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)
6 30 16

File Download

Trade Date Download Link File Creation Timestamp
Friday, March 07, 2014 Download 3/7/2014 11:00:01 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ABDNY ABERDEEN ASSET MGMT PLC UNSPON u N Y
APPY VENAXIS INC S Y N
AVTO Avantogen Oncology, Inc. Commo u Y N
AXXE AXXESS PHARMA INC COMMON STOCK u Y N
BIS ULTRASHORT NASDAQ BIOTECHNOLOG G Y N
BTCS BITCOIN SHOP INC COM STK (NV) u Y N
BZNE BIOZONE PHARMACEUTICALS INC CO U Y N
CBMX COMBIMATRIX CORP COM NEW S Y N
CDID QUAD ENERGY CORP. COMMON STOCK u Y N
CHYHY CHR HANSEN HLDG A/S SPONSORED u N Y
CLGL California Gold Corp. Common S u Y N
CNNEF CANACOL ENERGY LTD ORDINARY SH u N Y
DMPI DELMAR PHARMACEUTICALS, INC. C U Y N
DSLV VELOCITYSHS 3X INVERSE SILVER G Y N
EMITF ELBIT IMAGING LTD. ORD SHS Q Y N
FSPM FUSION PHARM INC COM STK (NV) u N Y
GRNH GREENGRO TECHNOLOGIES INC COM u N Y
HTHKY HUTCHISON TELECOMMUNICATIONS H u N Y
LBIO LION BIOTECHNOLOGIES, INC. COM u Y N
LMRMF LOMIKO METALS INC ORD SHS (CAN u N Y
MARA MARATHON PATENT GROUP INC COM U Y N
NPKLY NAMPAK LTD SPONSORED ADR NEW ( u N Y
OPXS OPTEX SYSTEMS HLDGS INC COM ST u Y N
ORKLY ORKLA AS SPON ADR (REP-A) u N Y
PATCA PATRIOT COAL CORP CLASS A (DE) u N Y
PSCM POWERSHARES S&P SMALLCAP MATER G Y N
QCLN FIRST TR NASDAQ CLEAN EDGE GRE G Y N
QRXPY Qrxpharma Ltd, Sydney Sponsore u Y N
ROSG ROSETTA GENOMICS LTD ORD SHS N S Y N
SGLB SIGMA LABS, INC. COMMON STOCK u Y N
SMLR SEMLER SCIENTIFIC INC COM STK S Y N
SOCL GLOBAL X SOCIAL MEDIA INDEX G Y N
SPLI AVWORKS AVIATION CORP. COMMON u Y N
STBFY SUNTORY BEVERAGE & FOOD LTD AM u N Y
TAGG TAGLIKEME CORP COMMON STOCK (N u Y N
TDIV FIRST TRUST NASDAQ TECHNOLOGY G Y N
TLNUF TELECORP INC ORDINARY SHARES ( u Y N
TOELY Tokyo Electron Ltd Unsponsored u N Y
TRTC TERRA TECH CORP. COMMON u Y N
TTTM T3 MOTION, INC COM STK NEW U Y N
TVIX CREDIT SUISSE NASSAU VS BRH EX G Y N
TXTMD PROTEXT MOBILITY INC NEW COM S u Y N
USEL USELL.COM INC COM STK (DE) u Y N
VEND FRESH HEALTHY VENDING INTERNAT U Y N
VIDI VIDENT INTL EQUITY FD ETF SER G Y N
VONV VANGUARD RUSSELL 1000 VALUE ET G Y N
VPCO VAPOR CORP COMMON STOCK u Y N
VTEQ VERITEQ CORPORATION COMMON STO u Y N
VTIP VANGUARD SHT TRM INFLT-PROT FD G Y N
VWOB VANGUARD EMERGING MKTS GOVT BD G Y N
XXII 22ND CENTURY GROUP, INC. COMMO U Y N
ZNBR ZINCO DO BRASIL, INC. COMMON S u Y N