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Thursday, March 11, 2010

General News #2010 - 1
NASDAQ OMX Issues Notice Regarding Regulation SHO Threshold Securities List for March 5, 2010 and March 8, 2010

Markets Impacted:

  • The NASDAQ Stock Market

Contact Information:

  • FINRA Operations at +1 866 776 0800

What you need to know:

  • The Regulation SHO Threshold Securities List for NASDAQ®, OTC Bulletin Board® (OTCBB) and other OTC stocks for March 5, 2010 and March 8, 2010 was incorrectly published on the NASDAQ OMX Trader® website.
  • Firms are advised to review the replacement lists reflecting the revised securities subject to the Regulation SHO and FINRA Rule 3210 requirements for the settlement dates from March 5, 2010 and March 8, 2010.

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

On March 5, 2010 and March 8, 2010, an incorrect Regulation SHO Threshold List for NASDAQ and OTCBB stocks was published on the NASDAQ OMX Trader website. The original published Regulation SHO Threshold/FINRA 3210 lists have 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. nasdaqth20081013.txt will become nasdaqth20081013original.txt).
  2. Place the revised files into the folder with the standard name (e.g. nasdaqth20081013.txt).

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

Where can I get additional information?

FINRA™ is a trademark of the Financial Industry Regulatory Authority, Inc.

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