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) |
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30 |
File Download
Trade Date | Download Link | File Creation Timestamp |
---|---|---|
Monday, March 18, 2024 | Download | 3/18/2024 11:00:13 PM |
Threshold Security List
Symbol | Security Name | Market Category | Reg SHO Threshold Flag | Rule 3210 |
---|---|---|---|---|
ADIL | ADIAL PHARMACEUTICALS INC COM | S | Y | N |
AISP | AIRSHIP AI HLDGS INC COM(DE) | G | Y | N |
BREA | BRERA HLDGS PLC CL B (IRL) | S | Y | N |
BSMW | INVESCO EXCHANGE-TRADED SELF-I | G | Y | N |
BTOG | BIT ORIGIN LTD SHS NEW (CYM) | S | Y | N |
BYND | BEYOND MEAT INC COM (DE) | Q | Y | N |
CINGW | CINGULATE INC WT EXP (DE)12/03 | S | Y | N |
CMND | CLEARMIND MEDICINE INC COM NEW | S | Y | N |
ENVB | ENVERIC BIOSCIENCES INC COM NE | S | Y | N |
FFIE | FARADAY FUTURE INTELLIGENT ELE | S | Y | N |
FRES | FRESH2 GROUP LTD. AMERICAN DEP | S | Y | N |
FRGT | FREIGHT TECHNOLOGIES INC SHS N | S | Y | N |
GTI | ENERGEM CORP CL A ORD SHS (CYM | G | Y | N |
IMRN | IMMURON LTD SPONSORED ADR (AUS | S | Y | N |
ISPO | INSPIRATO INC CL A NEW | G | Y | N |
IVP | INSPIRE VETERINARY PARTNERS IN | S | Y | N |
JAGX | JAGUAR HEALTH INC COM PAR $0.0 | S | Y | N |
LIFW | MSP RECOVERY INC CL A NEW (DE) | G | Y | N |
LYT | LYTUS TECHNOLOGIES HLDGS PTV L | S | Y | N |
NKGN | NKGEN BIOTECH INC COM STK (DE) | G | Y | N |
NVD | GRANITESHARES ETF TR 2X SHORT | G | Y | N |
NVDS | INVESTMENT MANAGERS SER TR II | G | Y | N |
PHUN | PHUNWARE INC COM NEW | S | Y | N |
PIK | KIDPIK CORP COM NEW | S | Y | N |
QNRX | QUOIN PHARMACEUTICALS LTD SPON | S | Y | N |
RILY | B. RILEY FINANCIAL, INC. COMMO | G | Y | N |
RNLX | RENALYTIX PLC ADS (GBR) | G | Y | N |
RVSN | RAIL VISION LTD SHS NEW (ISR) | S | Y | N |
SMX | SMX SEC MATTERS PLC SHS CL A N | S | Y | N |
TSLQ | INVESTMENT MANAGERS SER TR II | 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.