Final Consolidated Exchange Covered Short Sell List

On Friday, 03, October, 08 the SEC issued a statement announcing that the Emergency Stabilization Short Sale Order would expire at 11:59p.m ET on Wednesday, October 8, 2008 http://www.sec.gov/news/press/2008/2008-238.htm.

Therefore this Consolidated Exchange Covered Short Sell List, provided for trading on Wednesday, 08, October 08, is the final dissemination of this list.

excel Consolidated Exchange Short Sell List  (xls)

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Consolidated Exchange Covered Short Sell List

On Friday, September 19, 2008, the SEC Released an Emergency Order prohibiting short sales in 799 securities (http://www.sec.gov/rules/other/2008/34-58592.pdf). On the following Monday the order was amended with important material differences:http://www.sec.gov/news/press/2008/2008-218.htm that included the SEC's delegation of authority to each national securities exchange to identify and add listed companies that qualify for inclusion on the covered list.

As the additions and removals on the list are subject to change on a daily basis, the NYSE has maintained and provided daily end-of-day list updates to the covered list since the amended order went into effect.

As of Friday, September 26, 2008 the NYSE and NYSE Arca short sell prohibition list has been enhanced as part of a collaborative effort with NASDAQ and AMEX, to include securities that will be covered for the next trading day from all four Exchanges in one convenient document.  Check back here http://www.nyse.com/attachment/CONSOLIDATED-SSPROHIBTION.xls for daily updates or subscribe for free to NYSE System Status Trader Email Updates https://www.nysenet.com/subscription/smLogin to receive this notice as soon as it becomes available along with other NYSE Cash Equities Market System and Trading Information news.


NYSE-Listed Companies Added to the Short Sale List as of Friday Morning, Sept. 26, 2008

Effective Friday, September 26, 2008, the NYSE-listed issuers found below have been added to the list of financial firms that meet the SEC's revised criteria to the Order prohibiting short selling. A full updated list of NYSE-listed covered securities is available at http://www.nyse.com/attachment/NYSE SS ORDERUPDATED.xls  For more information on the SEC Order, go to http://www.sec.gov/news/press/2008/2008-218.htm.

The SEC has delegated to each national securities exchange the authority to identify additional listed companies that qualify for inclusion in the list of companies covered by the revised prohibition. The additional companies must be in one of the following categories:

Banks, as defined in 15 U.S.C. 78c(a)(6),

Savings associations, as defined in 15 U.S.C. 78c(a)(46),

Registered brokers or dealers, as defined in 15 U.S.C. 78c(a)(48), Insurance companies, as defined in 15 U.S.C. 80a-2(a)(17), Banks, savings associations, brokers, dealers and insurance companies that are similar to those covered by the foregoing statutory definitions but which are regulated by a foreign (rather than U.S.) regulatory authority, US and foreign investment advisors, both registered and unregistered, Companies that control or have majority ownership of companies that meet one of the above criteria.

This list is subject to amendment, and we will notify you of any changes in subsequent notices.

List of additions for 09/26/08

  1. WXS WRIGHT EXPRESS CORPORATION
  2. ZLC ZALE CORPORATION
  3. AIV APARTMENT INVESTMENT AND MANAGEMENT COMPANY
  4. AN AUTONATION, INC.
  5. GBE GRUBB & ELLIS COMPANY
  6. HT HERSHA HOSPITALITY TRUST
  7. SFI ISTAR FINANCIAL INC.

Note that there are no deletions to the list for 09/26/08


NYSE-Listed Companies Added to the Short Sale List as of Thursday Morning, Sept. 25, 2008

Effective Thursday, September 25, 2008, the NYSE-listed issuers found below have been added to the list of financial firms that meet the SEC's revised criteria to the Order prohibiting short selling. A full updated list of NYSE-listed covered securities is available at http://www.nyse.com/attachment/NYSE SS ORDERUPDATED.xls For more information on the SEC Order, go to http://www.sec.gov/news/press/2008/2008-218.htm .

