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)
34

File Download

Trade Date Download Link File Creation Timestamp
Tuesday, August 15, 2017 Download 8/15/2017 11:00:21 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
AEZS AETERNA ZENTARIS INC COM STK ( S Y N
AKER AKERS BIOSCIENCES INC COMMON S Y N
ALTY GLOBAL X FDS SUPERDIVIDEND ALT G Y N
ARGS ARGOS THERAPEUTICS INC COM G Y N
CLSN CELSION CORP COM PAR NEW S Y N
CSML INDEXIQ ETF TR CHAIKIN US SMAL G Y N
CYCC CYCLACEL PHARMACEUTICALS INC C S Y N
DCIX DIANA CONTAINERSHIPS INC SHS P Q Y N
DRYS DRYSHIPS INC COM PAR NEW (MHL) S Y N
DSLV VELOCITYSHS 3X INVERSE SILVER G Y N
DXTR DEXTERA SURGICAL INC COM S Y N
ESGD ISHARES TR MSCI EAFE ESG OPTIM G Y N
ETRM ENTEROMEDICS INC COM PAR $.01 S Y N
FCA FIRST TRUST CHINA ALPHADEX FUN G Y N
IMNP IMMUNE PHARMACEUTICALS INC COM S Y N
KTOV KITOV PHARMACEUTICALS HLDGS LT S Y N
MBOT MICROBOT MED INC COM (ISR) S Y N
MBRX MOLECULIN BIOTECH INC COM S Y N
MICT MICRONET ENERTEC TECHNOLOGIES, S Y N
MICTW MICRONET ENERTEC TECHNOLOGIES S Y N
MYNDW MYND ANALYTICS INC WT EXP S Y N
NXTD NXT-ID INC COM NEW S Y N
OHGI ONE HORIZON GROUP, INC. COMMON S Y N
PGJ POWERSHARES GOLDEN DRAGON CHI G Y N
RFAP FIRST TRUST ETF III RIVERFRONT G Y N
SKLN SKYLINE MEDICAL INC. COM PAR $ S Y N
TCCO TECHNICAL COMMUNICATIONS CRP S Y N
TOPS TOP SHIPS INC SHS NEW JULY 201 S Y N
TTPH TETRAPHASE PHARMACEUTICALS INC Q Y N
TVIX CREDIT SUISSE AG NASSAU BRH VE G Y N
VGLT VANGUARD LG-TRM GOVT BD ETF G Y N
VGSH VANGUARD SHT-TRM GOVT BD ETF G Y N
XGTI XG TECHNOLOGY INC COM PAR $.00 S Y N
YLCO GLOBAL X FDS YIELDCO INDEX ETF G 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.