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)
20

File Download

Trade Date Download Link File Creation Timestamp
Friday, November 21, 2014 Download 11/21/2014 11:00:05 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ADRU BLDRS EUROPE 100 ADR INDEX FUN G Y N
AIRR FIRST TR VI RBA AMERN INDL REN G Y N
ASTI ASCENT SOLAR TECHNOLOGIES INC S Y N
BANX STONECASTLE FINANCIAL CORP COM Q Y N
CDC COMPASS EMP FDS TR 100 HIGH DI G Y N
CFO COMPASS EMP FDS TR U S 500 ENH G Y N
DGRW WISDOMTREE TR US DIVID GROWTH G Y N
DWAT ARROW INVTS TR DWA TACTICAL ET G Y N
DXGE WISDOMTREE GERMANY HEDGED EQUI G Y N
DXJS WISDOMTREE TR JAPAN SMALLCAP H G Y N
EMITF ELBIT IMAGING LTD. ORD SHS Q Y N
GPRO GOPRO INC CL A COM STK (DE) Q Y N
GULF WISDOM TREE MIDDLE EAST DIVIDE G Y N
KWEB KRANESHARES TR CSI CHINA INTER G Y N
LAKE LAKELAND INDUSTRIES INC G Y N
PSCC POWERSHARES S&P SMALLCAP CONSU G Y N
RDVY FIRST TR ETF FIRST TR NASDAQ R G Y N
SPCB SUPERCOM, LTD. NEW ORDINARY SH S Y N
UPLD UPLAND SOFTWARE INC COM G Y N
VBND ETF SER SOLUTIONS VIDENT CORE G Y N