The SEC has delegated to each national securities exchange the authority to identify additional listed companies that qualify for inclusion in the list of companies covered by the revised prohibition. The additional companies must be in one of the following categories:

Banks, as defined in 15 U.S.C. 78c(a)(6),

Savings associations, as defined in 15 U.S.C. 78c(a)(46),

Registered brokers or dealers, as defined in 15 U.S.C. 78c(a)(48), Insurance companies, as defined in 15 U.S.C. 80a-2(a)(17), Banks, savings associations, brokers, dealers and insurance companies that are similar to those covered by the foregoing statutory definitions but which are regulated by a foreign (rather than U.S.)

regulatory authority, US and foreign investment advisors, both registered and unregistered, Companies that control or have majority ownership of companies that meet one of the above criteria.

This list is subject to amendment, and we will notify you of any changes in subsequent notices.

List of additions for 09/25/08

  1. FUR WINTHROP REALTY TRUST
  2. LPS LENDER PROCESSING SERVICES, INC.
  3. CVS CVS CAREMARK CORPORATION
  4. UDR UDR INC.
  5. SLG SL GREEN REALTY CORP.
  6. KRG KITE REALTY GROUP TRUST
  7. WSH WILLIS GROUP HOLDINGS LIMITED
  8. ATN ATLAS ENERGY RESOURCES, LLC
  9. MVC MVC CAPITAL, INC

Note that there are no deletions to the list for 09/25/09


NYSE-Listed Companies Added to the Short Sale List as of Wednesday Morning, Sept. 24, 2008

Effective Wednesday, September 24, 2008, the NYSE-listed issuers found below have been added to the list of financial firms that meet the SEC's revised criteria to the Order prohibiting short selling. A full updated list of covered securities will be available via this link shortly:  http://www.nyse.com/attachment/NYSE SS ORDERUPDATED.xls. For more information on the SEC Order, go to: http://www.sec.gov/news/press/2008/2008-218.htm.

The SEC has delegated to each national securities exchange the authority to identify additional listed companies that qualify for inclusion in the list of companies covered by the revised prohibition. The additional companies must be in one of the following categories:

• Banks, as defined in 15 U.S.C. 78c(a)(6),

• Savings associations, as defined in 15 U.S.C. 78c(a)(46),

• Registered brokers or dealers, as defined in 15 U.S.C. 78c(a)(48), Insurance companies, as defined in 15 U.S.C. 80a-2(a)(17), Banks, savings associations, brokers, dealers and insurance companies that are similar to those covered by the foregoing statutory definitions but which are regulated by a foreign (rather than U.S.) regulatory authority,

• US and foreign investment advisors, both registered and unregistered,

• Companies that control or have majority ownership of companies that meet one of the above criteria.

This list is subject to amendment, and we will notify you of any changes in subsequent notices.

List of additions for 09/24/08

  1. MHS Medco Health Solutions, Inc.
  2. ABR Arbor Realty Trust, Inc.
  3. DDR Developers Diversified Realty Corporation
  4. HRB H&R Block, Inc.
  5. IBM International Business Machines Corporation
  6. MFA MFA Mortgage Investments, Inc
  7. ASI American Safety Insurance Holdings, Ltd.
  8. LFG Landamerica Financial Group Inc.
  9. PHH PHH Corporation
  10. BAP Credicorp, Ltd.
  11. LXP Lexington Realty Trust
  12. BEE Strategic Hotels & Resorts, Inc.

Note that there are no deletions to the list for 09/24/09


NYSE-Listed Companies Added to the Short Sale List as of Tuesday Morning, Sept. 23, 2008

Effective Tuesday, September 23, 2008, the NYSE-listed issuers found below have been added to the list of financial firms that meet the SEC's revised criteria to the Order prohibiting short selling. Note that four additional securities have been added and one company has voluntarily opted out of the list. For a full list of NYSE-listed securities that are currently covered by the order go to http://www.nyse.com/attachment/NYSE SS ORDERUPDATED.xls For more information on the SEC Order, go to: http://www.nyse.com/about/listed/1222078675703.html.

