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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)
30

File Download

Trade Date Download Link File Creation Timestamp
Tuesday, April 29, 2025 Download 4/29/2025 11:00:17 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
APVO APTEVO THERAPEUTICS INC COM NE S Y N
AREB AMERICAN REBEL HLDGS INC COM N S Y N
BNZI BANZAI INTL INC CL A COM NEW S Y N
BON BON NAT LIFE LTD USD CL A SHS S Y N
CHA CHAGEE HLDGS LTD ADS (CYM) Q Y N
CIGL CONCORDE INTL GROUP LTD USD CL S Y N
CSIQ CANADIAN SOLAR INC COM (ON) Q Y N
DMN DAMON INC. COMMON STOCK (CAN) G Y N
FLD FOLD HOLDINGS, INC. CLASS A CO S Y N
FMTO FEMTO TECHNOLOGIES INC COM NO S Y N
FTXG FIRST TR ETF VI NASDAQ FOOD & G Y N
GNLN GREENLANE HLDGS INC CL A PAR V S Y N
HEPA HEPION PHARMACEUTICALS INC COM S Y N
ICCT ICORECONNECT INC COM NEW S Y N
IONX TIDAL TR II DEFIANCE DAILY TAR G Y N
LGMK LOGICMARK INC COM PAR $ NEW 20 S Y N
METU DIREXION SHS ETF TR DAILY META G Y N
MLGO MICROALGO INC USD ORD SHS PAR S Y N
MULN MULLEN AUTOMOTIVE INC COM NEW S Y N
NVDD DIREXION SHS ETF TR DAILY NVDA G Y N
PSTV PLUS THERAPEUTICS INC COM PAR S Y N
RSLS RESHAPE LIFESCIENCES INC NEW C S Y N
SMCX TIDAL TR II DEFIANCE DAILY TAR G Y N
SMST TIDAL TR II DEFIANCE DAILY TAR G Y N
SUNE SUNATION ENERGY INC COM PAR $0 S Y N
TNFA TNF PHARMACEUTICALS, INC. COMM S Y N
UPXI UPEXI INC COM NEW S Y N
WNW MEIWU TECHNOLOGY CO LTD SHS N S Y N
XFIX RBB FD INC F/M OPPORTUNISTIC I G Y N
ZCAR ZOOMCAR HLDGS INCCOM PAR $ 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.