Who Do I Contact For More Information About Securities On a Threshold List?
If you have a question regarding a security on a particular SRO’s threshold security list, contact that SRO directly. The following SROs are publishing threshold securities lists: • for a particular OTCBB or Pink Sheet security on the threshold list, you may call NASD Market Operations at (866) 776-0800 or send an email to nasdmarketoperations@nasd.com; • for a particular NYSE listed security, you may contact NYSE at RegSHOQ@nyse.com; • for a particular Amex listed security, you may e-mail regsho@amex.com; • for a particular ArcaEx security, you may call ArcaEx Clearing Hotline at (312) 442-7989 or send an e-mail to exchangesecop@archipelago.com; • for a particular CHX security, you may e-mail regshoinfo@chx.com. F. Grandfathering Under Regulation SHO The requirement to close-out fail to deliver positions in threshold securities that remain for 13 consecutive settlement days does not apply to positions that were established prior to the security becoming a threshold security. This is k
