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 26 16

File Download

Trade Date Download Link File Creation Timestamp
Wednesday, October 01, 2014 Download 10/1/2014 11:00:03 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ALKM ALKAME HOLDINGS INC COM STK (N u Y N
AVTO Avantogen Oncology, Inc. Commo u Y N
BCHS AMALGAMATED GOLD & SILVER INC u Y N
CBAY CYMABAY THERAPEUTICS INC. COMM S Y N
CDID QUAD ENERGY CORP. COMMON STOCK u Y N
CFRUY Compagnie Financiere Richemont u N Y
CNET CHINANET ONLINE HLDGS INC COM S Y N
CRMBQ CRUMBS BAKE SHOP INC u Y N
DGLY DIGITAL ALLY INC COM STK NEW ( S Y N
DGRE WISDOMTREE TR EMERGING MARKETS G Y N
DLIA DELIA*S INC G Y N
DRNE DRONE AVIATION HOLDING CORP. N u Y N
DXGE WISDOMTREE GERMANY HEDGED EQUI G Y N
EVSV ENVIRO-SERV, INC. COMMON STOCK u Y N
FIATY FIAT SPA NEW ADS REP 1 ORD SH u Y N
FREE FREESEAS INC COM (MHL) S Y N
FTSL FIRST TRUST SENIOR LN FUND G Y N
GLNCY GLENCORE PLC UNSPONSORED ADR ( u N Y
GPRO GOPRO INC CL A COM STK (DE) Q Y N
IFV FIRST TRUST DORSEY WRIGHT INTE G Y N
ISHG ISHARES INTL TREASURY BOND ETF G Y N
ISNS IMAGE SENSING SYSTEMS INC S Y N
KGFHY KINGFISHER PLC SPON ADR(NEW) u N Y
KWEB KRANESHARES TR CSI CHINA INTER G Y N
LEXG LITHIUM EXPLORATION GROUP, INC u Y N
OGZPY GAZPROM;ADR REP 4 ORD RUB5 REG u N Y
OTSKY OTSUKA HOLDINGS CO. LTD, TOKYO u N Y
PLCSD PLC SYSTEMS INC u Y N
QQQC GLOBAL X NASDAQ CHINA TECHNOLO G Y N
REAC REAL ESTATE CONTACTS INC COM S U Y N
REFG MEDICAL CANNABIS PAYMENT SOLUT u Y N
RHHBY ROCHE HLDG LTD SPONS ADR u N Y
SBOTF STELLAR BIOTECHNOLOGIES INC OR u N Y
SCGLY SOCIETE GENERALE FRANCE SP ADR u N Y
SWDBY Swedbank AB Sponsored ADR (Swe u Y N
TBEV HIGH PERFORMANCE BEVERAGES CO u Y N
TKAI TOKAI PHARMACEUTICALS INC COMM G Y N
TTDKY TDK CORP AMER DEP SH u Y N
TXTM PROTEXT MOBILITY INC COM STK u Y N
UAMM UA MULTIMEDIA INC COM STK NEW u Y N
USLV VELOCITYSHS 3X LG SILVER ETN L G Y N
VIICQ VISION INDS CORP COM STK (FL) u Y N
VTEQ VERITEQ CORPORATION COMMON STO u Y N