
CFHI COAST FINL HLDGS INC G Y N
CFUL Continental Fuels Inc. Common U Y N
CGDF COLUMBIA GOLDFIELDS LTD. U Y N
CHCI COMSTOCK HOMEBUILDING COMPANIE G Y N
CHNQU China Opportunity Acquisition U Y N
CLRC Clear Choice Financial, Inc. C u Y N
CLWT EURO TECH HOLDINGS CO LTD S Y N
CMLGF CROWFLIGHT MINERALS INC u N Y
CMSB CMS BANCORP, INC. COM S Y N
COGO COMTECH GROUP, INC. Q Y N
CORS CORUS BANKSHARES INC Q Y N
CPMM CHINA PREMIUM LIFESTYLE ENTERP U Y N
CPSL CHINA PRECISION STEEL, INC. CO S Y N
CSHD Conversion Solutions Holdings u Y N
CSIQ CANADIAN SOLAR INC. COM G Y N
CTICD THERAPEUTICS, INC. NEW COM G Y N
CTPMF CONTINENTAL PRECIOUS MINERALS u N Y
DALRQ DELTA AIR LINES INC DEL u Y N
DFC DELTA FINANCIAL CORPORATION G Y N
DGIF DIGITAL INFO SEC CO (DE) u Y N
DHOM DOMINION HOMES INC G Y N
DIVX DIVX, INC. COM G Y N
DMON DIAMOND ENTERTAINMENT CORP NEW U Y N
DNDN DENDREON CORPORATION G Y N
DOUBF DOUBLESTAR RESOURCE LTD CL-A u N Y
DPTR DELTA PETROLEUM CORP-NEW- G Y N
DSTI DAYSTAR TECHNOLOGIES INC S Y N
DTEMF DITEM EXPLORATION INC (F) u N Y
DVSA DIVERSE CORPORATION G Y N
EACC EAUTOCLAIMS. INC U Y N
EADSY European Aeronautic Defence An u N Y
ECMV E COM VENTURES INC-NEW S Y N
ECPG ENCORE CAPITAL GROUP INC Q Y N
EDNE EDEN ENERGY CORP U Y N
ENCY ENCYSIVE PHARMACEUTICALS INC G Y N
ETEL ETELECARE GLOBAL SOLUTIONS INC G Y N
ETIM Eternal Image, Inc. Common Sto u Y N
EVRRF EVERTON RES INC u N Y
EXCS EXECUTE SPORTS, INC. U Y N
EXDUF EXP MINIERES DU NORD LTD u N Y
EZGRP EASY GARDENER PRODUCTS TR I SE u Y N
FCCN FRANCHSISE CAPITAL CORP u Y N
FCGCF FIRST CALGARY PETROLEUM LTD u N Y
FCSE FOCUS ENHANCEMENTS INC S Y N
FLIPE FTS GROUP INC U Y N
FMLY FAMILY ROOM ENTERTAINMENT CORP U Y N
FORD FORWARD INDUSTRIES INC S Y N
FRMSF FIRST MAJESTIC SILVER CORP ORD u N Y
FRNT FRONTIER AIRLINES HOLDINGS INC G Y N
FVITF FORTUNA SILVER MINES, INC. u N Y
GBAMF GLOBAL ALUMINA CORP (CDA) u N Y
GBMRE Global Matrechs, Inc. New Comm U Y N
GENE GENETIC TECHS LTD G Y N
GERI GLOBAL ENERGY RESOURCES INC u Y N
GFCI GRIFCO INTERNATIONAL, INC u Y N
GLRAF GLR RESOURCES INC CL A u N Y
GOAM GO AMERICA INC NEW S Y N
GORO GOLD RESOURCE CORPORATION COM U Y N
GROW US GLOBAL INVESTORS INC CL-A S Y N
GSAT GLOBALSTAR, INC COM STK Q Y N
GSPG GOLDSPRING INC. U Y N
GTEM GLOBETEL COMMUNICATIONS CORP C u Y N
GTOP GENITOPE CORP G Y N
GVCM Geovic Mng Corp Common Stock u N Y
GXMLF GEODEX MINERALS LTD u N Y
HBOOY HBOS PLC SPONS ADR (UTD KINGDO u N Y
HBRF HIGHBURY FINANCIAL INC U Y N
HKFIQ HANCOCK FABRIC INC u Y N
HLUKY H LINDBECK A/S UNSPONS ADR (DE u N Y
HSOA HOME SOLUTIONS OF AMERICA INC G Y N
HSPR HESPERIA HLDGS INC u Y N
HTVL HARTVILLE GROUP INC U Y N
IAPLY ICAP PLC SPONSORED ADR (UK) u N Y
