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Threshold Securities

April 18, 2005

Threshold securities are equity securities that have an aggregate fail to deliver position for:

Threshold securities only include issuers registered or required to file reports with the Commission ("reporting companies"). Therefore, securities of issuers that are not registered or required to file reports with the Commission, which includes the majority of issuers on the Pink Sheets, cannot be threshold securities.

For more information about threshold securities, including where you can find threshold lists, please see the Division of Market Regulation’s Key Points About Regulation SHO, particularly Part IV, entitled Threshold Securities.

The Office of Investor Education and Advocacy has provided this information as a service to investors. It is neither a legal interpretation nor a statement of SEC policy. If you have questions conce
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