On July 28, 2004, the Securities and Exchange Commission published Regulation SHO, a rule which, among other things, imposes additional delivery requirements on broker/dealers for securities in which a substantial number of failures to deliver have occurred ("threshold securities"). In accordance with the rule, the American Stock Exchange calculates on a daily basis and makes available to all interested parties in electronic format the list of threshold securities for which the American Stock Exchange is the primary listing market.
Enter a date below (MM/DD/YYYY) and click download to access the list of threshold securities. Threshold securities are posted each day between the market close and midnight. To access threshold securities effective for a specific day, enter the previous settlement date. For example, to access the threshold list effective Tuesday, January 11, 2005, enter 01/10/2005 and click download. For more information and a description of the list, refer to the Reg SHO Data Field Definitions.