RE: tdwaterhouse-AVNFF Naked ShortsBelow is the list of firms that have been subjected to 'naked shorting', published for the first time Friday by Nasdaq. The 'naked shorters have 5 days to cover thier 'phantom' short share positions.
Advantage is on this list, the only Canadian O+G trust as I see it, most others are US small cap tech stocks.
I am still waiting for TDW and another broker to free up the AVN.un units and DFR shares. I wrote emails to both AVN and DEF/DFR about this today.
Scam in the works which is effecting AVN shareholders, some of which are in 'limbo' unable to move shares due to brokers/transfer agent delays. What a coincidence, LOL.
vocex1
Regulation SHO Threshold Security List
NASDAQ Issues Mutual Funds
NASDAQ Symbols Market Category Market Statistics SOES Tier Size NASDAQ Indexes Fund Type Fund Category MP Type ------------------ Downloads: Other Exchanges NASDAQ Issues Mutual Funds MPs Regulation SHO As defined in Rule 203(c)(6) of Regulation SHO, a “threshold security” is any equity security of any issuer that is registered under Section 12 of the Exchange Act, or that is required to file reports under Section 15(d) of the Exchange Act (commonly referred to as reporting securities), where, for five consecutive settlement days:
There are aggregate fails to deliver at a registered clearing agency of 10,000 shares or more per security;
The level of fails is equal to at least one-half of one percent of the issuer’s total shares outstanding; and
The security is included on a list published by a self-regulatory organization (SRO).
A security ceases to be a threshold security if it does not exceed the specified level of fails for five consecutive settlement days.
NASDAQ will publish a new Threshold Security List on each subsequent settlement day prior to midnight, Eastern Time. NASDAQ's file will contain information for NASDAQ Issues (NNM and SmallCap), OTCBB Issues, and Other OTC Issues.
The list can also be obtained via a file transfer protocol (FTP) directory.
More information about file layout and file dissemination time is available.
Please note data displayed for 12/22/2004 is test data. Actual live Production data will be available starting the evening of Friday, January 7, 2005.
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Trade Date:
Friday, January 07, 2005 File Creation Timestamp:
01/08/2005 09:51:48 AM
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Threshold Security List - Friday, January 07, 2005
