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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) |
|---|
| 62 |
File Download
| Trade Date | Download Link | File Creation Timestamp |
|---|---|---|
| Thursday, July 17, 2025 | Download | 7/17/2025 11:00:22 PM |
Threshold Security List
| Symbol | Security Name | Market Category | Reg SHO Threshold Flag | Rule 3210 |
|---|---|---|---|---|
| ABVE | ABOVE FOOD INGREDIENTS INC (CA | G | Y | N |
| AGMH | AGM GROUP HLDGS INC USD CL A O | S | Y | N |
| ARBK | ARGO BLOCKCHAIN PLC ADR (GBR) | Q | Y | N |
| ASST | ASSET ENTITIES INC CL B NEW | S | Y | N |
| BCTX | BRIACELL THERAPEUTICS CORP NEW | S | Y | N |
| BGLC | BIONEXUS GENE LAB CORP COM PA | S | Y | N |
| BNZI | BANZAI INTL INC CL A COM PAR $ | S | Y | N |
| CIGL | CONCORDE INTL GROUP LTD USD CL | S | Y | N |
| CONI | GRANITESHARES ETF TR 2X SHORT | G | Y | N |
| COOT | AUSTRALIAN OILSEEDS HLDGS LTD | G | Y | N |
| CXAI | CXAPP INC CL A | S | Y | N |
| CYCC | CYCLACEL PHARMACEUTICALS INC C | S | Y | N |
| DPRO | DRAGANFLY INC (CANADA) | S | Y | N |
| ECDA | ECD AUTOMOTIVE DESIGN INC COM | S | Y | N |
| EMPG | EMPRO GROUP INC SHS (CYM) | S | Y | N |
| FMFC | KANDAL M VENTURE LTD CL A ORD | S | Y | N |
| GNLN | GREENLANE HLDGS INC CL A NEW 2 | S | Y | N |
| GVH | GLOBAVEND HLDGS LTD USD ORD SH | S | Y | N |
| HYPD | HYPERION DEFI, INC. COMMON STO | S | Y | N |
| IONZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| JMID | JANUS DETROIT STR TR HENDERSON | G | Y | N |
| LIXT | LIXTE BIOTECHNOLOGY HLDGS INC | S | Y | N |
| MBIO | MUSTANG BIO INC COM PAR $0.000 | S | Y | N |
| MBRX | MOLECULIN BIOTECH INC COM PAR | S | Y | N |
| MSTX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| MULN | MULLEN AUTOMOTIVE INC COM NEW | S | Y | N |
| MUU | DIREXION SHS ETF TR DAILY MU B | G | Y | N |
| NCIQ | HASHDEX NASDAQ CRYPTO INDEX US | G | Y | N |
| NCNA | NUCANA PLC SPONSORED ADR NEW | S | Y | N |
| NDRA | ENDRA LIFE SCIENCES INC COM PA | S | Y | N |
| NEHC | NEW ERA HELIUM INC COM (DE) | G | Y | N |
| NFE | NEW FORTRESS ENERGY INC. CLASS | Q | Y | N |
| NIVF | NEWGENIVF GROUP LIM USD CL A O | S | Y | N |
| OKLL | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| OP | OCEANPAL INC COM PAR $0.01 (MH | S | Y | N |
| ORIQU | ORIGIN INVT CORP I UNIT 1 ORD | G | Y | N |
| PLTZ | TIDAL TR II DEFIANCE DAILY TA | G | Y | N |
| QMMM | QMMM HLDGS LTD SHS NEW US$0.00 | S | Y | N |
| RNW | RENEW ENERGY GLOBAL PLC SHS CL | Q | Y | N |
| RVYL | RYVYL INC COM PAR $0.001 | S | Y | N |
| SBET | SHARPLINK GAMING INC COM NEW | S | Y | N |
| SCAG | SCAGE FUTURE SPONSORED ADSM (C | G | Y | N |
| SCNI | SCINAI IMMUNOTHERAPEUTICS LTD | S | Y | N |
| SLRX | SALARIUS PHARMACEUTICALS INC C | 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 M | S | Y | N |
| SONN | SONNET BIOTHERAPEUTICS HLDGS I | S | Y | N |
| STKH | STEAKHOLDER FOODS LTD SPONSORE | S | Y | N |
| SYTA | SIYATA MOBILE INC COM NO PAR 2 | S | Y | N |
| TMB | THORNBURG ETF TR MULTI SECTOR | G | Y | N |
| TNFA | TNF PHARMACEUTICALS, INC. COMM | S | Y | N |
| TRNR | INTERACTIVE STRENGTH INC COM P | S | Y | N |
| TSLG | THEMES ETF TR LEVERAGE SHARES | G | Y | N |
| UPXI | UPEXI INC COM NEW | S | Y | N |
| VOR | VOR BIOPHARMA INC.COM | Q | Y | N |
| VVOS | VIVOS THERAPEUTICS INC COM NEW | S | Y | N |
| WBUY | WEBUY GLOBAL LTD. CLASS A ORDI | S | Y | N |
| WINT | WINDTREE THERAPEUTICS INC COM | S | Y | N |
| WKHS | WORKHORSE GROUP INC COM PAR$0. | S | Y | N |
| WLGS | WANG & LEE GROUP INC. USD ORD | S | Y | N |
| XTIA | XTI AEROSPACE INC COM COM 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.
