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)
2 24 23

File Download

Trade Date Download Link File Creation Timestamp
Thursday, April 17, 2014 Download 4/17/2014 11:00:02 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
AIRR FIRST TR VI RBA AMERN INDL REN G Y N
ALBKY ALPHA BANK AE SPONS ADR u Y N
AVTO Avantogen Oncology, Inc. Commo u Y N
BKYI BIO-KEY INTERNATIONAL, INC u Y N
BTCS BITCOIN SHOP INC COM STK (NV) u Y N
CARZ FIRST TR NASDAQ GLOBAL AUTO G Y N
CDID QUAD ENERGY CORP. COMMON STOCK u Y N
CNRD CONRAD INDUSTRIES INC u Y N
CNWHF CHINA NETWORKS INTL HLDGS LTD U Y N
CWTR COLDWATER CREEK INC COM STK NE Q Y N
DGRW WISDOMTREE TR US DIVID GROWTH G Y N
DMPI DELMAR PHARMACEUTICALS, INC. C U Y N
EGLE EAGLE BULK SHIPPING INC COM ST Q Y N
EONC EON COMMUNICATIONS CORP COM ST S Y N
FIATY FIAT SPA NEW ADS REP 1 ORD SH u Y N
FTGC FIRST TRUST GLOBAL TACTICAL CO G Y N
FV FIRST TRUST DORSEY WRIGHT FOCU G Y N
GULF WISDOM TREE MIDDLE EAST DIVIDE G Y N
HFCO HYDROGEN FUTURE CORP COM STK ( u Y N
HNIN Horne International, Inc. Comm u Y N
HYLS FIRST TR TACTICAL HIGH YIELD L G Y N
JRCCQ JAMES RIVER COAL NEW u Y N
KLNDF KLONDEX MINES LTD u N Y
LIVE LIVEDEAL, INC. COMMON STOCK S Y N
MNGA MAGNEGAS CORPORATION COMMON ST S Y N
MVRM MAVERICK MINERALS CORP COM STK u Y N
NEWL NEWLEAD HOLDINGS LTD NEW Q Y N
PATCA PATRIOT COAL CORP CLASS A (DE) u N Y
PBIO PRESSURE BIOSCIENCES INC u Y N
PLCSF PLC SYSTEMS INC u Y N
PLUG PLUG POWER INC COM STK (DE) S Y N
PPCYY PPC LIMITED UNSPONSORED ADR (S u N Y
QASP QUASAR AEROSPACE INDUSTRIES, I u Y N
RBIZ REALBIZ MEDIA GROUP INC COM ST u N Y
RGSE REAL GOODS SOLAR, INC. CL A CO S Y N
SGTPY SURGUTUEFTEGAZ SP ADR (REP-PF) u N Y
SOCL GLOBAL X SOCIAL MEDIA INDEX G Y N
SPEX SPHERIX INC COM STK NEW (MD) S Y N
TCEL THERAPY CELLS, INC. COMMON STO u Y N
THRSF Thunderbird Resorts, Inc. Ordi u N Y
TVIX CREDIT SUISSE NASSAU VS BRH EX G Y N
VGLT VANGUARD LG-TRM GOVT BD ETF G Y N
VONV VANGUARD RUSSELL 1000 VALUE ET G Y N
VTHR VANGUARD RUSSELL 3000 ETF G Y N
WARM HPEV INC COMMON STOCK (NV) u Y N
WBXU WEBXU, INC. COMMON STOCK (DE) u Y N
XGTI XG TECHNOLOGY, INC COMMON STOC S Y N
YPRO ADVISORSHARES YIELDPRO ETF G Y N
ZNBR ZINCO DO BRASIL, INC. COMMON S u Y N