Symbol Security Name Market
Category Reg SHO Threshold Flag
AAII AAIPHARMA INC Q Y
AATK AMERICAN ACCESS TECHNOLGS INC S Y
ABFI AMERN BUSINESS FINL SVCS INC Q Y
ABSSF AIRBOSS OF AMERICA CP NEW(F) u Y
ACTY ACCESSITY CORP NEW S Y
ADDI ADDISON-DAVIS DIAGNOSTICS, INC U Y
ADIE AUTODIE CORP u Y
ADRA BLDRS ASIA 50 ARR Q Y
ADRD BLDRS DEVELOPED MKTS 100 ARD Q Y
ADVK ADVANCED SOLUTIONS & TECHNOLOG u Y
AEGN AEROGEN INC S Y
AFKDY AFRIKANDER LEASE LTD ADR u Y
AFTC AMERN FILM TECHNLGIES INC u Y
AGEN ANTIGENICS INC. (DEL) Q Y
AGPT AGRIPOST INC u Y
AGYRP ALLIANT ENERGY RES INC 7.25% S u Y
AKOL ALASKA OIL & GAS LTD. u Y
AKSY AKSYS LTD Q Y
ALDA ALDILA INC Q Y
ALYNQ ALYN CORPORATION u Y
AMCVQ AMERICAN CLASSIC VOYAGES CO u Y
AMGJ AG MEDIA GROUP INC u Y
AMTC AMERITRANS CAPITAL CORPORATION S Y
AMXI AMNEX INC u Y
ANDR ANDREA ELECTRONICS CORP U Y
ANGC ANGELES CORP u Y
ANLT ANALYTICAL SURVEYS INC-NEW S Y
ANTP PHAZAR CORP S Y
AORMF ANORMED INC u Y
APPX AMERICAN PHARMACCUTICAL PARTNE Q Y
AQGL AQUAGEN INTERNATIONAL INC. NEW u Y
ARRU MERRILL LYNCH & CO INC ARN LKD Q Y
ARWR ARROWHEAD RESEARCH CORP S Y
ARWRW ARROWHEAD RESEARCH CORPORATION S Y
ASAB ASIA BROADBAND INC u Y
ASBFY ASSOCIATED BRITISH FD PLC ADR u Y
ASFZ ASSOC.FIRST CAP CRP RVO u Y
ATADF ATAC RESOURCES LTD (CDA) u Y
ATCO AMERICAN TECH CORP (DEL) NEW S Y
ATNAF ATNA RESOURCES LTD (F) u Y
AUGB AMERICAN UNITED GLOBAL INC-NEW u Y
AVCD ADVANCED CMPTR TECHNIQUES CRP u Y
AVNA ADVANCE NANTECH INC U Y
AVNNF ADVANTAGE ENERGY INCOME TR UNI u Y
BDYS BODYSCAN CORP u Y
BEVI BEVSYSTEMS INTERNATIONAL INC u Y
BIEL BIOELECTRONICS CORP u Y
BIGD BIG DADDY'S BBQ RACING CO. u Y
BIKO BICO INC U Y
BIOW BIOMEDICAL WASTE SYS INC u Y
BKCI BUCKEYE COMMUNICATIONS INC u Y
BKHM BOOKHAM INC Q Y
BLRB BLUE RIBBON INTERNATIONAL INC u Y
BLTI BIOLASE TECHNOLOGY INC Q Y
BMAL BUSINESSMALL.COM INC u Y
BNKFF BANKERS PETROLEUM LTD u Y
BOOM DYNAMIC MATERIALS CORP S Y
BOOYY BOOTS GRP PLC UNSPONS ADR (UK) u Y
BORD BOARDWALK BANK (NJ) S Y
BPUR BIOPURE CORPORATION CL-A Q Y
BSBLQ SCORE BOARD INC u Y
BSTE BIOSITE INC Q Y
BVHJ BEVERLY HILLS FILM STUDIOS NEW u Y
BVSN BROADVISION INC COM NEW Q Y
CAAS CHINA AUTOMOTIVE SYSTEMS INC S Y
CABG CABG MEDICAL, INC. Q Y
CAFE HOST AMERICA CORP S Y
CALM CAL-MAINE FOODS INC Q Y
CBBS COLUMBIA BAKERIES INC NEW u Y
CBTE COMMONWEALTH BIOTECHNOLOGS INC S Y
CCGC CCC GLOBALCOM CORP. u Y
CFWEQ CONS FREIGHTWAYS CORP u Y
CHCL CHINA CONTINENTAL INC u Y
