Reg SHO Threshold List


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.

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)
34

File Download

Trade Date Download Link File Creation Timestamp
Monday, December 05, 2016 Download 12/5/2016 11:00:25 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
AIRR FIRST TR VI RBA AMERN INDL REN G Y N
BSPM BIOSTAR PHARMACEUTICALS INC CO S Y N
CATH GLOBAL X FDS GLOBAL X S&P 500 G Y N
CDC VICTORY PORTFOLIOS II CEMP US G Y N
CFA VICTORY PORTFOLIOS II CEMP US G Y N
CFO VICTORY PORTFOLIOS II CEMP US G Y N
CIBR FIRST TR FD II NASDAQ CYBERSEC G Y N
CID VICTORY PORTFOLIOS II CEMP INT G Y N
CLRB CELLECTAR BIOSCIENCES INC COM S Y N
DRYS DRYSHIPS INC COM PAR$0.1 (MHL) S Y N
DWIN POWERSHARES ETF R II DWA TACTI G Y N
DXJS WISDOMTREE TR JAPAN SMALLCAP H G Y N
EVGBC EATON VANCE NEXTSHARES TR GLOB G Y N
FCVT FIRST TR EXCHANGE TRADED FD IV G Y N
FDIV FIRST TRUST STRATEGIC INCOME G Y N
FLN FIRST TRUST LATIN AMERICA ALPH G Y N
FNX FIRST TR MID CAP CORE ALPHADEX G Y N
FTXO FIRST TR ETF VI NASDAQ BK ETF G Y N
FYC FIRST TRUST SMALL CAP GROWTH A G Y N
FYT FIRST TRUST SMALL CAP VALUE A G Y N
JSMD JANUS DETROIT STR TR SMALL/MID G Y N
KRNT KORNIT DIGITAL LTD ORD SHS (IS Q Y N
LVHD LEGG MASON ETF EQUITY TR LOW V G Y N
PSCM POWERSHARES S&P SMALLCAP MATER G Y N
QABA FIRST TRUST NASDAQ ABA COMMUNI G Y N
RDVY FIRST TR ETF FIRST TR NASDAQ R G Y N
SCON SUPERCONDUCTOR TECHS INC COM P S Y N
SINO SINO-GLOBAL SHIPPING AMERICA.L S Y N
TVIX CREDIT SUISSE AG NASSAU BRH VE G Y N
USLB POWERSHARES RUSSELL 1000 LOW B G Y N
VGLT VANGUARD LG-TRM GOVT BD ETF G Y N
VIGI VANGUARD WHITEHALL FDS INTL DI G Y N
VRNS VARONIS SYS INC COM STK (DE) Q Y N
VYMI VANGUARD WHITEHALL FDS INTL HI G Y N