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 25 13

File Download

Trade Date Download Link File Creation Timestamp
Monday, July 21, 2014 Download 7/21/2014 11:00:04 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ALBKY ALPHA BANK AE SPONS ADR u Y N
ASHTY ASHTED GROUP PLC UNSPON ADR (U u N Y
AVTO Avantogen Oncology, Inc. Commo u Y N
BODY BODY CENTRAL CORP COM STK u Y N
CBAK CHINA BAK BATTERY, INC COM NEW G Y N
CDID QUAD ENERGY CORP. COMMON STOCK u Y N
CFRUY Compagnie Financiere Richemont u N Y
CRMBQ CRUMBS BAKE SHOP INC u Y N
DATE JIAYUAN COM INTL LTD SPON ADR Q Y N
DGLY DIGITAL ALLY INC COM STK NEW ( S Y N
DSLV VELOCITYSHS 3X INVERSE SILVER G Y N
DXJS WISDOMTREE TR JAPAN SMALLCAP H G Y N
EGFEY E F G EUROBANK ERGASIAS SA NEW u N Y
ERFB ERF WIRELESS INC COM STK U Y N
ERNI REWARDS NEXUS INC COMMON STOCK u Y N
FBMS FIRST BANCSHARES INC (THE) (MS G Y N
FIATY FIAT SPA NEW ADS REP 1 ORD SH u Y N
FV FIRST TRUST DORSEY WRIGHT FOCU G Y N
GBIM GLOBEIMMUNE INC COM STK (DE) S Y N
GDFZY GDF SUEZ SPONSORED ADR (FRANCE u N Y
ISTR INVESTAR HLDG CORP COM STK (LA G Y N
ITEN CODESMART HLDGS INC NEW COM ST u Y N
KIOR KIOR, INC CLASS A COM STK Q Y N
KLNDF KLONDEX MINES LTD u N Y
NERV MINERVA NEUROSCIENCES INC COM G Y N
NTEK NANOTECH ENTERTAINMENT, INC. u Y N
PATCA PATRIOT COAL CORP CLASS A (DE) u N Y
PFIE PROFIRE ENERGY, INC. COM STK ( S Y N
PPERY PT BANK MANDIRI PERSERO TBK UN u N Y
QYLD RECON CAPITAL NASDAQ 100 COVER G Y N
RGLXY RTL Group Sa Luxembourg Unspon u N Y
ROYMY ROYAL MAIL PLC UNSPONSORED ADR u N Y
SBGSY Schneider Electric Sa Unsponso u N Y
SBRCY SBERBANK RUSSIA SPONSORED AME u N Y
SCPZF SPROTT RESOURCE CORP ORD SHS ( u N Y
SFTBY Softbank Corp Unsponsored ADR u N Y
STEV STEVIA CORP COM STK (NV) u Y N
TXTM PROTEXT MOBILITY INC COM STK u Y N
XUII XUMANII INTL HLDGS CORP COM ST u Y N