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. Or click here for the current full list of NYSE-listed companies covered under the order.
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.
- IVZ Invesco Ltd.
- HBC HSBC Holdings P L C
- MET Met Life, Inc.
- PRS Primus Guaranty, Ltd
- FNF Fidelity National Financial Inc.
- BLK Blackrock, Inc.
- AB Alliance Bernstein Holding L.P.
- OB One Beacon Insurance Group
- IBN ICICI Bank Limited
- FBR Friedman, Billings, Ramsey Group Inc
- DFR Deerfield Capital Corp
- WBK Westpac Banking Corp
- IDC Interactive Data Corp
- CYN City National Corp
- NNI Nelnet, Inc
- NLY Annaly Capital Management, Inc
- CSE CapitalSource Inc
- AGM Federal Agricultural Mortgage Corporation
- F Ford Motor Company
- CT Capital Trust, Inc
- UBB Uniao de Bancos Brasileiros S.A.
- ITU Banco Itaú Holding Financeira S.A.
- BMA Banco Macro S.A.
- AMB AMB Property Corporation
- MHP The McGraw-Hill Companies, Inc
- PLD ProLogis
- NRF NorthStar Realty Finance Corp
- SLM SLM Corporation
- RWT Redwood Trust, Inc
- IX ORIX Corporation
- STD Banco Santander S.A.
- KB Kookmin Bank
- NBG National Bank of Greece S.A.
- AZ Allianz SE
- BBD Banco Bradesco S.A.
- BCH Banco de Chile
- SAN Banco Santander - Chile
- BFR BBVA Banco Frances S.A.
- HDB HDFC Bank Limited
- WF Woori Finance Holdings Co., Ltd
Category: Securities
