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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:
  • Knight Capital Group, Inc. (NITE)
Trade Date NASDAQ Lists Changes to NASDAQ Lists
September 26, 2008 Download ADDED to NASDAQ list:
  • MRU Holdings, Inc. (UNCL)
  • Sears Holdings Corporation (SHLD)
NO CHANGES TO SEC List:
September 25, 2008 Download ADDED to NASDAQ list:
  • Atlas America, Inc. (ATLS)
REMOVED from SEC List:
  • American Physicians Capital, Inc. (ACAP)
September 24, 2008 Download ADDED to NASDAQ list:
  • Hercules Technology Growth Capital, Inc. (HTGC)
  • Patriot Capital Funding, Inc. (PCAP)
REMOVED from SEC List:
  • Greenlight Capital Re, Ltd. (GLRE)
September 23, 2008 Download ADDED to NASDAQ List:
  • Medallion Financial Corp (TAXI)
  • NewStar Financial, Inc. (NEWS)
  • Ares Capital Corporation (ARCC)
  • Kohlberg Capital Corporation (KCAP)
  • BlackRock Kelso Capital (BKCC)
September 22, 2008 - 9:25 a.m. ET Download REMOVED from SEC list:
  • Diamond Hill Investment Group, Inc.(DHIL)
September 22, 2008 Download No changes

Historical Data

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