RSS Feeds
Product Login
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) |
|---|
| 64 |
File Download
| Trade Date | Download Link | File Creation Timestamp |
|---|---|---|
| Friday, May 1, 2026 | Download | 5/1/2026 11:00:05 PM |
Threshold Security List
| Symbol | Security Name | Market Category | Reg SHO Threshold Flag | Rule 3210 |
|---|---|---|---|---|
| ADTX | ADITXT INC COM PAR $0.001 NEW | S | Y | N |
| AIXI | XIAO-I CORP ADS NEW (CYM) | G | Y | N |
| AKAN | AKANDA CORP COM NO PAR FEBRUAR | S | Y | N |
| AMDD | DIREXION SHS ETF TR DAILY AMD | G | Y | N |
| AMZD | DIREXION SHS ETF TR DAILY AMZN | G | Y | N |
| ARTL | ARTELO BIOSCIENCES INC COM NEW | S | Y | N |
| ASBP | ASPIRE BIOPHARMA HLDGS INC COM | S | Y | N |
| AUUD | AUDDIA INC COM PAR $0.001 APRI | S | Y | N |
| BAIG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| BEAT | HEARTBEAM INC COM | S | Y | N |
| BESO | ETF OPPORTUNITIES TR GSR CRYPT | G | Y | N |
| BMNG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| BTOG | BIT ORIGIN LTD SHS NEW US$0.00 | S | Y | N |
| COSM | COSMOS HEALTH INC. COM | S | Y | N |
| CREG | SMART PWR CORP COM PAR $0.001 | S | Y | N |
| CRML | CRITICAL METALS CORP. USD PUBC | G | Y | N |
| CRWG | THEMES ETF TR LEVERAGE SHARES | G | Y | N |
| CYCU | CYCURION, INC. COM NEW | G | Y | N |
| ELPW | ELONG PWR HLDG LTD SHS CL A PA | S | Y | N |
| ENVB | ENVERIC BIOSCIENCES INC COM OC | S | Y | N |
| ETHB | ISHARES STAKED ETHEREUM TR ETF | G | Y | N |
| FGI | FGI INDS LTD SHS NEW (CYM) | S | Y | N |
| FIGG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| GCTK | GLUCO TRACK INC COM NEW 2025 | S | Y | N |
| GGLS | DIREXION SHS ETF TR DAILY GOOG | G | Y | N |
| GLND | GREENLAND ENERGY CO COM | G | Y | N |
| HIMZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| HUBC | HUB CYBER SEC LTD SHS NEW (ISR | S | Y | N |
| IONZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| ISPC | ISPECIMEN INC COM PAR $0.001 | S | Y | N |
| KIDZ | CLASSOVER HLDGS INC COM CL B N | S | Y | N |
| KITT | NAUTICUS ROBOTICS, INC. COM PA | S | Y | N |
| LRHC | LA ROSA HLDGS CORP COM PAR $0. | S | Y | N |
| MNTS | MOMENTUS INC CL A PAR $0.00001 | S | Y | N |
| MSTX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| NBIG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| NOWL | GRANITESHARES ETF TR 2X LONG N | G | Y | N |
| NVDG | THEMES ETF TR LEVERAGE SHARES | G | Y | N |
| OKLL | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| ONFO | ONFOLIO HLDGS INC COM NEW (DE) | S | Y | N |
| OPEG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| ORCX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| PDC | PERPETUALS.COM LTD ADR(JPN) | S | Y | N |
| PLTZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| PTIR | GRANITESHARES ETF TR 2X LONG P | G | Y | N |
| QCMU | DIREXION SHS ETF TR DAILY QCO | G | Y | N |
| RGTX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| RGTZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| RKLZ | TIDAL TR II DEFIANCE DILY TARG | G | Y | N |
| SCNI | SCINAI IMMUNOTHERAPEUTICS LTD | S | Y | N |
| SKYQ | SKY QUARRY INC COM NEW $0.0001 | S | Y | N |
| SMCL | GRANITESHS ETF TR 2X LONG SMCI | G | Y | N |
| SMCX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SMST | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SMX | SMX SEC MATTERS PLC ORD SHS NE | S | Y | N |
| SNOA | SONOMA PHARMACEUTICALS INC COM | S | Y | N |
| TDIC | DREAMLAND LTD CL A ORD SHS US$ | S | Y | N |
| TRNR | INTERACTIVE STRENGTH INC COM P | S | Y | N |
| TSDD | GRANITESHARES ETF TR 2X SHORT | G | Y | N |
| UCAR | U PWR LTD ORD SHS CL A USD $0. | S | Y | N |
| XNDU | XANADU QUANTUM TECHNOLOGIES LI | G | Y | N |
| XRTX | XORTX THERAPEUTICS INC COM NO | S | Y | N |
| YYGH | YY GROUP HOLDING LIMITED CLASS | S | Y | N |
| ZEO | ZEO ENERGY CORP CL A | 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.
