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)
27

File Download

Trade Date Download Link File Creation Timestamp
Friday, October 19, 2018 Download 10/19/2018 11:00:23 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ACST ACASTI PHARMA INC CL A SHS (CD S Y N
AIQ GLOBAL X FDS FUTURE ANALYTICS G Y N
ALT ALTIMMUNE INC COM NEW G Y N
BLIN BRIDGELINE DIGITAL INC COM NE S Y N
BSVN BANK7 CORP COM Q Y N
CTACU CHASERG TECHNOLOGY ACQUISITIO S Y N
DWSH ADVISORSHARES TR DORSEY WRIGHT G Y N
EARS AURIS MED HLDG AG NEW COM (CHE S Y N
ESGD ISHARES TR MSCI EAFE ESG OPTIM G Y N
FMHI FIRST TR ETF III MUNICIPAL HIG G Y N
GTXI GTX INC DEL COM NEW S Y N
HEAR TURTLE BEACH CORP COM NEW (NV) G Y N
HMNY HELIOS & MATHESON ANALYTICS C S Y N
IPCI INTELLIPHARMACEUTICS INTL INC S Y N
LMFA LM FDG AMER INC COM STK (DE) S Y N
MNGA MAGNEGAS CORP COM STK (DE) S Y N
MOSY MOSYS INC COM STK NEW (DE) S Y N
MTSL MER TELEMANAGEMENT SOLUTIONS L S Y N
NBEV NEW AGE BEVERAGES CO S Y N
NETE NET ELEMENT INC COM PAR $0.000 S Y N
PY PRINCIPAL ETF PRIN SHAREHOLDER G Y N
QTT QUTOUTIAO INC ADS REPSTG CL A Q Y N
RGSE REAL GOODS SOLAR INC CL A NEW S Y N
RIOT RIOT BLOCKCHAIN INC COM S Y N
SAEX SAEXPLORATION HLDGS INC COM PA S Y N
SFIX STITCH FIX INC CL A Q Y N
SHLD SEARS HOLDINGS CORP Q 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.