CHDT CHINA DIRECT TRADING CORPORATI U Y
CHES CHESTER HLDGS LTD u Y
CIFMF CI FUND MANAGEMENT INC u Y
CMKK CHILMARK ENTERTAINMENT GROUP I u Y
CMLGF CROWFLIGHT MINERALS INC u Y
CMNZF CENTURY MINING CO (CA) u Y
CMPGY COMPASS GROUP PLC (UK) u Y
CMTN COPPER MTN NETWORKS INC Q Y
CNDD CONCORDE AMERICA INC u Y
CONI CONTINENTAL INVESTMENT CP-NEW u Y
COSWF CANADIAN OIL SANDS TRUST u Y
CPKYF CARPATSKY PETROLEUM INC u Y
CPRD CORPORATE ROADSHOW COM INC U Y
CRCS CORECARE SYSTEMS INC u Y
CRDM CARDIMA INC S Y
CSCC CENTERSPAN COMMUNICATIONS CP u Y
CSDN CROSSSTREET DISTRIBUTION INC u Y
CSJB MERRILL LYNCH & CO INC JETBLUE Q Y
CSJJ COASTAL HOLDINGS INC NEW u Y
CSSA MERRILL LYNCH & CO INC 8%CALLA Q Y
CSTJ CRESTON RESOURCES LTD u Y
CTCHC COMMTOUCH SOFTWARE LTD S Y
CUAQ CHINA UNISTONE AQUISITION CORP U Y
CUAQU CHINA UNISTONE ACQUSITION CORP U Y
CVQC CIVIC EQUITES CORP u Y
CVVLF CANALASKA VENTURES LTD U Y
CWYR COLORADO WYOMING RESERVE CO u Y
CYBR CYBERCARE INC u Y
CYBUF CYBERSURF CORP (F) u Y
CYTR CYTRX CORP S Y
DAEEF DASHER EXPLORATION LTD u Y
DASTY DASSAULT SYSTEMES SA ADR Q Y
DCTH DELCATH SYSTEMS INC S Y
DCUT DICUT INC u Y
DGRLF DIGITAL ROOSTER.COM LTD U Y
DIGSQ SOFTLOCK.COM INC u Y
DMTHF DIMETHAID RESEARCH INC (F) u Y
DMTI DATAMETRICS CORP u Y
DNTK DAUPHIN TECHNOLOGY INC u Y
DRRAP DURA AUTOMOTIVE SYS CAP TR PFD Q Y
DSMKY DSM NV SPON ADR u Y
DSTI DAYSTAR TECHNOLOGIES INC S Y
DTLXF DATALEX CORP u Y
DVNLF DUVERNAY OIL CORP u Y
DVNNF DEVINE ENTERTAINMENT CORP(F) u Y
DYTK DYNTEK INC U Y
ECSPQ ENRON CAPITAL RES LP 9% PFD A u Y
ECST ECOST.COM INC Q Y
EDGR EDGAR ONLINE.INC Q Y
EEEI ELECTRO ENERGY INC S Y
EESI EMERGING ENTERPRISE SOLUTIONS u Y
EIDSY EIDOS PLC ADR Q Y
ELOS SYNERON MEDICAL LTD ORD SHARES Q Y
EMTI ENVIRONMENTAL TECHNOLOGIES INT u Y
ENGY ENVIRO- ENERGY CORP u Y
EPMD EP MEDSYSTEMS INC S Y
EQTX EQUITEX INC S Y
ERHC ENVIRONMNL REMEDIATION FUNDING U Y
ESOLQ EMPLOYEE SOLUTIONS INC u Y
ETAD ENTRADE INC(HOLDING CO) u Y
ETLC ETELCHARGE.COM INC u Y
EVAM ENVIRONMENTAL ASSETS MGMT INC u Y
EVLO EVOLVE ONE INC NEW U Y
EVRC EVERCEL INC u Y
FANT FINANTRA CAPITAL INC u Y
FCACF FORMATION CAPITAL CORP (F) u Y
FDEG FRIENDLY ENERGY CORPORATION u Y
FDEI FIDELIS ENERGY INC U Y
FLMP FLAME SEAL PRODUCTS u Y
FPFX FIRSTPLUS FINANCIAL GR INC u Y
FPXA FORTUNE NATURAL RESOURCES CORP u Y
FRDM FRIEDMANS INC CL-A u Y
FRLLF FARALLON RESOURCES LTD u Y
FSIJ FOOD SAFE INTL INC NEW u Y
FSRT FREESTAR TECHNOLOGY CORP NEW U Y
FSTF FIRST STATE FINANCIAL CORP (FL Q Y
