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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)
28

File Download

Trade Date Download Link File Creation Timestamp
Tuesday, November 29, 2022 Download 11/29/2022 11:00:07 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ACRV ACRIVON THERAPEUTICS INC COM G Y N
ADILW ADIAL PHARMACEUTICALS INC WT P S Y N
ARGUW ARGUS CAP CORP WT EXP 08/31/20 G Y N
BYND BEYOND MEAT INC COM (DE) Q Y N
CLVS CLOVIS ONCOLOGY INC COM STK (D Q Y N
CMPO COMPOSECURE INC CL A G Y N
CONL GRANITESHARES ETF TR 1.5X LON G Y N
COSM COSMOS HLDGS INC COM NEW S Y N
CSF VICTORY PORTF II SHS US DISC E G Y N
DBGI DIGITAL BRANDS GROUP INC COM N S Y N
DGRE WISDOMTREE TR EMERGING MKTS QU G Y N
DWAC DIGITAL WORLD ACQUISITION CORP G Y N
ECOW PACER FDS TR EMERGING MARKETS G Y N
ENSC ENSYSCE BIOSCIENCES INC COM NE S Y N
FEM FIRST TRUST EMERGING MARKETS A G Y N
FEMS FIRST TRUST EMERGING MARKETS S G Y N
FTQI FIRST TRUST ETF VI FIRST TRUST G Y N
GGMCW GLENFARNE MERGER CORP WT EXP ( S Y N
GTR WISDOMTREE TR TARGET RANGE FD G Y N
MSTR MICROSTRATEGY INC CL A NEW Q Y N
MYNA MYNARIC AG ADS (DEU) Q Y N
NRBO NEUROBO PHARMACEUTICALS INC CO S Y N
QQXT FIRST TR NASDAQ -100 EX-TECHNO G Y N
SDIG STRONGHOLD DIGITAL MNG INC G Y N
SNES SENESTECH INC COM PAR $0.001 S Y N
TCDA TRICIDA INC Q Y N
UPST UPSTART HLDGS INC COM Q Y N
VS VERSUS SYS INC COM NO PAR (CAN 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.