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)
2 25 30

File Download

Trade Date Download Link File Creation Timestamp
Thursday, December 05, 2013 Download 12/5/2013 11:00:01 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ALQAD ALLIQUA, INC. NEW COMMON STOCK u Y N
AVTO Avantogen Oncology, Inc. Commo u Y N
BANX STONECASTLE FINANCIAL CORP COM Q Y N
BEAC BEACON ENTERPRISE SOLUTIONS GR u Y N
BNDX VANGUARD TOTAL INTERNATIONAL B G Y N
CCLAY COCA COLA AMATIL LTD SPONS ADR u N Y
CDID QUAD ENERGY CORP. COMMON STOCK u Y N
CFPZF Canfor Corporation New Ordinar u N Y
CLNT CLEANTECH SOLUTIONS INT'L IN S Y N
CRMB CRUMBS BAKE SHOP INC S Y N
DGRW WISDOMTREE TR US DIVID GROWTH G Y N
DXJS WISDOMTREE TR JAPAN SMALLCAP H G Y N
ENDTF CANOE EIT INCOME FUND UNITS (C u N Y
EUFN ISHARES MSCI EUROPE FINANCIALS G Y N
EVSV ENVIRO-SERV, INC. COMMON STOCK u Y N
FCUUF FISSION URANIUM CORPORATION CO u N Y
GDFZY GDF SUEZ SPONSORED ADR (FRANCE u N Y
GEVO GEVO INC G Y N
HYII ALL GRADE MINING, INC. COMMON u Y N
HYLS FIRST TR TACTICAL HIGH YIELD L G Y N
INVA INOVA TECHNOLOGY INC COM STK ( u Y N
IPSEY IPSEN S A SPON ADR (FRA) u N Y
IZEA IZEA INC COMMON (NV) u Y N
KWEB KRANESHARES TR CSI CHINA INTER G Y N
LBIO LION BIOTECHNOLOGIES, INC. COM u Y N
LCMD LIFE CARE MEDICAL DEVICES LIMI u Y N
MDIV FIRST TRUST MULTI-ASSET DIVERS G Y N
MEGEF MEG ENERGY CORP COM STK (CANAD u N Y
NPACY Neopost SA Unsponsored ADR (Fr u N Y
NTEK NANOTECH ENTERTAINMENT, INC. u Y N
NURO NEUROMETRIX INC COM NEW (DE) S Y N
OGZPY GAZPROM;ADR REP 4 ORD RUB5 REG u N Y
ORKLY ORKLA AS SPON ADR (REP-A) u N Y
OXBT OXYGEN BIOTHERAPEUTICS INC NEW S Y N
PATH NUPATHE INC COM STK G Y N
PPERY PT BANK MANDIRI PERSERO TBK UN u N Y
PSCD POWERSHARES S&P SMALLCAP CONSU G Y N
PSCH POWERSHARES S&P SMALLCAP HEALT G Y N
PSCI POWERSHARES S&P SMALLCAP INDUS G Y N
PTRC PETRO RIVER OIL CORP. COMMON S U Y N
PZOO PAZOO, INC COMMON (NV) U Y N
QCLN FIRST TR NASDAQ CLEAN EDGE GRE G Y N
QQQC GLOBAL X NASDAQ CHINA TECHNOLO G Y N
SCON SUPERCONDUCTOR TECHS INC S Y N
SELR STEELE RES CORP COM STK (NV) u Y N
SPEX SPHERIX INC COM STK NEW (MD) S Y N
STXS STEREOTAXIS INC COM STK NEW (D S Y N
TDIV FIRST TRUST NASDAQ TECHNOLOGY G Y N
TKOI TELKONET INC u Y N
UNXL UNI-PIXEL, INC. S Y N
UPZS UNIQUE PIZZA AND SUBS CORP COM u Y N
VCSH VANGUARD SHT-TERM CORP BD ETF G Y N
VISN VISIONCHINA MEDIA INC SPONSORE Q Y N
VTIP VANGUARD SHT TRM INFLT-PROT FD G Y N
VTWO VANGUARD RUSSELL 2000 ETF G Y N
VWOB VANGUARD EMERGING MKTS GOVT BD G Y N
VXUS VANGUARD STAR FD VANGUARD TOTA G Y N