GADZQ GADZOOKS INC u Y
GALB GALTON BIOMETRICS INC NEW. u Y
GBAMF GLOBAL ALUMINA PRODS CORP u Y
GBRIF GOLDEN BAND RESOURCES INC (F) u Y
GCEGF GEOCAN ENERGY INC u Y
GDSJF GOLD SUMMIT CORPORATION u Y
GENI GENESISINTERMEDIA INC u Y
GENM GRAND ENTERTMT & MUSIC INC u Y
GIVN GIVEN IMAGING LTD Q Y
GKNLY GKN PLC SPONS ADR u Y
GLBC GLOBAL CROSSING LTD NEW (BERMU Q Y
GLBE GLOBAL ESCIENCE CORP u Y
GLBT GLOBALNET CORPORATION U Y
GLNC GLOBAL NATIONAL COMMUNICATIONS U Y
GMDP GLOBAL MEDICAL PRODUCTS HLGS I u Y
GMGX GALACTIC GAMING INC u Y
GNBT GENEREX BIOTECHNOLOGY CORP S Y
GOAM GO AMERICA INC NEW S Y
GORX GEOPHARMA INC S Y
GSREF GASTAR EXPLORATION LTD u Y
GTEL GLOBETEL COMMUNICATIONS CORP U Y
GTKN GAME TECHNOLOGIES INC u Y
GTTLQ GT GROUP TELECOM INC CL B u Y
GUCG GUCCI GRP NV(COM2.23 DTCH GLDS u Y
GWLG GROWTHLOGIC INC u Y
GZFX GAMEZNFLIX INC U Y
HCCF HEE CORPORATION COMM STK u Y
HCCFP HEE CORPORATION PFD u Y
HCNP HAMPTON CONSULTING CORP u Y
HMYRQ HEILIG MEYERS COMPANY u Y
HOFF HORIZON OFFSHORE INC Q Y
HPON HOP-ON.COM u Y
HPRIF HIGH POINT RESOURCES INC u Y
HTBI HOT BRANDS INC u Y
IBYXF INTL BARRYTEX RES LTD (F) u Y
ICTN INNOVATIVE COMMUNI TECHS INC u Y
IEME IEMI u Y
IFTA INFOTOPIA INC - NEW u Y
INCX INTERCHANGE CORPORATION S Y
INFY INFOSYS TECHNOLOGIES LTD ADS Q Y
INGN INTROGEN THERAPEUTICS INC Q Y
INLRF ICON LASER EYE CENTERS INC u Y
INMD INTEGRAMED AMERICA INC Q Y
INSM INSMED INC-NEW Q Y
INTZ INTRUSION INC NEW S Y
INWD INWOOD DEV CORP u Y
IQBX I Q BIOMETRIX INC NEW U Y
ISON ISONICS CORP S Y
ISONL ISONICS CORP WTS B 12/31/2005 S Y
ISONZ ISONICS CORP WTS C 12/31/2005 S Y
ISRI INTL STAR INC u Y
ISTM I-STORM INC. u Y
ITVGF ITV GAMES INC u Y
IVWFF IVERNIA INC u Y
IWSI INTEGRATED WASTE SVCS INC. u Y
JCOUF JEAN COUTU GRP CL-A S/VTG u Y
JMYCW JAMESWAY CORP WTS 1/27/10 u Y
JNRRF JNR RESOURCES INC (F) u Y
KENS KENILWORTH SYSTEMS CORP u Y
KNBWY KIRIN BREWERY LTD SPONSORED AD S Y
KOOP DRKOOP.COM INC u Y
KQIPQ KPNQWEST NV CL-C NY REG SHS u Y
KSUAO KANSAS CITY SOUTHERN 4.25% PER u Y
LBRT LIBERATE TECHNOLOGIES u Y
LGREF LOGAN RESOURCES LTD (CANADA) u Y
LIHRY LIHIR GOLD LTD SPONS ADR Q Y
LNMIY LONMIN PLC SPONS ADR-NEW u Y
LNVGY LENOVO GROUP LTD SPONS ADR u Y
LRLSQ LORAL SPACE & COMMUNICATIONS L U Y
LTWC LTWC CORPORATION u Y
MAGS MAGAL SECURITY SYSTEMS LTD-ORD Q Y
MBND MULTIBAND CORP S Y
MBTA TRANSMEDIA ASIA PACIFIC INC u Y
MCHX MARCHEX INC Q Y
MCLDW MCLEODUSA INC WTS NEW U Y
MCSIQ MCSI INC. u Y
MCYPF MUSICRYPT INC (CANADA) u Y
