Who is responsible for providing lists of threshold securities? When will the threshold lists be provided?
The SROs will disseminate threshold lists that will contain securities that are listed on their market systems and that exceed the specified fail level for at least five consecutive settlement days. A threshold security is expected to appear on one list. If a threshold security is listed on more than one market system, we understand that the SROs have agreed that the security will appear only on the threshold list of the SRO that maintains the primary listing. On January 3, 2005, the SROs will begin the calculations necessary to determine whether securities may qualify as threshold securities. This process is described in greater detail in Question 6.2. On January 10, 2005, the SROs should disseminate the first threshold lists. SROs are expected to disseminate their threshold lists before the commencement of each trading day. We understand that the SROs have agreed to make all their lists publicly available at or before midnight each trading day. Therefore, these threshold lists will b