Note that the SEC has delegated to each national securities exchange the authority to identify additional listed companies that qualify for inclusion in the list of companies covered by the revised prohibition. The additional companies must be in one of the following categories:

- Banks, as defined in 15 U.S.C. 78c(a)(6),

- Savings associations, as defined in 15 U.S.C. 78c(a)(46),

- Registered brokers or dealers, as defined in 15 U.S.C. 78c(a)(48),

Insurance companies, as defined in 15 U.S.C. 80a-2(a)(17),

Banks, savings associations, brokers, dealers and insurance companies that are similar to those covered by the foregoing statutory definitions but which are regulated by a foreign (rather than U.S.) regulatory authority,

- US and foreign investment advisors, both registered and unregistered,

- Companies that control or have majority ownership of companies that meet one of the above criteria.

This list is subject to amendment, and we will notify you of any changes in subsequent notices.

ADDITIONS FOR 09/23/08

  1. GGP General Growth Properties, Inc.
  2. EIG Employers Holdings, Inc.
  3. CHC Centerline Holding Company
  4. AGM.A Federal Agricultural Mortgage Corporation

VOLUNTARILY OPTED OUT AT THE REQUEST OF THE COMPANY FOR 09/23/08

  1. JMP JMP Group, Inc.


NYSE-Listed Companies Added to the Short Sale List as of Monday Evening, Sept. 22, 2008

excel View full list (xls)

Effective Monday, September 22, 2008, 4:00pm, the NYSE-listed issuers found below have been added to the list of financial firms that meet the SEC's revised criteria to the Order prohibiting short selling. For more information on the SEC Order, go to: http://www.sec.gov/news/press/2008/2008-218.htm. For a full list of NYSE-listed securities that are currently included, go to: http://www.nyse.com/about/listed/1222078675703.html.

Note that the SEC has delegated to each national securities exchange the authority to identify additional listed companies that qualify for inclusion in the list of companies covered by the revised prohibition. The additional companies must be in one of the following categories:

- Banks, as defined in 15 U.S.C. 78c(a)(6),

- Savings associations, as defined in 15 U.S.C. 78c(a)(46),

- Registered brokers or dealers, as defined in 15 U.S.C. 78c(a)(48),

Insurance companies, as defined in 15 U.S.C. 80a-2(a)(17),

Banks, savings associations, brokers, dealers and insurance companies that are similar to those covered by the foregoing statutory definitions but which are regulated by a foreign (rather than U.S.) regulatory authority,

- US and foreign investment advisors, both registered and unregistered,

- Companies that control or have majority ownership of companies that meet one of the above criteria.

This list is subject to amendment, and we will notify you of any changes in subsequent notices.

  1. IVZ Invesco Ltd.
  2. HBC HSBC Holdings P L C
  3. MET Met Life, Inc.
  4. PRS Primus Guaranty, Ltd
  5. FNF Fidelity National Financial Inc.
  6. BLK Blackrock, Inc.
  7. AB Alliance Bernstein Holding L.P.
  8. OB One Beacon Insurance Group
  9. IBN ICICI Bank Limited
  10. FBR Friedman, Billings, Ramsey Group Inc
  11. DFR Deerfield Capital Corp
  12. WBK Westpac Banking Corp
  13. IDC Interactive Data Corp
  14. CYN City National Corp
  15. NNI Nelnet, Inc
  16. NLY Annaly Capital Management, Inc
  17. CSE CapitalSource Inc
  18. AGM Federal Agricultural Mortgage Corporation
  19. F Ford Motor Company
  20. CT Capital Trust, Inc
  21. UBB Uniao de Bancos Brasileiros S.A.
  22. ITU Banco Itaú Holding Financeira S.A.
  23. BMA Banco Macro S.A.
  24. AMB AMB Property Corporation
  25. MHP The McGraw-Hill Companies, Inc
  26. PLD ProLogis
  27. NRF NorthStar Realty Finance Corp
  28. SLM SLM Corporation
  29. RWT Redwood Trust, Inc
  30. IX ORIX Corporation
  31. STD Banco Santander S.A.
  32. KB Kookmin Bank
  33. NBG National Bank of Greece S.A.
  34. AZ Allianz SE
  35. BBD Banco Bradesco S.A.
  36. BCH Banco de Chile
  37. SAN Banco Santander - Chile
  38. BFR BBVA Banco Frances S.A.
  39. HDB HDFC Bank Limited
  40. WF Woori Finance Holdings Co., Ltd