MDDM MDM GROUP INC u Y
MDLK MEDIALINK WORLDWIDE INC Q Y
MDMN MEDINAH MINERALS INC u Y
MEGL MESA GOLD INC u Y
MEIX MUTUAL EXCHANGE INT'L INC u Y
MEMI MIRACLE ENTERTAINMENT INC u Y
MHNZF MATCHNET SPN REG S GDR u Y
MLKKF MERCATOR MINERALS LTD u Y
MMFS MEM FINANCIAL SOLUTIONS, INC. u Y
MMUS MAKEMUSIC INC NEW S
MNCP MOTIENT CORP u Y
MPTT MPTV INC-NEW u Y
MRLE MERL HOLDINGS INC.COM u Y
MTXLF MATERIALS PROTECTION TECHNGY(F u Y
MUGRF MURGOR RESOURCES INC (F) u Y
MWAV M-WAVE INC S Y
MXAL METAL RECOVERY TECHNLGS INC u Y
MXAM MAXAM GOLD CORPORATION u Y
NAVR NAVARRE CORP Q Y
NCLRF NORTHERN CONTL RES INC (F) u Y
NDVLY NEW WORLD DEV CO SPONS ADR u Y
NEKDA NEUROTECH DEVELOPMENT CORPORAT u Y
NELMQ NATURES ELEMENT HOLDING CRP u Y
NFLD NORTHFIELD LABORATORIES INC Q Y
NFLX NETFLIX COM INC Q Y
NFXGF NFX GOLD INC (CANADA) u Y
NGEN NANOGEN INC Q Y
NGPC NGP CAPITAL RESOURCES COMPANY Q Y
NGTHQ NEXT GENERATION TECH HLDGS INC u Y
NHCMF NHC COMMUNICATIONS INC (F) u Y
NLBC NELSON L B CORP u Y
NLRRF NELSON RESOURCES LTD u Y
NMCX NMC INC u Y
NPNI NEPTUNE INDUSTRIES INC u Y
NRDS NORD RESOURCES CORPORATION u Y
NSDM NORTH STAR DIAMONDS INC u Y
NUSI NUTRI SOURCE INDUSTRIES INC u Y
NVAX NOVAVAX INC Q Y
NVEC NVE CORPORATION NEW S Y
NVONF NUVO NETWORK MGMT INC u Y
NVPGF NEVADA PAC GOLD LTD u Y
NWPWQ NEWPOWER HOLDINGS INC u Y
OBTV ORBITTRAVEL.COM CORPORATION u Y
OGAM ONLINE GAMING SYSTEMS LTD u Y
OGLEQ OGLEBAY NORTON CO u Y
OLAB ORALABS HOLDING CORP S Y
OMNI OMNI ENERGY SVCS CORP Q Y
OSHC OCEAN SHORE HOLDING CO Q Y
PACT PACIFICNET INC NEW S Y
PDNW PROXITY DIGITAL NETWORKS INC u Y
PDSE PARADISE MUSIC & ENTMT INC u Y
PFMS PAPERFREE MEDICAL SOLUTIONS IN U Y
PGEXQ PACIFIC GATEWAY EXHANGE INC u Y
PHYOY PHYTOPHARM PLC SPONS ADR (UNIT u Y
PLFM PLATFORMS WIRELESS INTL CORP u Y
PLNI PLASTICON INTL INC u Y
PNVNQ PNV INC u Y
POSO PROSOFTTRAINING S Y
PPHD PREMIER PLATFORMS HLDG INC NEW u Y
PPYR PRIMEPLAYER INC u Y
PRAV PARADIGM ADVANCED TECHNLGS INC u Y
PTSEF POINTS INTL LTD (CANADA) u Y
PTSG PETROSEARCH ENERGY CORP u Y
QDXC QUADRAX CORPORATION u Y
QTRO Q TRONICS INC u Y
QURAF QUATERRA RESOURCES INC LTD u Y
RCOQF QUALITY DINO ENTERTAINMNT LTD u Y
REDF REDIFF.COM INDIA LTD ADS S Y
RLTR REELTIME RENTALS INC u Y
RNGZY ROSNEFTEGAZSTROY JSC SPN ADR u Y
SCMI SUNNCOMM INTERNATIONAL INC u Y
SCTN SCHIMATIC TECH INC u Y
SCUI SECURECARE TECHNOLOGIES, INC. U Y
SCXC SCIAX CORPORATION u Y
SDVR SDI VIRTUAL REALITY CORP u Y
SGCNF SUNRIDGE GOLD CORP(F) u Y
