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Thursday, August 2, 2007

General News #2007 - 22
NASDAQ Issues Notice Regarding Regulation SHO Threshold Securities List for January 2, 2007

What you need to know:
  • A Regulation SHO Threshold Securities List for NASDAQ and OTCBB stocks for January 2, 2007 was not published on NASDAQTrader.com and should have been published.
  • Firms are advised to review the attached summary spreadsheet and replacement lists reflecting the revised lists of securities subject to the Regulation SHO and NASD Rule 3210 requirements for the settlement dates from January 2, 2007 through January 23, 2007.

Who you should contact: FINRA Operations at 800.776.0800

What do I need to know about the Regulation SHO Threshold List?
On January 2, 2007, a Regulation SHO Threshold List for NASDAQ and OTCBB stocks was not published on NASDAQTrader.com. Although the equities markets were closed in observance of the National Day of Mourning in honor of former President Gerald Ford, normal T+3 settlement process was operational. As a result, the original published Regulation SHO Threshold/NASD 3210 Lists listed below have been modified. On August 3, 2007, a summary of the changes for each trade date listed below will be available via the NASDAQ Trader® website at ftp://ftp.nasdaqtrader.com/symboldirectory/regsho under the file name "Reg SHO Security Summary Jan 2 2007.txt". In addition, revised lists of securities will be generated for the trade dates below.

To avoid confusion, NASDAQ® will:

  1. Rename the existing files in the ftp site by adding the word "original" at the end of the file names. (e.g. nasdaqth20070103.txt will become nasdaqth20070103original.txt)
  2. Place the revised files into the folder with the usual name. (e.g. nasdaqth20070103.txt)
January 3, 2007
January 4, 2007
January 5, 2007
January 8, 2007
January 9, 2007
January 10, 2007
January 11, 2007
January 12, 2007
January 16, 2007
January 17, 2007
January 18, 2007
January 19, 2007
January 22, 2007
January 23, 2007

Additionally, a Regulation SHO Threshold Securities List has been published for January 2, 2007.

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

Where can I get additional information?

  • View NASDAQ’s Regulation SHO page.
  • For more information on changes to the Regulation SHO Threshold Securities List to accommodate NASD Rule 3210:
  • View the SEC website.
  • Contact FINRA Operations at 866.776.0800.


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