IDMI IDM PHARMA, INC. G Y N
IEXCF INT'L ENEXCO LTD (F) u N Y
ILCO INNOTELCO INC (WY) u Y N
ILGY International Energy Ltd. Comm u Y N
ILKG INTERLINK GLOBAL CORP u N Y
INPC INPHONIC INC G Y N
IPII IMPERIAL INDS INC-NEW S Y N
ISLT ISRAEL TECHNOLOGY ACQUISITION U Y N
JCDS JC DATA SOLUTIONS INC u Y N
JMPVF JUMPTV INC COM STK u N Y
JRCC JAMES RIVER COAL NEW G Y N
JSDA JONES SODA CO S Y N
KUHM KUHLMAN COMPANY, INC U Y N
KWBT KIWA BIO TECH PRODS GROUP CORP U Y N
LEND ACCREDITED HOME LENDERS HLDG C Q Y N
LIPD LIPID SCIENCES INC ARIZ G Y N
LMGGF LIONORE MINING INTL LTD u N Y
LMRXF LARAMIDE RESOURCES LTD u N Y
LSMJ LEASESMART INC u Y N
MAMA MAMMA COM INC S Y N
MDTL MEDIS TECHNOLOGIES LTD G Y N
MKBY MCKENZIE BAY INTERNATIONAL LTD u Y N
MLKKF MERCATOR MINERALS LTD u N Y
MNRUF MEDITERRANEAN RESOURCES ORD SH u Y N
MOBL MOBILEPRO CORP-NEW U Y N
MSEM Motorsports Emporium, Inc. New U Y N
MSII MEDIA SCIENCES INTERNATIONAL I S Y N
MSRM MOBILESTREAM OIL INC COM STK u Y N
MTRAF METRO INC CL-A SUAB VTG u N Y
MVIS MICROVISION INC (WASH) G Y N
MWSNF MAWSON RES LTD u N Y
MXWL MAXWELL TECHNOLOGIES INC G Y N
NAVR NAVARRE CORP G Y N
NAWL NATUREWELL INC U Y N
NAYNE NAYNA NETWORKS, INC. U Y N
NEMFF Neo Material Technologies Inc u N Y
NEOL NEOPHARM INC G Y N
NEWC NEW CENTURY FINANCIAL CORP (MD u Y N
NEWCP NEW CENTURY FINANCIAL CORP PFD u Y N
NFLD NORTHFIELD LABORATORIES INC G Y N
NHYB NATIONAL HYPERBARIC REHAB CTN u Y N
NIHK NIGHTHAWK SYS INC U Y N
NNCP NutriOne Corporation Common St u Y N
NNRF NUCON RF INC COM STK u N Y
NRMX NEUROCHEM INC G Y N
NSMSF NORTHERN STAR MINING CORP u N Y
NTIOF NATIONAL BANK OF CANADA u N Y
NTRI NUTRI/SYSTEM INC. Q Y N
NURO NEUROMETRIX INC G Y N
NVEC NVE CORPORATION NEW S Y N
NWACQ NORTHWEST AIRLINES CRP u Y N
NWBT NORTHWEST BIOTHERAPEUTICS INC U Y N
OEGY OPEN ENERGY CORPORATION COM ST U Y N
OMRP OMNI RAIL PRODUCTS, INC. NEW u Y N
ONGO On the Go Healthcare, Inc. New U Y N
ONSM ONSTREAM MEDIA CORP S Y N
OPXA Opexa Therapeutics, Inc. Commo G Y N
ORMT ORMET CORP u N Y
OSCI OSCIENT PHARMACEUTICALS CORP N G Y N
OSIR OSIRIS THERAPEUTICS INC COM ST G Y N
OSTK OVERSTOCK COM INC DEL G Y N
OTIV ON TRACK INNOVATIONS LTD G Y N
OVTI OMNIVISION TECHNOLOGIES INC Q Y N
OXMI OXFORD MEDIA, INC. U Y N
PCFRF PACIFICA RESOURCES LTD COM SHS u N Y
PCSV PCS EDVENTURES COM INC U Y N
PCYC PHARMACYCLICS INC G Y N
PDEP PureDepth, Inc. Common Stock U Y N
PEFF POWER EFFICIENCY CORP NEW U Y N
PEYUF PEYTO ENERGY TRUST UNITS (CDA) u N Y
PHDT Phinder Technologies Inc. (FL) U Y N
PMCL Pharm Control Ltd. Common Stoc u Y N
PNPFF PINETREE CAPITAL LTD u N Y
POOL POOL CORPORATION COM STK Q Y N
PPTIE PROTEIN POLYMER TECHNLGS INC U Y N
PRMRF PARAMOUNT RESOURCES LTD CLASS u N Y
