Threshold List

Threshold List

A list of securities for which a significant number of shares fails to deliver after five days. A security is placed on the list if 10,000 shares fail to deliver, if more than 0.5% of shares outstanding fail, or if a self-regulatory organization declares it a threshold security. The list is maintained by the National Securities Clearing Corporation. See also: Regulation SHO.
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That list is known as the Regulation SHO Threshold List.
Thus, as shown in Table 3, many companies have been on the Threshold List more than once; some have been on for hundreds of trading days, belying the SEC's 13-day settlement rule.
net has built a proprietary database that uses Threshold list feeds from NASDAQ, AMEX and NYSE to generate detailed and useful information to combat the naked short selling problem.
Upon review of the Regulation SHO Threshold List, only 69 of many thousand "Other OTC" traded securities have SHO Threshold Fails to Deliver, which suggest substantial naked short selling in those issues.
We have also been informed that the Company has recently been added to the Regulation SHO Threshold list, which means that aggregate shares recently traded failed to deliver the reported company's common shares at a registered clearing agency.
has been on the OTC Naked Short Threshold list for 16 trading days and short sellers have been failing to deliver for 21 consecutive trading days.
has been on the OTCBB Naked Short Threshold list for 5 trading days and short sellers have been failing to deliver for 10 trading days.
The grandfather clause excluded from reporting and monitoring requirements short positions on stocks prior to the time these stocks were included in a threshold list of stocks with substantial short positions.
TABLE OMITTED] XDSL On OTCBB Naked Short Threshold List On List Off List # Days February 3, 2005 March 11, 2005 26 April 29, 2005 June 21, 2005 37 July 20, 2005 August 15, 2005 19 August 26, 2005 September 6, 2005 7 October 7, 2005 October 28, 2005 15 January 17, 2006 March 27, 2006 49 May 25, 2006 June 8, 2006 10
CYOS On OTCBB Naked Short Threshold List On List Off List # Days January 31, 2005 February 23, 2005 17 March 23, 2005 April 19, 2005 19

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