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)
6 23 18

File Download

Trade Date Download Link File Creation Timestamp
Friday, May 24, 2013 Download 5/24/2013 11:00:01 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ACUR Acura Pharmaceuticals, Inc. Ne S Y N
AFFY AFFYMAX INC COM Q Y N
APPA AP PHARMA INC COM STK (DE) U Y N
BPFHP BOSTON PRIVATE FINL HLDGS INC Q Y N
CBMX COMBIMATRIX CORP COM NEW S Y N
CDID QUAD ENERGY CORP. COMMON STOCK u Y N
DBOEY Deutsche Boerse Ag Unsponsored u N Y
DCGD DISCOVERY GOLD CORPORATION COM u Y N
ENSV ENSERVCO CORPORATION COMMON ST U Y N
EUFN ISHARES MSCI EUROPE FINANCIALS G Y N
EVSV ENVIRO-SERV, INC. COMMON STOCK u Y N
FSGI FIRST SECURITY GROUP, INC. S Y N
GBSX GBS ENTERPRISES INCORPORATED C U Y N
HRTPY HRT PARTICIPACOES EM PETROLEO u N Y
IHLDY IMPERIAL HOLDINGS LTD SPONSORE u N Y
INVA INOVA TECHNOLOGY INC COM STK N u Y N
JALA BE ACTIVE HOLDINGS, INC. COMMO u Y N
KLNDF KLONDEX MINES LTD u N Y
LOTE LOT78, INC. COM STK u Y N
LPTH LIGHTPATH TECHNOLOGIES INC S Y N
MARA MARATHON PATENT GROUP, INC. CO U Y N
MDABY MEDA AB UNSPONSORED ADR (SWEDE u N Y
MDIV FIRST TRUST MULTI-ASSET DIVERS G Y N
MEDT MediaTechnics Corporation Comm u Y N
PBKEF PETROBAKKEN ENERGY LTD. CLASS u N Y
PMCM PRIMCO MANAGEMENT, INC. COMMON U Y N
PSCH POWERSHARES S&P SMALLCAP HEALT G Y N
PSCI POWERSHARES S&P SMALLCAP INDUS G Y N
QCLN FIRST TR NASDAQ CLEAN EDGE GRE G Y N
REGI RENEWABLE ENERGY GROUP INC CO Q Y N
RVXCF RESVERLOGIX CORP u N Y
SAPXD SEVEN ARTS ENTERTAINMENT, INC. u Y N
SCON SUPERCONDUCTOR TECHS INC S Y N
SFES Safestitch Medical, Inc. Commo U Y N
SGLB SIGMA LABS, INC. COMMON STOCK u Y N
SGLRF SPYGLASS RESOURCES CORP. COMMO u N Y
SUPN SUPERNUS PHARMACEUTICALS INC C G Y N
TAGG TAGLIKEME CORP COMMON STOCK (N u Y N
TCEHY Tencent Holdings Limited Unspo u N Y
TDIV FIRST TRUST NASDAQ TECHNOLOGY G Y N
TMKXY TMK OAO SPONSORED ADR (RU) u N Y
TNIB TNI BIOTECH, INC. COMMON STOCK u N Y
TRMD TORM A/S AMERICAN DEPOSITARY S S Y N
UOMO UOMO MEDIA INC NEW COM STK (NV u Y N
VCIT VANGUARD INTERMEDIATE-TERM COR G Y N
VTIP VANGUARD SHT TRM INFLT-PROT FD G Y N
YTRV YATERRA VENTURES CORP COM STK u Y N