SGDTF STERLITE GOLD LTD u Y
SINPY SINGAPORE LAND LTD ADR u Y
SKRZF SKYE RESOURCES INC u Y
SLOAF STELCO INC CV CL-A COM (F) u Y
SLTXF SLATER STEEL INC (F) u Y
SMEFF STORM CAT ENERGY CORPORATION u Y
SMLA STEALTH MEDIALABS INC u Y
SMSE SMS @CTIVE TECHNOLOGIES CORP u Y
SMTKQ SMARTALK TELESERVICES INC u Y
SMTX SMTC CORPORATION NEW Q Y
SNPC SUNPOINT SECURITIES INC u Y
SOLD HOUSE VALUES, INC Q Y
SONT SONTRA MED CORP S Y
SPCBF SUPERCOM LTD (ISRAEL) U Y
SPRL STRAT PETROLEUM LTD NEW u Y
SPRS SURGE COMPONENTS INC u Y
SQNC SEQUOIA INTERESTS CORPORATION u Y
STGIF ST GENEVIEVE RESOURCES LTD u Y
STIY STINGER SYS INC u Y
SYHO SYNERGIE WELLNESS PRODUCTS INC u Y
TASR TASER INTERNATIONAL INC Q Y
TAYD TAYLOR DEVICES INC S Y
TBAH TUBAC HOLDINGS INC u Y
TEIL 3E INTERNATIONAL CORP u Y
TINN TRIAD INNOVATIONS INC u Y
TKHL TKO HLDGS LTD u Y
TLXFQ TOOLEX INTL N.V. ORD u Y
TMARQ TRICO MARINE SERVICES INC u Y
TMBN TIMBER RESOURCES INTL INC NEW u Y
TMMG TRIM IMAGE INC u Y
TNGO TANGO INC u Y
TPBV TROPICAL BEVERAGE INC u Y
TPLQ TPC LIQ INC u Y
TRICY TRICOM SA ADS(RP 1 CL A COMM) u Y
TSAR TRISTAR CORP u Y
TSENF TELESCENE FILM GROUP INC u Y
TTNP TUTORNET.COM GROUP INC u Y
TTWP 12 TO 20 PLUS. INC. NEW U Y
TVGTF TVG TECHNOLOGIES LTD-ORD- u Y
TYRRF TYLER RESOURCES INC (F) u Y
TZOO TRAVELZOO INC Q Y
UEYCF U.T.S. ENERGY CORP u Y
ULTEE ULTIMATE ELECTRONICS INC Q Y
UNMPL UNUMPROVIDENT CORP ADJ CONV RA u Y
UPGD UPGRADE INTL CORP u Y
USCA U.S. CANADIAN MINERALS, INC. N u Y
USWF US WIND FARMING INC u Y
UTDL UNITED LEISURE CORP u Y
VCIX VIRTUAL COMMUNITIES INC u Y
VCMP VCAMPUS CORP S Y
VCSY VERTICAL COMPUTER SYS INC-NEW- u Y
VERGF VERB EXCHANGE INC u Y
VERT VERTICALNET INC S Y
VGENQ HARVARD SCIENTIFIC CORP u Y
VIRFF VIREXX MEDICAL CORP u Y
VLTS VALENTIS INC S Y
VNCO VENCOR INTL INC u Y
VPER VIPER NETWORKS INC. u Y
WATFZ WATERFORD WEDGEWOOD PLC ADR UT Q Y
WFDNF WOLFDEN RES INC (CDA) u Y
WGFL WORLD GOLF LEAGUE INC (THE) NE U Y
WHRT WORLD HEART CORPORATION (CANAD Q Y
WJTAF WESTJET AIRLINES LTD u Y
WLSF WELLSTONE FILTERS INC U Y
WSTM WORKSTREAM INC S Y
WTFCP WINTRUST CAPITAL TR I PFD Q Y
WWEN W2 ENERGY INC. (NV) u Y
XEDA AXEDA SYSTEMS INC S Y
XING QIAO XING UNIV TELEPHONE INC Q Y
XLACF XCELERA INC u Y
XNVA XENOVA GROUP PLC ADS-NEW Q Y
XTMG XTREME TECHNOLOGIES INC u Y
XYNY XYNERGY CORPORATION u Y
YUKOY YUKOS CORP SPONS ADR u Y
ZANN ZANN CORPORATION U Y
ZEDKF ZED.I SOLUTIONS INC u Y
ZOLT ZOLTEK COMPANIES INC Q Y
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