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)
18

File Download

Trade Date Download Link File Creation Timestamp
Friday, January 23, 2015 Download 1/23/2015 11:00:28 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ALQA ALLIQUA BIOMEDICAL, INC.(DE) C S Y N
AMBA AMBARELLA, INC ORD SHS Q Y N
BBC BIOSHARES BIOTECHNOLOGY CLINI G Y N
CUBA HERZFELD CARIBBEAN BASIN FUND S Y N
DGRE WISDOMTREE TR EMERGING MARKETS G Y N
DGRW WISDOMTREE TR US DIVID GROWTH G Y N
DXKW WISDOMTREE KOREA HEDGED EQUITY G Y N
MDVXU MEDOVEX CORP. UNITS S Y N
PLTM FIRST TRUST ISE GLOBAL PLATINU G Y N
PSCE POWERSHARES S&P SMALLCAP ENERG G Y N
QAT ISHARES TR ISHARES MSCI QATAR G Y N
QQEW FIRST TR NASDAQ 100 EQUAL WEIG G Y N
RDVY FIRST TR ETF FIRST TR NASDAQ R G Y N
UGLD VELOCITYSHARES 3X LONG GOLD ET G Y N
VGIT VANGUARD INTERMEDIATE-TERM GOV G Y N
VGLT VANGUARD LG-TRM GOVT BD ETF G Y N
VONG VANGUARD RUSSELL 1000 GROWTH E G Y N
VUSE ETF SER SOLUTIONS VIDEN G Y N