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)
58

File Download

Trade Date Download Link File Creation Timestamp
Friday, October 17, 2025 Download 10/17/2025 11:00:19 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ADAP ADAPTIMMUNE THERAPEUTICS PLC S S Y N
AIPO TIDAL TR II DEFIANCE AI & PWR G Y N
APPX INVMENT MNGERS SER TR II TRADR G Y N
AREB AMERICAN REBEL HLDGS INC COM P S Y N
ASST STRIVE INC CL A COM (NV) G Y N
AZI AUTOZI INTERNET TECHNOLOGY GLO G Y N
BIAF BIOAFFINITY TECHNOLOGIES INC C S Y N
BJDX BLUEJAY DIAGNOSTICS INC COM PA S Y N
BNC CEA IND INC COM NEW PAR $0.000 S Y N
BTM BITCOIN DEPOT INC COM S Y N
BULG THEMES ETF TR LEVERAGE SHARES G Y N
BULL WEBULL CORP ORD SHS (CYM) S Y N
BYND BEYOND MEAT INC COM (DE) Q Y N
CAN CANAAN INC SPONSORED ADR (CYM) G Y N
CCHH CCH HLDGS LTD USD ORD SHS (CYM S Y N
CDT CDT EQUITY INC COM PAR $0.0001 S Y N
CERO CERO THERAPEUTICS HLDGS INC C S Y N
CHNR CHINA NAT RES INC SHS NEW COM S Y N
COYY GRANITESHARES ETF TR YIELDBOOS G Y N
CRCG THEMES ETF TR LEVERAGE SHARES G Y N
DFLIW DRAGONFLY ENERGY HLDGS CORP WT S Y N
DKNX TIDAL TR II DEFIANCE DAILY TAR G Y N
DOMH DOMINARI HOLDINGS INC. COMMON S Y N
DPRO DRAGANFLY INC (CANADA) S Y N
ECDA ECD AUTOMOTIVE DESIGN INC COM S Y N
ELBM ELECTRA BATTERY MATLS CORP COM S Y N
EMEQ MACQUARIE ETF TR FOCUSED EMERG G Y N
GLTO GALECTO INC COM NEW S Y N
HIMZ TIDAL TR II DEFIANCE DAILY TAR G Y N
HSDT SOLANA CO COM CL A NEW MAY 20 S Y N
IBG INNOVATION BEVERAGE GROUP LTD S Y N
IONZ TIDAL TR II DEFIANCE DAILY TAR G Y N
KMLI KRANESHARES TR 2X LONG MELI DA G Y N
LAWR ROBOT CONSULTING CO LTD SPONSO S Y N
LFS LEIFRAS CO LTD ADS REPSTG ORD S Y N
LITM SNOW LAKE RES LTD COM NO PAR ( S Y N
LITS LITE STRATEGY INC COM PAR $ (D S Y N
LWAY LIFEWAY FOODS INC G Y N
METU DIREXION SHS ETF TR DAILY META G Y N
MSTX TIDAL TR II DEFIANCE DAILY TAR G Y N
NFE NEW FORTRESS ENERGY INC. CLASS Q Y N
NUAI NEW ERA ENERGY & DIGITAL, INC. G Y N
NVX NOVONIX LTD SPONSORED ADS (AUS G Y N
PCSA PROCESSA PHARMACEUTICALS INC S Y N
PLTZ TIDAL TR II DEFIANCE DAILY TA G Y N
QBTZ TIDAL TR II DEFIANCE DAILY TAR G Y N
QCLS Q/C TECHNOLOGIES INC COM PAR $ S Y N
QUBT QUANTUM COMPUTING INC COM S Y N
RKLX TIDAL TR II DEFIANCE DAILY TAR G Y N
RVPH REVIVA PHARMACEUTICALS HLDGS C S Y N
SLE SUPER LEAGUE ENTERPRISE, INC. S Y N
SLMT BRERA HLDGS PLC CL B NEW (IRL) S Y N
SMCZ TIDAL TR II DEFIANCE DAILY TAR G Y N
SMST TIDAL TR II DEFIANCE DAILY TAR G Y N
SMX SMX SEC MATTERS PLC SHS CL A J S Y N
SPRC SCISPARC LTD COM PAR $ (ISR) S Y N
TURB TURBO ENERGY S A SPONSORED ADR S Y N
WAI TOP KINGWIN LTD NEW CL A ORD S 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.