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)
33

File Download

Trade Date Download Link File Creation Timestamp
Friday, April 19, 2024 Download 4/19/2024 11:00:14 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ACB AURORA CANNABIS INC COM NO PAR S Y N
ADIL ADIAL PHARMACEUTICALS INC COM S Y N
AISP AIRSHIP AI HLDGS INC COM(DE) G Y N
AKAN AKANDA CORP COM NEW (CAN) S Y N
AMDL GRANITESHARES ETF TR GRANITE 2 G Y N
AMZZ GRANITESHARES ETF TR GRANITESH G Y N
APVO APTEVO THERAPEUTICS INC COM PA S Y N
AQST AQUESTIVE THERAPEUTICS INC COM G Y N
ASTI ASCENT SOLAR TECHNOLOGIES INC S Y N
AUUD AUDDIA INC COM NEW S Y N
AVTX AVALO THERAPEUTICS INC COM PAR S Y N
BACK IMAC HLDGS INC COM NEW S Y N
BCAN BYND CANNASOFT ENTERPRISES INC S Y N
BPTS BIOPHYTIS SA AMERICAN DEPOSITA S Y N
BSGM BIOSIG TECHNOLOGIES INC COM PA S Y N
CEADW CEA IND INC WT PUR COM EXP 02/ S Y N
CGC CANOPY GROWTH CORP COM NEW (CA Q Y N
DJT TRUMP MEDIA & TECHNOLOGY GROUP G Y N
GOEV CANOO INC CL A COM NEW S Y N
KAVL KAIVAL BRANDS INNOVATIONS GROU S Y N
LGVN LONGEVERON INC COM CL A NEW S Y N
LIFW MSP RECOVERY INC CL A NEW (DE) G Y N
MDIA MEDIACO HLDG INC CL A (IN) S Y N
MYMD MYMD PHARMACEUTICALS INC COM N S Y N
NVDS INVESTMENT MANAGERS SER TR II G Y N
PXMD PAXMEDICA INC COM NEW (DE) S Y N
QQQE DIREXION SHS ETF TR NASDAQ-10 G Y N
RENT RENT THE RUNWAY INC NEW CL A S Y N
RNLX RENALYTIX PLC ADS (GBR) G Y N
SPCB SUPERCOM LTD NEW SHS PAR VALUE S Y N
TCBP TC BIOPHARM HLDGS PLC SPONSORE S Y N
WAVE ECO WAVE PWR GLOBAL AB PUBLIC S Y N
XXII 22ND CENTY GROUP INC COM PAR $ 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.