Reg SHO Threshold List

REG SHO Overview

As defined in Rule 203(c)(6) of Regulation SHO, a “threshold security” is any equity security of any issuer that is registered under Section 12 of the Exchange Act, or that is required to file reports under Section 15(d) of the Exchange Act (commonly referred to as reporting securities), where, for five consecutive settlement days:

  • There are aggregate fails to deliver at a registered clearing agency of 10,000 shares or more per security;
  • The level of fails is equal to at least one-half of one percent of the issuer’s total shares outstanding; and
  • The security is included on a list published by a self-regulatory organization (SRO).

A security ceases to be a threshold security if it does not exceed the specified level of fails for five consecutive settlement days.

Note: The list below contains securities from OTCBB, Other OTC and NASDAQ markets. The totals below reflects the number of securities from each marketplace that are included in the list. Please review the "Market Category" field for the specific listing market for each security.

Market Category Counts

OTCBB (U) Other OTC (u) NASDAQ (Q,G,S)
1 18 19

File Download

Trade Date Download Link File Creation Timestamp
Tuesday, June 18, 2013 Download 6/18/2013 11:00:01 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ABIO ARCA BIOPHARMA INC (US) S Y N
AFFY AFFYMAX INC COM u Y N
AONEQ A123 SYS INC COM STK (DE) u Y N
BLDP BALLARD POWER SYS INC COM SHS G Y N
BNDX VANGUARD TOTAL INTERNATIONAL B G Y N
CDID QUAD ENERGY CORP. COMMON STOCK u Y N
CLSN CELSION CORP NEW S Y N
CPQQ CHINA POWER EQUIPMENT INC. COM u Y N
DGRW WISDOMTREE TR US DIVID GROWTH G Y N
ENSV ENSERVCO CORPORATION COMMON ST U Y N
FSGI FIRST SECURITY GROUP, INC. S Y N
HRTPY HRT PARTICIPACOES EM PETROLEO u N Y
KPELY KEPPEL LTD SPONSORED ADR u N Y
LNCO LINNCO LLC COM SHS REPSTG LTD Q Y N
LPTH LIGHTPATH TECHNOLOGIES INC S Y N
MDIV FIRST TRUST MULTI-ASSET DIVERS G Y N
MNKDW MANNKIND CORPORATION WARRANTS u N Y
MTNOY MTN GROUP LTD SPONS ADR u N Y
MZOR MAZOR ROBOTICS LTD ADS (ISR) S Y N
NYMTP NEW YORK MTG TR INC CUM REDEEM S Y N
OSH ORCHARD SUPPLY HARDWARE STORES S Y N
PAOS PRECISION AEROSPACE COMPONENTS u Y N
REGI RENEWABLE ENERGY GROUP INC CO Q Y N
SAPX SEVEN ARTS ENTERTAINMENT, INC. u Y N
SGAPY Singapore Telecommunications L u N Y
SITS SOUTHERN ITS INTERNATIONAL INC u Y N
SLLDY SANLAM LTD SPONSORED ADR (SOUT u N Y
SWSH SWISHER HYGIENE INC Q Y N
TDIV FIRST TRUST NASDAQ TECHNOLOGY G Y N
TMKXY TMK OAO SPONSORED ADR (RU) u N Y
TQQQ PROSHARES ULTRAPRO QQQ G Y N
TWDL TEXAS WYOMING DRILLING, INC. u Y N
VCIT VANGUARD INTERMEDIATE-TERM COR G Y N
VCLT VANGUARD LG-TRM CORP BD ETF G Y N
VDCMY VODACOM GROUP LIMITED ADR (SO u N Y
VTIP VANGUARD SHT TRM INFLT-PROT FD G Y N
WPNV WINDPOWER INNOVATIONS INC COM u Y N
XUII XUMANII COMMON STOCK u Y N