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.

Note: The list below contains securities from OTCBB, Other OTC and NASDAQ markets. The totals below reflects the number of securities from each marketplace that are included in the list. Please review the "Market Category" field for the specific listing market for each security.

Market Category Counts

OTCBB (U) Other OTC (u) NASDAQ (Q,G,S)
1 24 14

File Download

Trade Date Download Link File Creation Timestamp
Thursday, July 31, 2014 Download 7/31/2014 11:00:02 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
AHFD ACTIVE HEALTH FOODS, INC. COMM u Y N
ALBKY ALPHA BANK AE SPONS ADR u Y N
AVTO Avantogen Oncology, Inc. Commo u Y N
BHBK BLUE HILLS BANCORP INC COM Q Y N
BNDX VANGUARD TOTAL INTERNATIONAL B G Y N
BONU BIONEUTRAL GROUP, INC. COM STK u Y N
CBAK CHINA BAK BATTERY, INC COM NEW G Y N
CBMX COMBIMATRIX CORP COM NEW S Y N
CDID QUAD ENERGY CORP. COMMON STOCK u Y N
CRMBQ CRUMBS BAKE SHOP INC u Y N
DATE JIAYUAN COM INTL LTD SPON ADR Q Y N
DGLY DIGITAL ALLY INC COM STK NEW ( S Y N
EMITF ELBIT IMAGING LTD. ORD SHS Q Y N
FBMS FIRST BANCSHARES INC (THE) (MS G Y N
FIATY FIAT SPA NEW ADS REP 1 ORD SH u Y N
FV FIRST TRUST DORSEY WRIGHT FOCU G Y N
GDFZY GDF SUEZ SPONSORED ADR (FRANCE u N Y
KDDIY KDDI Corporation Unsponsored A u N Y
KGFHY KINGFISHER PLC SPON ADR(NEW) u N Y
LNCGY Linc Energy Limited Sponsored u N Y
NECA NEW AMERICA ENERGY CORP. COMMO u Y N
NEWL NEWLEAD HOLDINGS LTD NEW (BMU) u Y N
PATCA PATRIOT COAL CORP CLASS A (DE) u N Y
PFIE PROFIRE ENERGY, INC. COM STK ( S Y N
PLTM FIRST TRUST ISE GLOBAL PLATINU G Y N
PPERY PT BANK MANDIRI PERSERO TBK UN u N Y
RESCU RESCAP LIQUIDATING TRUST UNITS u N Y
RGLXY RTL Group Sa Luxembourg Unspon u N Y
SBGSY Schneider Electric Sa Unsponso u N Y
SBRCY SBERBANK RUSSIA SPONSORED AME u N Y
SFTBY Softbank Corp Unsponsored ADR u N Y
SMVR SMART VENTURES INC NEW COM STK u Y N
SNWV SANUWAVE HEALTH INC COM STK (N U Y N
SOCL GLOBAL X SOCIAL MEDIA INDEX G Y N
TAYCO TAYLOR CAPITAL GROUP, INC. PER Q Y N
TREVF TREVALI MNG CORP COM SHS (CDA) u N Y
TXTM PROTEXT MOBILITY INC COM STK u Y N
VGSH VANGUARD SHT-TRM GOVT BD ETF G Y N
XUII XUMANII INTL HLDGS CORP COM ST u Y N