{"id":335,"date":"2015-10-01T16:17:00","date_gmt":"2015-10-01T16:17:00","guid":{"rendered":"http:\/\/exchangedata.wpengine.com\/wondering-which-securities-have-been-placed-on-the-threshold-list\/"},"modified":"2022-03-10T11:29:09","modified_gmt":"2022-03-10T10:29:09","slug":"wondering-which-securities-have-been-placed-on-the-threshold-list","status":"publish","type":"post","link":"https:\/\/www.exchange-data.com\/es\/wondering-which-securities-have-been-placed-on-the-threshold-list\/","title":{"rendered":"Wondering which securities have been placed on the threshold list?"},"content":{"rendered":"<p>Since the beginning of the year, the Financial Industry Regulatory Authority (FINRA) has fined several financial institutions hundreds of thousands US dollars for violation of the Regulation SHO.<\/p>\n<ul>\n<li>January \u2013 Normura Securities International, Inc. \u2013 US$ 100,000<\/li>\n<li>June \u2013 Two entities of Merrill Lynch \u2013 US$ 11 million<\/li>\n<li>July \u2013 OZ Management LP &#8211; $4.25 million<\/li>\n<li>August \u2013 StockCross Financial Services, Inc. \u2013 US$ 800,000<\/li>\n<\/ul>\n<p>Just to name a few.<\/p>\n<p>If your role requires you to comply with SEC\u2019s SHO regulations governing short selling activities, then Exchange Data International can provide you with daily reported short sale trade data, also known as Threshold Securities Listings.<\/p>\n<h4>Definition of a Threshold Securities List<\/h4>\n<p>Threshold Securities Listings detail daily market settlement system failures (or &#8216;fails&#8217;). They are published in compliance with SEC regulations.<\/p>\n<h4>The criteria for inclusion of a security on a Threshold List<\/h4>\n<p>Over a period of 5 consecutive days a security must have:<\/p>\n<ul>\n<li>A total number of \u2018fails to deliver\u2019 exceeding 10,000 shares<\/li>\n<li>A total number of \u2018shares that have failed to deliver at least equal to .5% of the issuer\u2019s total outstanding shares<\/li>\n<li>Been listed on a similar list by a self-regulatory organization<\/li>\n<\/ul>\n<p>If you would like to find out more about this service or even try it, please <a title=\"Contact EDI\" href=\"https:\/\/www.exchange-data.com\/contact.php\">contact our sales team<\/a>.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>Since the beginning of the year, the Financial Industry Regulatory Authority (FINRA) has fined several financial institutions hundreds of thousands US dollars for violation of the Regulation SHO. January \u2013 Normura Securities<\/p>\n<a href=\"https:\/\/www.exchange-data.com\/es\/wondering-which-securities-have-been-placed-on-the-threshold-list\/\" class=\"more-link\">Learn More<\/a>.","protected":false},"author":23,"featured_media":24207,"comment_status":"closed","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_acf_changed":false,"inline_featured_image":false,"footnotes":""},"categories":[63],"tags":[1812,1818,1813,1814,1825,1822,1816,1823,1824,1820,1821,1817],"class_list":["post-335","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-press-releases-edi","tag-edi-announcements-archives","tag-corporate-actions-archives-edi","tag-data-solutions","tag-edi-archives","tag-evaluated-pricing-data-archives-edi","tag-exchange-data-international-archives","tag-edi-financial-data-archives","tag-edi-fintech-archives","tag-global-economic-data-archives-edi","tag-pricing-data-archives-edi","tag-reference-data-edi","tag-us-mutual-funds-archives-edi"],"acf":[],"_links":{"self":[{"href":"https:\/\/www.exchange-data.com\/es\/wp-json\/wp\/v2\/posts\/335","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.exchange-data.com\/es\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.exchange-data.com\/es\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.exchange-data.com\/es\/wp-json\/wp\/v2\/users\/23"}],"replies":[{"embeddable":true,"href":"https:\/\/www.exchange-data.com\/es\/wp-json\/wp\/v2\/comments?post=335"}],"version-history":[{"count":0,"href":"https:\/\/www.exchange-data.com\/es\/wp-json\/wp\/v2\/posts\/335\/revisions"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/www.exchange-data.com\/es\/wp-json\/wp\/v2\/media\/24207"}],"wp:attachment":[{"href":"https:\/\/www.exchange-data.com\/es\/wp-json\/wp\/v2\/media?parent=335"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.exchange-data.com\/es\/wp-json\/wp\/v2\/categories?post=335"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.exchange-data.com\/es\/wp-json\/wp\/v2\/tags?post=335"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}