Who Do I Contact For More Information About Securities On a Threshold List?
For a particular OTCBB or Pink Sheet security on the threshold list, you may call NASD Market Operations at (866) 776-0800 or send an email to nasdmarketoperations@nasd.com;
For a Nasdaq NMS and Small Caps security, you may e-mail RegulationSHO@nasdaq.com;
For a particular NYSE listed security, you may contact NYSE at RegSHOQ@nyse.com;
For a particular Amex listed security, you may e-mail regsho@amex.com;
For a particular ArcaEx security, you may call ArcaEx Clearing Hotline at (312) 442-7989 or send an e-mail to exchangesecop@archipelago.com;
For a particular CHX security, you may e-mail regshoinfo@chx.com.
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