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)
26

File Download

Trade Date Download Link File Creation Timestamp
Wednesday, February 10, 2016 Download 2/10/2016 11:00:19 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
AMDA AMEDICA CORP COM STK NEW (DE) S Y N
FEMS FIRST TRUST EMERGING MARKETS S G Y N
FHK FIRST TRUST HONG KONG ALPHADEX G Y N
FREE FREESEAS INC SHS NEW JAN 2016 S Y N
FTRI FIRST TR ETF FD II FIRST TR IN G Y N
FTSM FIRST TR ENHANCED TRADED FD IV G Y N
GBSN GREAT BASIN SCIENTIFIC INC COM S Y N
GIGA GIGA-TRONICS INC S Y N
INVT INVENTERGY GLOBAL INC NEW COM S Y N
LMBS FIRST TR FD IV LOW DURATION MT G Y N
NRX NEPHROGENEX INC COM S Y N
OCLSW OCULUS INNIVATIVE SCIENCES INC S Y N
OUTR OUTERWALL INC Q Y N
PSCU POWERSHARES S&P SMALLCAP UTILI G Y N
QQXT FIRST TR NASDAQ -100 EX-TECHNO G Y N
SLQD ISHARES 0-5 YEAR INVESTMENT GR G Y N
SQQQ PROSHARES ULTRAPRO SHORT QQQ N G Y N
TVIX CREDIT SUISSE NASSAU VS BRH EX 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
VGSH VANGUARD SHT-TRM GOVT BD ETF G Y N
VIDI VIDENT INTL EQUITY FD ETF SER G Y N
VPCO VAPOR CORP DEL COM STK S Y N
YLCO GLOBAL X FDS YIELDCO INDEX ETF G Y N
ZBIO PROSHARES TR ULTRAPRO SHORT NA G Y N