PHLX.COM * Regulation SHO

SEC Regulation SHO

Regulation SHO (Pilot Program): http://www.sec.gov/spotlight/shopilot.htm

Daily List of Threshold Securities:
PHLX has no Primary Listed Threshold Securities to be reported.

Monthly PHLX Reg SHO Pilot Data:
Every month PHLX will post a file of all executed short sales as per the Reg SHO ruling. For more information and a description of the file, please refer to the: Data Definition for the PHLX's monthly Regulation SHO Pilot Data

Pilot Securities Lists:
The SROs that maintain the primary listing of Category A Pilot Securities and Category B Pilot Securities will publish daily current lists of these securities on their web sites. The SROs will also publish a summary of updates. These lists may be found on the web sites of such SROs, as set forth below:

AMEX: http://www.amex.com/amextrader/tradingData/RegSHO/TrDa_RegSHO_Pilot.jsp
NASDAQ: ftp://ftp.nasdaqtrader.com/regshopilotlist/
NYSE: http://www.nyse.com/regshopilot

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