Search:
   

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
Tuesday, March 3, 2026 Download 3/3/2026 11:00:20 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ACAAU AVERIN CAP ACQ CP USD UTS CONS G Y N
AIXI XIAO-I CORP ADS NEW (CYM) G Y N
AMZD DIREXION SHS ETF TR DAILY AMZN G Y N
APPX INVMENT MNGERS SER TR II TRADR G Y N
AREB AMERICAN REBEL HLDGS INC COM S Y N
BHAT BLUE HAT INTERACTIVE ENTMT TEC S Y N
BNAI BRAND ENGAGEMENT NETWORK INC C S Y N
BRTX BIORESTORATIVE THERAPIES INC.C S Y N
CDIO CARDIO DIAGNOSTICS HLDGS INC C S Y N
CISS C3IS INC COM NEW JAN 2026 (MHL S Y N
DUOG THEMES ETF TR LEVERAGE SHS 2X G Y N
DYTA RBB FD INC SGI DYNAMIC TACTICA G Y N
EDSA EDESA BIOTECH INC COM NEW (C S Y N
ELPW ELONG PWR HLDG LTD SHS CL A (N G Y N
FEED ENVUE MEDICAL, INC. COMMON STO S Y N
FFAI FARADAY FUTURE INTELLIGENT ELE S Y N
FGNX FG NEXUS INC. COM PAR $ G Y N
FIGG THEMES ETF TR LEVERAGE SHS 2X G Y N
FRGT FREIGHT TECHNOLOGIES INC ORD S S Y N
GGLS DIREXION SHS ETF TR DAILY GOOG G Y N
GNLN GREENLANE HLDGS INC CL A NEW 2 S Y N
GV VISIONARY HLDGS INC COM NEW ( S Y N
HBR CANARY HBAR ETF SHS BEN INT G Y N
HIMZ TIDAL TR II DEFIANCE DAILY TAR G Y N
HOOX TIDAL TR II DEFIANCE DAILY TAR G Y N
IONZ TIDAL TR II DEFIANCE DAILY TAR G Y N
LFS LEIFRAS CO LTD ADS REPSTG ORD S Y N
LGHL LION GROUP HLDG LTD ADR NEW 20 S Y N
MGRX MANGOCEUTICALS INC COM NEW (TX S Y N
MSTX TIDAL TR II DEFIANCE DAILY TAR G Y N
MYCH SSGA ACTIVE TRUST STATE STREET G Y N
NCI NEO-CONCEPT INTL GRP HLDNGS LT S Y N
NOWL GRANITESHARES ETF TR 2X LONG N G Y N
NVDL GRANITESHARES ETF TR 2X LONG N G Y N
OKLL TIDAL TR II DEFIANCE DAILY TAR G Y N
PBOG TIDAL ETF TR IV PORT BLDG BLK G Y N
PDC PERPETUALS.COM LTD ADR(JPN) S Y N
PFSA PROFUSA INC COM NEW G Y N
PLTZ TIDAL TR II DEFIANCE DAILY TAR G Y N
QBTZ TIDAL TR II DEFIANCE DAILY TAR G Y N
RETO RETO ECO-SOLUTIONS INC SHS NEW S Y N
RGTX TIDAL TR II DEFIANCE DAILY TAR G Y N
RGTZ TIDAL TR II DEFIANCE DAILY TAR G Y N
RIME ALGORHYTHM HLDGS INC COM PAR $ S Y N
RKLZ TIDAL TR II DEFIANCE DILY TARG G Y N
RUBI RUBICO INC COM PAR $ (MHL) S Y N
RVSN RAIL VISION LTD SHS NEW SHS N S Y N
SMCX TIDAL TR II DEFIANCE DAILY TAR G Y N
SMST TIDAL TR II DEFIANCE DAILY TAR G Y N
SMX SMX SEC MATTERS PLC ORD SHS NE S Y N
SOUX TIDAL TR II DEFIANCE DAILY TAR G Y N
SVRN OCEANPAL INC COM PAR $0.01 NEW S Y N
UOKA MDJM LTD USD CL A ORD SHS (CYM S Y N
VEEE TWIN VEE POWERCATS CO COM NEW S Y N
XTKG X3 HOLDINGS CO LTD ORD SHS NEW S Y N
XWEL XWELL INC COM PAR $0.01 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.