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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)
56

File Download

Trade Date Download Link File Creation Timestamp
Friday, July 11, 2025 Download 7/11/2025 11:00:07 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
AEVAW AEVA TECHNOLOGIES INC WT EXP Q Y N
AGMH AGM GROUP HLDGS INC USD CL A O S Y N
ARBK ARGO BLOCKCHAIN PLC ADR (GBR) Q Y N
ARTL ARTELO BIOSCIENCES INC COM PAR S Y N
ASTI ASCENT SOLAR TECHNOLOGIES INC S Y N
BGLC BIONEXUS GENE LAB CORP COM PA S Y N
BSCZ INVESCO EX-TR SELF-INDEX FD TR G Y N
CLRB CELLECTAR BIOSCIENCES INC COM S Y N
CONI GRANITESHARES ETF TR 2X SHORT G Y N
CXAI CXAPP INC CL A S Y N
DPRO DRAGANFLY INC (CANADA) S Y N
ECDA ECD AUTOMOTIVE DESIGN INC COM S Y N
ELFY ALPS ETF TR ELECTRIFICATION IN G Y N
EMPG EMPRO GROUP INC SHS (CYM) S Y N
GNLN GREENLANE HLDGS INC CL A NEW 2 S Y N
GVH GLOBAVEND HLDGS LTD USD ORD SH S Y N
HCHL HAPPY CITY HLDGS LTD USD ORD S S Y N
HYPD HYPERION DEFI, INC. COMMON STO S Y N
IONZ TIDAL TR II DEFIANCE DAILY TAR G Y N
LIXT LIXTE BIOTECHNOLOGY HLDGS INC S Y N
MBIO MUSTANG BIO INC COM PAR $0.000 S Y N
MSTX TIDAL TR II DEFIANCE DAILY TAR G Y N
MULN MULLEN AUTOMOTIVE INC COM NEW S Y N
NCIQ HASHDEX NASDAQ CRYPTO INDEX US G Y N
NCNA NUCANA PLC SPONSORED ADR NEW S Y N
NCPL NETCAPITAL INC COM NEW (UT) S Y N
NEHC NEW ERA HELIUM INC COM (DE) G Y N
NIVF NEWGENIVF GROUP LIM USD CL A O S Y N
NMPAU NMP ACQUISITION CORP UNIT (CY G Y N
NVDD DIREXION SHS ETF TR DAILY NVDA G Y N
OKLL TIDAL TR II DEFIANCE DAILY TAR G Y N
ORIQU ORIGIN INVT CORP I UNIT 1 ORD G Y N
PLTZ TIDAL TR II DEFIANCE DAILY TA G Y N
RBNE ROBIN ENERGY LTD COM (MHL) S Y N
RNW RENEW ENERGY GLOBAL PLC SHS CL Q Y N
RVYL RYVYL INC COM PAR $0.001 S Y N
SBET SHARPLINK GAMING INC COM NEW S Y N
SCAG SCAGE FUTURE SPONSORED ADSM (C G Y N
SCNI SCINAI IMMUNOTHERAPEUTICS LTD S Y N
SLRX SALARIUS PHARMACEUTICALS INC C S Y N
SONM SONIM TECHNOLOGIES INC COM PAR S Y N
SONN SONNET BIOTHERAPEUTICS HLDGS I S Y N
SYTA SIYATA MOBILE INC COM NO PAR 2 S Y N
TMB THORNBURG ETF TR MULTI SECTOR G Y N
TNFA TNF PHARMACEUTICALS, INC. COMM S Y N
TRNR INTERACTIVE STRENGTH INC COM P S Y N
TSLG THEMES ETF TR LEVERAGE SHARES G Y N
UFO PROCURE ETF TR II PROCURE SPAC G Y N
UPXI UPEXI INC COM NEW S Y N
VERO VENUS CONCEPT INC COM PAR $0.0 S Y N
VOR VOR BIOPHARMA INC.COM Q Y N
VVOS VIVOS THERAPEUTICS INC COM NEW S Y N
WBUY WEBUY GLOBAL LTD. CLASS A ORDI S Y N
WINT WINDTREE THERAPEUTICS INC COM S Y N
WLGS WANG & LEE GROUP INC. USD ORD S Y N
XTIA XTI AEROSPACE INC COM COM NEW S 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.