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)
27

File Download

Trade Date Download Link File Creation Timestamp
Friday, March 24, 2017 Download 3/24/2017 11:00:18 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ASPS ALTISOURCE PORTFOLIO SOLUTIONS Q Y N
BIS PROSHARES TR ULTRASHORT NASDAQ G Y N
BOTZ GLOBAL X FDSROBOTICS & ARTIFIC G Y N
BSPM BIOSTAR PHARMACEUTICALS INC CO S Y N
CFA VICTORY PORTFOLIOS II SHS US 5 G Y N
CLSN CELSION CORP NEW S Y N
CSB VICTORY PORTF II SHS US SMALL G Y N
DFNL DAVIS FUNDAMENTAL ETF TR SELE G Y N
DRAM DATARAM CORP COM PAR $ NEW 201 S Y N
DUSA DAVIS FUNDAMENTAL ETF TR SELE G Y N
FDT FIRST TRUST DEVELOPED MARKETS G Y N
FEM FIRST TRUST EMERGING MARKETS A G Y N
FGM FIRST TRUST GERMANY ALPHADEX F G Y N
FLN FIRST TRUST LATIN AMERICA ALPH G Y N
FMB FIRST TR EXCHANGE-TRADED FD II G Y N
FSZ FIRST TRUST SWITZERLAND ALPHAD G Y N
FTXO FIRST TR ETF VI NASDAQ BK ETF G Y N
INVT INVENTERGY GLOBAL INC NEW COM S Y N
LPTH LIGHTPATH TECHNOLOGIES INC S Y N
MYOS MYOS RENS TECHNOLOGY INC COM S S Y N
PSCI POWERSHARES S&P SMALLCAP INDUS G Y N
RDVY FIRST TRUST RISING DIVIDEND AC G Y N
RNVA RENNOVA HEALTH INC NEW COM (DE S Y N
SKLN SKYLINE MEDICAL INC. COM PAR $ S Y N
TOPS TOP SHIPS INC COM STK NEW 2016 S Y N
URRE URANIUM RES INC COM STK (DE) S Y N
VIGI VANGUARD WHITEHALL FDS INTL DI 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.