Threshold List

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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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According to the SEC, 11,345 securities have "graduated" from Threshold Lists since January 10, 2005, "representing 8.
Exchanges in other markets should be required to report the securities on daily Threshold Lists and aggregate daily volume of fails for each such security.
That list is known as the Regulation SHO Threshold List.
The regulation also allows FTDS that do not remain open long enough for the issuer to appear on the Threshold List.
The regulation clearly states that fails must be closed out after 13 days and even options market makers may not fail in issues with enough FTDS to be on the Threshold List.
net, announced today that these select companies have been on the NASDAQ, AMEX and NYSE naked short threshold lists for 13 consecutive trading days: Microfield Group, Inc.
NET has included StereoVision on its naked short threshold list (included below) for 13 consecutive days.
Exchanges will begin publishing daily threshold lists starting January 10th.
Short interest as a percentage of float should become the more important ratio measure to determining stock potentially at risk of moving on to the threshold list," writes Bartels in her report published on Dec.

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