Tuesday, September 23, 2008

Equity Regulatory Alert #2008 - 24
NASDAQ Provides Updated Lists of Included Financial Firms in Response to the SEC’s Emergency Short Sale Order

Please Route To:

Head Traders; Technical Contacts; Compliance Officers; Buy-Side Traders

What you need to know:

  • The following NASDAQ-listed companies are being added to NASDAQ's list of Included Financial Firms under the SEC's Emergency Short Sale Order:
    • Hercules Technology Growth Capital, Inc. (HTGC)
    • Patriot Capital Funding, Inc. (PCAP)
      • Effective Wednesday, September 24, 2008, these companies will be subject to the restrictions of the SEC’s Emergency Order.
  • The following NASDAQ-listed company has been voluntarily removed from the SEC’s original list of Included Financial Firms:
    • Greenlight Capital Re, Ltd. (GLRE)
      • Effective Wednesday, September 24, 2008, this company will not be subject to the restrictions of the SEC’s Emergency Order.
  • Firms should visit the NASDAQ Trader website for future list updates.
  • NASDAQ plans to work in concert with other exchanges to provide a consolidated list of all covered securities for the industry. We plan to provide this list tomorrow for trading on Thursday, September 25th.

Where can I get additional information?


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