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Industry-Wide Supplemental List for Short Sale
Overview
The SEC has issued technical ammendments to the Emergency Short Sale order that provided listing exchanges with guidance regarding which securities are covered by the Order. NASDAQ posted a list of inculded financial firms for our market as well as a consolidated list for all exchanges.
The order expired at 11:59 p.m. ET on Wednesday, October 8, 2008.Market Maker Relief
As announced in RA #2008-027, the Securities and Exchange Commission (SEC) issued further guidance to protect investors against "naked" short selling:
The SEC is “extending temporary Rule 204(a)'s close-out requirement for fails to deliver attributable to bona fide market making activities by registered market makers, options market makers, or other market makers obligated to quote in the over-the-counter market (collectively, "Market Makers").”
Written Attestation Form
Historical List Changes
| Trade Date | Industry Lists | Changes to NASDAQ Lists |
|---|---|---|
| October 8, 2008 | Download | NO CHANGES to NASDAQ List |
| October 7, 2008 | Download | NO CHANGES to NASDAQ List |
| October 6, 2008 | Download | NO CHANGES to NASDAQ List |
| October 3, 2008 | Download | NO CHANGES to NASDAQ List |
| October 2, 2008 | Download | NO CHANGES to NASDAQ List |
| October 1, 2008 | Download | NO CHANGES to NASDAQ List |
| September 30, 2008 | Download | NO CHANGES to NASDAQ List |
| September 29, 2008 | Download | REMOVED from NASDAQ List:
|
| Trade Date | NASDAQ Lists | Changes to NASDAQ Lists |
| September 26, 2008 | Download | ADDED to NASDAQ list:
|
| September 25, 2008 | Download | ADDED to NASDAQ list:
|
| September 24, 2008 | Download | ADDED to NASDAQ list:
|
| September 23, 2008 | Download | ADDED to NASDAQ List:
|
| September 22, 2008 - 9:25 a.m. ET | Download | REMOVED from SEC list:
|
| September 22, 2008 | Download | No changes |
Additional Information
- Statement of SEC Division of Trading and Markets #218 on the SEC website for details.
- View press release
- View SEC Release #58611.
- SEC Original List of NASDAQ Issues for SEC Short Sale.
- Regulatory Alert #2008-021
Historical Data
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