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)
33

File Download

Trade Date Download Link File Creation Timestamp
Friday, January 20, 2017 Download 1/20/2017 11:00:22 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
BIS PROSHARES TR ULTRASHORT NASDAQ G Y N
BOTZ GLOBAL X FDSROBOTICS & ARTIFIC G Y N
BSPM BIOSTAR PHARMACEUTICALS INC CO S Y N
CDC VICTORY PORTFOLIOS II CEMP US G Y N
CEZ VICTORY PORTFOLIOS II CEMP EME G Y N
CIBR FIRST TR FD II NASDAQ CYBERSEC G Y N
DWAC ELKHORN ETF TR COMMODITY ROTAT G Y N
ETRM ENTEROMEDICS INC COM PAR $.01 S Y N
EVGBC EATON VANCE NEXTSHARES TR GLOB G Y N
FDIV FIRST TRUST STRATEGIC INCOME G Y N
FDT FIRST TRUST DEVELOPED MARKETS G Y N
FNK FIRST TRUST MID CAP VALUE ALPH G Y N
FYT FIRST TRUST SMALL CAP VALUE A G Y N
GEVO GEVO INC COM PAR $.01 S Y N
HMNY HELIOS & MATHESON ANALYTICS C S Y N
IDXG INTERPACE DIAGNOSTICS GROUP IN S Y N
KBWY POWERSHARES KBW PREMIUM YIELD G Y N
KWEB KRANESHARES TR CSI CHINA INTER G Y N
OPXA OPEXA THERAPEUTICS, INC. COM P S Y N
OREX OREXIGEN THERAPEUTICS, INC. CO Q Y N
PPH VANECK VECTORS TR PHARMACEUTIC G Y N
PSCE POWERSHARES S&P SMALLCAP ENERG G Y N
RDVY FIRST TRUST RISING DIVIDEND AC G Y N
SKLN SKYLINE MEDICAL INC. COM PAR $ S Y N
SNSR GLOBAL X FDSINTERNET OF THINGS G Y N
SOCL GLOBAL X SOCIAL MEDIA INDEX G Y N
TVIX CREDIT SUISSE AG NASSAU BRH VE G Y N
URRE URANIUM RES INC COM STK (DE) S Y N
VIIX CREDIT SUISSE NASSAU BRH VS VI G Y N
VTWO VANGUARD RUSSELL 2000 ETF G Y N
VYMI VANGUARD WHITEHALL FDS INTL HI G Y N
XGTI XG TECHNOLOGY INC COM PAR $.00 S Y N