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)
4 20 17

File Download

Trade Date Download Link File Creation Timestamp
Thursday, October 23, 2014 Download 10/23/2014 11:00:05 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ADMD Advanced Medical Isotope Corp. u Y N
AGND WISDOMTREE TR BARCLAYS US AGGR G Y N
AIRR FIRST TR VI RBA AMERN INDL REN G Y N
AMSE AMERICAN SANDS ENERGY CORP COM U Y N
ARPP ATLAS RESOURCE PARTNERS, L.P. u N Y
AVTO Avantogen Oncology, Inc. Commo u Y N
BIOF BIOFUEL ENERGY CORP COM STK NE S Y N
CDID QUAD ENERGY CORP. COMMON STOCK u Y N
CFRUY Compagnie Financiere Richemont u N Y
COCO CORINTHIAN COLLEGES INC Q Y N
CRMBQ CRUMBS BAKE SHOP INC u N Y
DBOEY Deutsche Boerse Ag Unsponsored u N Y
DRGDF DETOUR GOLD CORP COM (CANADA) u N Y
FTHI FIRST TRUST HIGH INCOME ETF G Y N
FV FIRST TRUST DORSEY WRIGHT FOCU G Y N
FWM FAIRWAY GROUP HLDGS CORP CL A G Y N
GDFZY GDF SUEZ SPONSORED ADR (FRANCE u N Y
GPRO GOPRO INC CL A COM STK (DE) Q Y N
GTATQ GT ADVANCED TECHNOLOGIES INC C u Y N
HJOE HANGOVER JOE'S HOLDING CORPORA U Y N
IVWFF IVERNIA INC u N Y
JALA BE ACTIVE HOLDINGS, INC. COMMO u Y N
KNDI KANDI TECHNOLGIES,GROUP COMMON Q Y N
LAKE LAKELAND INDUSTRIES INC G Y N
LDRI POWERSHARES LADDERRITE 0-5 YEA G Y N
ONEQ FIDELITY NASDAQ COMPOSITE INDE G Y N
PBSFY ProsiebenSat.1 Media AG Muench u N Y
PLRM PILGRIM BANCSHARES, INC. COMMO U Y N
PPCYY PPC LIMITED UNSPONSORED ADR (S u N Y
PSCC POWERSHARES S&P SMALLCAP CONSU G Y N
QASP QUASAR AEROSPACE INDUSTRIES, I u Y N
RGDX RESPONSE GENETICS, INC COMMON S Y N
SCGLY SOCIETE GENERALE FRANCE SP ADR u N Y
SNWV SANUWAVE HEALTH INC COM STK (N U Y N
SOXX ISHARES PHLX SEMICONDUCTOR ETF G Y N
TSCDY TESCO PLC SPONS ADR u N Y
VIVMF VIVEVE MEDICAL, INC. COMMON ST u Y N
VTEQ VERITEQ CORPORATION COMMON STO u Y N
VTIP VANGUARD SHT TRM INFLT-PROT FD G Y N
XONE EXONE CO COM (THE) Q Y N
YAHOY Yahoo Japan Corp Unsponsored A u N Y