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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.
Market Category Counts
| NASDAQ (Q,G,S) |
|---|
| 70 |
File Download
| Trade Date | Download Link | File Creation Timestamp |
|---|---|---|
| Friday, October 10, 2025 | Download | 10/10/2025 11:00:05 PM |
Threshold Security List
| Symbol | Security Name | Market Category | Reg SHO Threshold Flag | Rule 3210 |
|---|---|---|---|---|
| AGMH | AGM GROUP HLDGS INC USD CL A O | S | Y | N |
| AGRI | AGRIFORCE GROWING SYS LTD COM | S | Y | N |
| AREB | AMERICAN REBEL HLDGS INC COM P | S | Y | N |
| ASNS | ACTELIS NETWORKS INC COM NEW | S | Y | N |
| AVGX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| AZI | AUTOZI INTERNET TECHNOLOGY GLO | G | Y | N |
| BENF | BENEFICIENT COM CL A | S | Y | N |
| BIAF | BIOAFFINITY TECHNOLOGIES INC C | S | Y | N |
| BNBX | APPLIED DNA SCIENCES INC COM N | S | Y | N |
| BNC | CEA IND INC COM NEW PAR $0.000 | S | Y | N |
| BNKK | SAFETY SHOT, INC. COMMON STOCK | S | Y | N |
| BRKU | DIREXION SHS ETF TR DAILY BRK/ | G | Y | N |
| BTM | BITCOIN DEPOT INC COM | S | Y | N |
| BULG | THEMES ETF TR LEVERAGE SHARES | G | Y | N |
| BULL | WEBULL CORP ORD SHS (CYM) | S | Y | N |
| BYND | BEYOND MEAT INC COM (DE) | Q | Y | N |
| CAN | CANAAN INC SPONSORED ADR (CYM) | G | Y | N |
| CCHH | CCH HLDGS LTD USD ORD SHS (CYM | S | Y | N |
| CERO | CERO THERAPEUTICS HLDGS INC C | S | Y | N |
| CIGL | CONCORDE INTL GROUP LTD USD CL | S | Y | N |
| CJET | CHIJET MTR CO INC. USD ORD SHS | S | Y | N |
| COTG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| COYY | GRANITESHARES ETF TR YIELDBOOS | G | Y | N |
| CRCG | THEMES ETF TR LEVERAGE SHARES | G | Y | N |
| DFLIW | DRAGONFLY ENERGY HLDGS CORP WT | S | Y | N |
| DKNX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| DOMH | DOMINARI HOLDINGS INC. COMMON | S | Y | N |
| DPRO | DRAGANFLY INC (CANADA) | S | Y | N |
| ECDA | ECD AUTOMOTIVE DESIGN INC COM | S | Y | N |
| ELBM | ELECTRA BATTERY MATLS CORP COM | S | Y | N |
| EMEQ | MACQUARIE ETF TR FOCUSED EMERG | G | Y | N |
| FFAI | FARADAY FUTURE INTELLIGENT ELE | S | Y | N |
| FORD | FORWARD INDUSTRIES INC NY COM | S | Y | N |
| HIMZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| HSDT | SOLANA CO COM CL A NEW MAY 20 | S | Y | N |
| IBG | INNOVATION BEVERAGE GROUP LTD | S | Y | N |
| INDP | INDAPTUS THERAPEUTICS INC COM | S | Y | N |
| IONZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| IQST | IQSTEL INC COM NEW | S | Y | N |
| KMLI | KRANESHARES TR 2X LONG MELI DA | G | Y | N |
| LAWR | ROBOT CONSULTING CO LTD SPONSO | S | Y | N |
| LITM | SNOW LAKE RES LTD COM NO PAR ( | S | Y | N |
| LWAY | LIFEWAY FOODS INC | G | Y | N |
| METU | DIREXION SHS ETF TR DAILY META | G | Y | N |
| MIMI | MINT INCORPORATION LTD USD CL | S | Y | N |
| MOB | MOBILICOM LTD ADS (AUS) | S | Y | N |
| MSTX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| NFE | NEW FORTRESS ENERGY INC. CLASS | Q | Y | N |
| NUAI | NEW ERA ENERGY & DIGITAL, INC. | G | Y | N |
| NVX | NOVONIX LTD SPONSORED ADS (AUS | G | Y | N |
| PLTZ | TIDAL TR II DEFIANCE DAILY TA | G | Y | N |
| QCLS | Q/C TECHNOLOGIES INC COM PAR $ | S | Y | N |
| QUBT | QUANTUM COMPUTING INC COM | S | Y | N |
| RAYA | ERAYAK PWR SOLN GRP INC. CL A | S | Y | N |
| RDTL | GRANITESHARES ETF TR 2X LONG | G | Y | N |
| RKLX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| RVPH | REVIVA PHARMACEUTICALS HLDGS C | S | Y | N |
| SDST | STARDUST PWR INC COM NEW | G | Y | N |
| SLE | SUPER LEAGUE ENTERPRISE, INC. | S | Y | N |
| SLMT | BRERA HLDGS PLC CL B NEW (IRL) | S | Y | N |
| SMCZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SMST | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SMX | SMX SEC MATTERS PLC SHS CL A J | S | Y | N |
| SPAI | SAFE PRO GROUP INC COM | S | Y | N |
| SPRC | SCISPARC LTD COM PAR $ (ISR) | S | Y | N |
| STSS | SHARPS TECHNOLOGY INC COM PAR | S | Y | N |
| TURB | TURBO ENERGY S A SPONSORED ADR | S | Y | N |
| UPXI | UPEXI INC COM NEW | S | Y | N |
| YAAS | YOUXIN TECHNOLOGY LTD USD CL A | S | Y | N |
| ZOOZ | ZOOZ PWR LTD CL A (ISR) | S | Y | N |
Effective Monday, November 17, 2014, the Regulation SHO Threshold List for OTC Equities (i.e. OTCBB and Other OTC) will no longer be available on NasdaqTrader.com. From that date forward, it will be available only on the OTC Reporting Facility (ORF) pages of FINRA.org.
Historical Reg SHO Threshold Lists for OTC Equities will continue to be available on NasdaqTrader.com for dates prior to November 17, 2014.
This change does not affect the Reg SHO Threshold list for Nasdaq markets which will continue to be displayed on NasdaqTrader.com.
Questions regarding this notice can be directed to FINRA Operations at (866) 776-0800.
