Reg SHO Threshold List


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.

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)
40

File Download

Trade Date Download Link File Creation Timestamp
Friday, February 17, 2017 Download 2/17/2017 11:00:20 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
AIRR FIRST TR VI RBA AMERN INDL REN G Y N
APOP CELLECT BIOTECHNOLOGY LTD SPON S Y N
BIS PROSHARES TR ULTRASHORT NASDAQ G Y N
BNTC BENITEC BIOPHARMA LT (AUSTRALI S Y N
BOTZ GLOBAL X FDSROBOTICS & ARTIFIC G Y N
BSPM BIOSTAR PHARMACEUTICALS INC CO S Y N
CIBR FIRST TR FD II NASDAQ CYBERSEC G Y N
DFNL DAVIS FUNDAMENTAL ETF TR SELE G Y N
DRAM DATARAM CORP COM PAR $ NEW 201 S Y N
DRYS DRYSHIPS INC COM STK (MHL) S Y N
DWLD DAVIS FUNDAMENTAL ETF TR SELE G Y N
EGLT EGALET CORP COM STK (DE) G Y N
ESEA EUROSEAS LTD SHS (MHL) S Y N
EVGBC EATON VANCE NEXTSHARES TR GLOB G Y N
FAD FIRST TR MULTI CAP GROWTH ALPH G Y N
FBZ FIRST TRUST BRAZIL ALPHADEX FU G Y N
FDT FIRST TRUST DEVELOPED MARKETS G Y N
FEMB FIRST TR ETF EMERGING MARKETS G Y N
FGM FIRST TRUST GERMANY ALPHADEX F G Y N
FLN FIRST TRUST LATIN AMERICA ALPH G Y N
FNCX FUNCTIONX INC NEW COM PAR$.001 S Y N
FSZ FIRST TRUST SWITZERLAND ALPHAD G Y N
FTXO FIRST TR ETF VI NASDAQ BK ETF G Y N
GLBS GLOBUS MARITIME LIMITED SHS NE S Y N
HYZD WISDOMTREE TR INTEREST RATE HE G Y N
MDGS MEDIGUS LTD SPONSORED ADR S Y N
NAKD NAKED BRAND GROUP INC COM NEW S Y N
NOVN NOVAN INC COM G Y N
PSIX POWER SOLUTIONS INTERNATIONAL, S Y N
PULM PULMATRIX INC COM G Y N
RDVY FIRST TRUST RISING DIVIDEND AC G Y N
RFDI FIRST TRUST ETF III RIVERFRONT G Y N
ROBO ROBO GLOBAL ROBOTICS AND AUTOM G Y N
SKLN SKYLINE MEDICAL INC. COM PAR $ S Y N
SNSR GLOBAL X FDSINTERNET OF THINGS G Y N
SRET GLOBAL X FDS SUPERDIVIDEND REI G Y N
TELL TELLURIAN INC NEW COM STK (DE) S Y N
URRE URANIUM RES INC COM STK (DE) S Y N
VYMI VANGUARD WHITEHALL FDS INTL HI G Y N
XGTI XG TECHNOLOGY INC COM PAR $.00 S Y N