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)
0 28 11

File Download

Trade Date Download Link File Creation Timestamp
Tuesday, September 02, 2014 Download 9/2/2014 11:00:02 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
AMKBY A.P. MOLLER-MAERSK A/S UNSPONS u N Y
ATCH AIRTOUCH COMMUNICATIONS INC DE u Y N
AVTO Avantogen Oncology, Inc. Commo u Y N
AXCG EYES ON THE GO, INC. COMMON S u Y N
BPIRY PIRAEUS BANK SA SPONSORED ADR u N Y
CBMX COMBIMATRIX CORP COM NEW S Y N
CDID QUAD ENERGY CORP. COMMON STOCK u Y N
CFRXU CONTRAFECT CORPORATION UNIT S Y N
CRMBQ CRUMBS BAKE SHOP INC u Y N
DGLY DIGITAL ALLY INC COM STK NEW ( S Y N
EGFEY E F G EUROBANK ERGASIAS SA NEW u N Y
EMITF ELBIT IMAGING LTD. ORD SHS Q Y N
EVSV ENVIRO-SERV, INC. COMMON STOCK u Y N
FIATY FIAT SPA NEW ADS REP 1 ORD SH u Y N
GPRO GOPRO INC CL A COM STK (DE) Q Y N
HCMLY Holcim Limited Unsponsored ADR u N Y
JALA BE ACTIVE HOLDINGS, INC. COMMO u Y N
KAIKY Kawasaki Kisen Kaisha Ltd Unsp u N Y
LOXO LOXO ONCOLOGY INC COM STK G Y N
LSTMF LIGHTSTREAM RESOURCES LTD. CLA u N Y
MARA MARATHON PATENT GROUP INC COM S Y N
MHCC MILLENNIUM HEALTHCARE, INC COM u N Y
MTTRY METRO AG ORD DEM 5 UNSPONSORED u N Y
NFEC NF ENERGY SAVING CORPORATION. S Y N
OGZPY GAZPROM;ADR REP 4 ORD RUB5 REG u N Y
ONEQ FIDELITY NASDAQ COMPOSITE INDE G Y N
ORKLY ORKLA AS SPON ADR (REP-A) u N Y
POAHY PORSCHE AUTOMOBILE HOLDING SE u N Y
RAFA RAFARMA PHARMACEUTICALS, INC. u Y N
RDSMY ROYAL DSM NV SPONSORED ADR (NE u N Y
REVI RESOURCE VENTURES INC COM STK u Y N
RHHBY ROCHE HLDG LTD SPONS ADR u N Y
SBOTF STELLAR BIOTECHNOLOGIES INC OR u N Y
SBRCY SBERBANK RUSSIA SPONSORED AME u N Y
TBEV HIGH PERFORMANCE BEVERAGES CO u Y N
TRTC TERRA TECH CORP. COMMON u Y N
UGLD VELOCITYSHARES 3X LONG GOLD ET G Y N
VONG VANGUARD RUSSELL 1000 GROWTH E G Y N
VTEQ VERITEQ CORPORATION COMMON STO u Y N