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)
1 24 11

File Download

Trade Date Download Link File Creation Timestamp
Wednesday, September 17, 2014 Download 9/17/2014 11:00:02 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
AGND WISDOMTREE TR BARCLAYS US AGGR G Y N
AGZD WISDOM TREE BARCLAYS US AGGREG G Y N
AVTO Avantogen Oncology, Inc. Commo u Y N
CBAY CYMABAY THERAPEUTICS INC. COMM S Y N
CDID QUAD ENERGY CORP. COMMON STOCK u Y N
CIBEY COMMERCIAL INTERNATIONAL BK LT u N Y
CNET CHINANET ONLINE HLDGS INC COM S Y N
CREG China Recycling Energy Corpora G Y N
CRMBQ CRUMBS BAKE SHOP INC u Y N
CTLE NANO LABS CORP COM (CO) u Y N
DGLY DIGITAL ALLY INC COM STK NEW ( S Y N
DRNE DRONE AVIATION HOLDING CORP. N u Y N
EVSV ENVIRO-SERV, INC. COMMON STOCK u Y N
FIATY FIAT SPA NEW ADS REP 1 ORD SH u Y N
GPRO GOPRO INC CL A COM STK (DE) Q Y N
HYZD WISDOMTREE TR BOFA MERRILL LYN G Y N
ISNS IMAGE SENSING SYSTEMS INC S Y N
KGFHY KINGFISHER PLC SPON ADR(NEW) u N Y
MHCC MILLENNIUM HEALTHCARE, INC COM u N Y
OGZPY GAZPROM;ADR REP 4 ORD RUB5 REG u N Y
PLCSF PLC SYSTEMS INC u Y N
REVI RESOURCE VENTURES INC COM STK u Y N
RHHBY ROCHE HLDG LTD SPONS ADR u N Y
SAFRY SAFRAN S A SPONSORED ADR (FRAN u N Y
SBOTF STELLAR BIOTECHNOLOGIES INC OR u N Y
SCGLY SOCIETE GENERALE FRANCE SP ADR u N Y
SFTBY Softbank Corp Unsponsored ADR u N Y
SPEX SPHERIX INC COM STK NEW (MD) S Y N
TBEV HIGH PERFORMANCE BEVERAGES CO u Y N
TXTM PROTEXT MOBILITY INC COM STK u Y N
UAMM UA MULTIMEDIA INC COM STK NEW u Y N
USLV VELOCITYSHS 3X LG SILVER ETN L G Y N
VIIC VISION INDS CORP COM STK (FL) u Y N
VLOWY VALLOUREC S.A. SPONSORED ADR ( u N Y
VOIL VIRTUS OIL AND GAS CORP. COMMO U Y N
VTEQ VERITEQ CORPORATION COMMON STO u Y N