NYSE-Listed Companies Added to the Short Sale List as of Monday Morning, Sept. 22, 2008

Please be advised that, effective immediately, the SEC has revised its temporary emergency action with respect to the Order prohibiting short selling in financial firms.  As there are material differences in the application of the prohibition, you should read the new SEC order, which can be found at: http://www.sec.gov/news/press/2008/2008-218.htm.  The SEC has informed us that all companies that were covered by Friday’s order will also be covered by the newly revised short sale prohibition.  The SEC has delegated to each national securities exchange the authority to identify additional listed companies that qualify for inclusion in the list of companies covered by the revised prohibition.  The additional companies must be in one of the following categories:
 
Banks, as defined in 15 U.S.C. 78c(a)(6), Savings associations, as defined in 15 U.S.C. 78c(a)(46),
Registered brokers or dealers, as defined in 15 U.S.C. 78c(a)(48), Insurance companies, as defined in 15 U.S.C. 80a-2(a)(17), Banks, savings associations, brokers, dealers and insurance companies that are similar to those covered by the foregoing statutory definitions but which are regulated by a foreign (rather than U.S.) regulatory authority, US and foreign investment advisors, both registered and unregistered, Companies that control or have majority ownership of companies that meet one of the above criteria.

According to the SEC, companies that were on the original list attached to Friday’s Order, or that fall into one of the categories expected to be covered by the new order, may opt out of the application of the revised short sale prohibition by informing the NYSE of that determination.  The list of additional NYSE-listed financial firms that meet the revised criteria follows.  This list is subject to amendment, and we will notify you of any changes in subsequent notices.  We hope that this correspondence will assist you in preparing your systems prior to the opening of trading today.
 

NYSE-Listed Companies Added to the List as of Monday Morning, Sept. 22, 2008

  1. GLG     GLG Partners, Inc.
  2. GE       General Electric Co.
  3. OCN     Ocwen Financial Corporation
  4. KBW     KBW, Inc.
  5. GFG     Guaranty Financial Group Inc.
  6. MFG     Mizuho Financial Group, Inc.
  7. FMR     First Mercury Financial Corporation
  8. STC     Stewart Information Services Corporation
  9. FCF      First Commonwealth Financial Corporation
  10. MTB     M&T Bank Corporation
  11. DFS     Discover Financial Services
  12. BMO    Bank of Montreal
  13. TD      Toronto Dominion Bank
  14. CM      Canadian Imperial Bank of Commerce
  15. FMD    The First Marblehead Corporation
  16. BBV     Banco Bilbao Vizcaya SA
  17. CIB     BanColombia SA
  18. LM       Legg Mason, Inc.
  19. NFP     National Financial Partners Corp.
  20. AXP     American Express Company
  21. CIT     CIT Group Inc.
  22. GM      General Motors Corporation
  23. HIG     The Hartford Financial Services Group
  24. ADS     Alliance Data Systems Corporation
  25. ALD     Allied Capital Corporation
  26. RAS     RAIT Financial Trust
  27. DRL     Doral Financial Corporation
  28. FSR     Flagstone Reinsurance Holdings
  29. MCO    Moody's Corporation
  30. COF    Capital One Financial Corporation
  31. CS      Credit Suisse Group AG
Related Information
 
View SEC Order