PRNW PROCERA NETWORKS INC U Y N
PSDV PSIVIDA LTD ADR G Y N
PWEI PW EAGLE INC G Y N
PWRM POWER 3 MED PROD INC u Y N
PWURF POWERTECH URANIUM CORP COM SHS u N Y
QBYT Quikbyte Software, Inc. New Co U Y N
QMMG QUEST MINERALS & MINING INC U Y N
QPSA QUEPASA CORP S Y N
QQQQ POWERSHARES QQQ TR UNIT SER 1 G Y N
QURAF QUATERRA RESOURCES INC LTD u N Y
RAME RAM ENERGY RESOURCES INC COM S S Y N
RAQPW RESTAURANT ACQUISTION PARTNERS U Y N
RCAU Rocket City Automotive Group, u N Y
RDSMY ROYAL DSM NV SPONSORED ADR (NE u N Y
REFR RESEARCH FRONTIERS INC S Y N
RGWYF RIDGEWAY PETROLEUM CORP (F) u N Y
RRSRF REAL RESOURCES INC u N Y
RVXCF RESVERLOGIX CORP u N Y
SBBFF Sabina Silver Corporation Ordi u N Y
SCRA SEA CONTAINERS LTD CL-A u Y N
SFLK SAFLINK CORP-NEW U Y N
SHCAY SHARP CORP ADR (U S) u N Y
SIFY SIFY LTD SPONS ADR G Y N
SIGA SIGA TECHNOLOGIES INC S Y N
SLHJ Sleep Holdings, Inc. Common St u N Y
SMFJY SUMITOMO MITSUI FINL GROUP INC u N Y
SMNPF SCORPIO MINING CORP u N Y
SMRL SIMTROL INC (NEW) U Y N
SMTR SMARTIRE SYSTEMS INC U Y N
SNDN SendTec, Inc. Common Stock U Y N
SNTRF San Anton Resource Corp Ordina u N Y
SPWR SUNPOWER CORPORATION CL A G Y N
STHJF STRATHMORE MINERALS CORP u N Y
STNL Solution Technology Internatio U Y N
SWRI SEAWRIGHT HOLDINGS INC U Y N
SWTS SWEET SUCCESS ENTERPRISES INC U Y N
SXRFF SXR URANIUM ONE INC u N Y
TDSC 3 D SYSTEMS CORP NEW G Y N
TFZP THERMAFREEZE PRODUCTS CORPORAT u Y N
TGEN TARGETED GENETICS CORP COM STK S Y N
THYFF THUNDER ENERGY TRUST ORD SHR T u N Y
TLHO TRESTLE HLDGS INC U Y N
TNXI TELANETIX INC COM STK U Y N
TPLM TRIANGLE PETROLEUM CORP U Y N
TRXMF TRIEX MINERALS CORP (CANADA) u N Y
TTWO TAKE-TWO INTERACTIVE SOFTWARE Q Y N
TUIJF TRUE ENERGY TRUST TR UT (CANAD u N Y
TWLP TWL Corporation Common Stock U Y N
UAMNF URAMIN INC REG SHS (BRITISH VI u N Y
UCHB UC HUB GROUP INC U Y N
UCSY UNIVERSAL COMMUNICATION SYSTEM u Y N
UEYCF U.T.S. ENERGY CORP u N Y
URME URANIUM ENERGY CORP U Y N
USEIE US Energy Initiatives Corporat U Y N
UTIX Utix Group, Inc. New Common St U Y N
VAPH VASO ACTIVE PHARM INC CL A U Y N
VERT VERTICALNET INC NEW COM STK S Y N
VLCCF KNIGHTSBRIDGE TANKERS LTD Q Y N
VSHD VSHIELD SOFTWARE CORP COM STK u Y N
VWDRY VESTAS WIND SYSTEMS AS AMER DE u N Y
WEESF WAVEFRONT ENERGY & ENVMT SVC I u N Y
WITM WITS BASIN PRECIOUS MINERALS I U Y N
WLDSF WILDROSE RESOURCES LTD(F) u N Y
WLKFE WALKER FINANCIAL CORP U Y N
WNBD Winning Brands Corporation Com u Y N
WSDT WISDOMTREE INVESTMENTS, INC. u N Y
WTSHF WESTSHORE TERMS INCOME FD TR U u N Y
YTEC YUCHENG TECHNOLOGIES LIMITED C S Y N
ZMSFF ZECOTEK MEDICAL SYSTEMS INC u N Y
ZOLT ZOLTEK COMPANIES INC G Y N
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