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)
4 16 12

File Download

Trade Date Download Link File Creation Timestamp
Friday, February 03, 2012 Download 2/3/2012 11:00:03 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
AAMRQ AMR CORP u Y N
ADOOY ADARO ENERGY PT UNSPON ADR (ID u N Y
ANYI ANYTHINGIT INC COMMON STOCK U Y N
AUNFF AURCANA CORP u N Y
AXPW AXION POWER INTERNATIONAL INC U Y N
BIS PROSHARES TRUST-PROSHARES ULTR G Y N
BPAX BIOSANTE PHARMACEUTICALS INC G Y N
BVSN BroadVision, Inc. New Common S G Y N
CIBEY COMMERCIAL INTERNATIONAL BK LT u N Y
CIDM CINEDIGM DIGITAL CINEMA CORP., G Y N
DGWIY DUOYUAN GLOBAL WTR INC SPONSOR u Y N
ECOC ECOLOGY COATINGS INC COM STK u Y N
EGDFF ENERGOLD DRILLING CORP (CDA) u N Y
ENER ENERGY CONVERSION DEVICES INC Q Y N
GDFLY Goodman Fielder Ltd Unsponsore u N Y
MNKD MANNKIND CORP G Y N
ORSCY ORASCOM CONSTR INDS S A E SPON u N Y
OSRS Osiris Corporation Common Stoc u Y N
PLLVF PALLADON VENTURES LTD ORDINARY u N Y
PLZLY POLYUS GOLD INTL LTD SPON GDR u N Y
RIOAF RIO ALTO MNG LTD NEW COM SHS ( u N Y
ROSG ROSETTA GENOMICS LTD ORD SHS S Y N
RTHYL RETAIL HOLDRS TRUST (HOLDRS) 1 u Y N
SCGLY SOCIETE GENERALE FRANCE SP ADR u N Y
SQQQ PROSHARES ULTRAPRO SHORT QQQ G Y N
UAMY U S ANTIMONY CORP U Y N
VCLT VANGUARD LG-TRM CORP BD ETF G Y N
VCSH VANGUARD SHT-TERM CORP BD ETF G Y N
VELA VELATEL GLOBAL COMMUNICATIONS, u Y N
VGIT VANGUARD INTERMEDIATE-TERM GOV G Y N
VTWG VANGUARD RUSSELL 2000 GROWTH E G Y N
XBOR CROSS BORDER RESOURCES, INC. C U Y N