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Monday, October 27, 2008

General News #2008 - 9
Regulation SHO Threshold Securities List for October 24, 2008 has been Modified

What you need to know:

  • A Regulation SHO Threshold Securities List for NASDAQ and OTCBB stocks for October 24, 2008 was incorrect as published on the NASDAQ Trader website.
  • Firms are advised to review the replacement lists reflecting the revised lists of securities subject to the Regulation SHO and NASD Rule 3210 requirements for the settlement date October 24, 2008.

Who you should contact:

FINRA Operations at +1 866 776 0800

What do I need to know about the Regulation SHO Threshold List?

On Friday, October 24, 2008, an incorrect Regulation SHO Threshold List for NASDAQ® and OTCBB stocks was published on the NASDAQ Trader® website. As a result of a process timing error, the original published Regulation SHO Threshold/NASD Rule 3210 List has been modified.

To avoid confusion, NASDAQ OMXSM will:

  1. Rename the existing files in the ftp site by adding the word "original" at the end of the file names. (e.g. nasdaqth20081024.txt will become nasdaqth20081024original.txt)
  2. Place the revised files into the folder with the usual name. (e.g., nasdaqth20081024.txt).

Firms are advised to review these lists to ensure compliance with Regulation SHO and NASD Rule 3210 requirements.

Where can I get additional information?


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