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)
62

File Download

Trade Date Download Link File Creation Timestamp
Thursday, July 17, 2025 Download 7/17/2025 11:00:22 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ABVE ABOVE FOOD INGREDIENTS INC (CA G Y N
AGMH AGM GROUP HLDGS INC USD CL A O S Y N
ARBK ARGO BLOCKCHAIN PLC ADR (GBR) Q Y N
ASST ASSET ENTITIES INC CL B NEW S Y N
BCTX BRIACELL THERAPEUTICS CORP NEW S Y N
BGLC BIONEXUS GENE LAB CORP COM PA S Y N
BNZI BANZAI INTL INC CL A COM PAR $ S Y N
CIGL CONCORDE INTL GROUP LTD USD CL S Y N
CONI GRANITESHARES ETF TR 2X SHORT G Y N
COOT AUSTRALIAN OILSEEDS HLDGS LTD G Y N
CXAI CXAPP INC CL A S Y N
CYCC CYCLACEL PHARMACEUTICALS INC C S Y N
DPRO DRAGANFLY INC (CANADA) S Y N
ECDA ECD AUTOMOTIVE DESIGN INC COM S Y N
EMPG EMPRO GROUP INC SHS (CYM) S Y N
FMFC KANDAL M VENTURE LTD CL A ORD S Y N
GNLN GREENLANE HLDGS INC CL A NEW 2 S Y N
GVH GLOBAVEND HLDGS LTD USD ORD SH S Y N
HYPD HYPERION DEFI, INC. COMMON STO S Y N
IONZ TIDAL TR II DEFIANCE DAILY TAR G Y N
JMID JANUS DETROIT STR TR HENDERSON G Y N
LIXT LIXTE BIOTECHNOLOGY HLDGS INC S Y N
MBIO MUSTANG BIO INC COM PAR $0.000 S Y N
MBRX MOLECULIN BIOTECH INC COM PAR S Y N
MSTX TIDAL TR II DEFIANCE DAILY TAR G Y N
MULN MULLEN AUTOMOTIVE INC COM NEW S Y N
MUU DIREXION SHS ETF TR DAILY MU B G Y N
NCIQ HASHDEX NASDAQ CRYPTO INDEX US G Y N
NCNA NUCANA PLC SPONSORED ADR NEW S Y N
NDRA ENDRA LIFE SCIENCES INC COM PA S Y N
NEHC NEW ERA HELIUM INC COM (DE) G Y N
NFE NEW FORTRESS ENERGY INC. CLASS Q Y N
NIVF NEWGENIVF GROUP LIM USD CL A O S Y N
OKLL TIDAL TR II DEFIANCE DAILY TAR G Y N
OP OCEANPAL INC COM PAR $0.01 (MH S Y N
ORIQU ORIGIN INVT CORP I UNIT 1 ORD G Y N
PLTZ TIDAL TR II DEFIANCE DAILY TA G Y N
QMMM QMMM HLDGS LTD SHS NEW US$0.00 S Y N
RNW RENEW ENERGY GLOBAL PLC SHS CL Q Y N
RVYL RYVYL INC COM PAR $0.001 S Y N
SBET SHARPLINK GAMING INC COM NEW S Y N
SCAG SCAGE FUTURE SPONSORED ADSM (C G Y N
SCNI SCINAI IMMUNOTHERAPEUTICS LTD S Y N
SLRX SALARIUS PHARMACEUTICALS INC C S Y N
SMCZ TIDAL TR II DEFIANCE DAILY TAR G Y N
SMST TIDAL TR II DEFIANCE DAILY TAR G Y N
SMX SMX SEC MATTERS PLC SHS CL A M S Y N
SONN SONNET BIOTHERAPEUTICS HLDGS I S Y N
STKH STEAKHOLDER FOODS LTD SPONSORE S Y N
SYTA SIYATA MOBILE INC COM NO PAR 2 S Y N
TMB THORNBURG ETF TR MULTI SECTOR G Y N
TNFA TNF PHARMACEUTICALS, INC. COMM S Y N
TRNR INTERACTIVE STRENGTH INC COM P S Y N
TSLG THEMES ETF TR LEVERAGE SHARES G Y N
UPXI UPEXI INC COM NEW S Y N
VOR VOR BIOPHARMA INC.COM Q Y N
VVOS VIVOS THERAPEUTICS INC COM NEW S Y N
WBUY WEBUY GLOBAL LTD. CLASS A ORDI S Y N
WINT WINDTREE THERAPEUTICS INC COM S Y N
WKHS WORKHORSE GROUP INC COM PAR$0. S Y N
WLGS WANG & LEE GROUP INC. USD ORD S Y N
XTIA XTI AEROSPACE INC COM COM NEW 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.