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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) |
|---|
| 58 |
File Download
| Trade Date | Download Link | File Creation Timestamp |
|---|---|---|
| Friday, December 19, 2025 | Download | 12/19/2025 11:00:17 PM |
Threshold Security List
| Symbol | Security Name | Market Category | Reg SHO Threshold Flag | Rule 3210 |
|---|---|---|---|---|
| ABTC | AMERICAN BITCOIN CORP COM CL A | S | Y | N |
| ADTX | ADITXT INC COM PAR $0.001 NEW | S | Y | N |
| AKAN | AKANDA CORP COM PAR $ NEW 08/2 | S | Y | N |
| AMZD | DIREXION SHS ETF TR DAILY AMZN | G | Y | N |
| ASTI | ASCENT SOLAR TECHNOLOGIES INC | S | Y | N |
| AVL | DIREXION SHS ETF TR DAILY AVGO | G | Y | N |
| AZI | AUTOZI INTERNET TECH GLOBAL LT | G | Y | N |
| BAIG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| BDRX | BIODEXA PHARMACEUTICALS INC SP | S | Y | N |
| BMNG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| BNDP | VANGUARD QUANTITATIVE FDS CORE | G | Y | N |
| BNRG | BRENMILLER ENERGY LTD SHS NO P | S | Y | N |
| BRKU | DIREXION SHS ETF TR DAILY BRK/ | G | Y | N |
| CDT | CDT EQUITY INC COM PAR $0.0001 | S | Y | N |
| CMND | CLEARMIND MEDICINE INC COM NO | S | Y | N |
| CRCG | THEMES ETF TR LEVERAGE SHARES | G | Y | N |
| CRWG | THEMES ETF TR LEVERAGE SHARES | G | Y | N |
| DRCT | DIRECT DIGITAL HLDGS INC CL A | S | Y | N |
| ECDA | ECD AUTOMOTIVE DESIGN INC COM | S | Y | N |
| FWDI | FORWARD INDUSTRIES LTD. CLASS | S | Y | N |
| HIMZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| IONX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| IONZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| IVP | INSPIRE VETERINARY PARTNERS IN | S | Y | N |
| JXG | JX LUXVENTURE GROUP INC COM PA | S | Y | N |
| KALA | KALA BIO, INC. COMMON STOCK (D | S | Y | N |
| KITT | NAUTICUS ROBOTICS, INC. COM PA | S | Y | N |
| LAES | SEALSQ CORP ORD SHS (VGB) | Q | Y | N |
| LGHL | LION GROUP HLDG LTD ADR NEW 20 | S | Y | N |
| LOT | LOTUS TECHNOLOGY INC SPONSORED | Q | Y | N |
| MSTP | GRANITESHARES ETF TR 2X LONG M | G | Y | N |
| MSTX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| MTVA | METAVIA INC. COM PAR $0.001 NE | S | Y | N |
| MUD | DIREXION SHS ETF TR DAILY MU B | G | Y | N |
| NBIL | GRANITESHARES ETF TR GRANITESH | G | Y | N |
| NCPL | NETCAPITAL INC COM NEW (UT) | S | Y | N |
| NIVF | NEWGENIVF GROUP LIMITED SHS NE | S | Y | N |
| NVDL | GRANITESHARES ETF TR 2X LONG N | G | Y | N |
| OKLL | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| ORCX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| PLRZ | POLYRIZON LTD SHS NEW 2025 (IS | S | Y | N |
| PLTZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| POM | POMDOCTOR LTD ADS (CYM) | G | Y | N |
| QBTZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| QNRX | QUOIN PHARMACEUTICALS LTD SPON | S | Y | N |
| RGTX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| RGTZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| RUBI | RUBICO INC COM NEW (MHL) | S | Y | N |
| SMCX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SMCZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SMST | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SPRB | SPRUCE BIOSCIENCES INC COM NE | S | Y | N |
| SUGP | SU GROUP HLDGS LTD USD CL A SH | S | Y | N |
| VCIG | VCI GLOBAL LTD COM PAR $ NEW ( | S | Y | N |
| VIVK | VIVAKOR INC. COMMON STOCK COM | S | Y | N |
| VMAR | VISION MARINE TECHNOLOGIES INC | S | Y | N |
| VSA | VISIONSYS AI INC ADS RATIO 1:2 | S | Y | N |
| WOK | WORK MED TECHNOLOGY GROUP LTD | S | 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.
