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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)
26

File Download

Trade Date Download Link File Creation Timestamp
Wednesday, September 18, 2024 Download 9/18/2024 11:00:05 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
APDN APPLIED DNA SCIENCES INC COM P S Y N
ASST ASSET ENTITIES INC CL B NEW S Y N
BKYI BIO-KEY INTL INC COM PAR $0.00 S Y N
BLMZ BLOOMZ INC. ORD SHS NEW US$0.0 S Y N
EJH E-HOME HOUSEHOLD SVC HLDGS LTD S Y N
ETHA ISHARES ETHEREUM TR ETF SHS G Y N
FFIE FARADAY FUTURE INTELLIGENT ELE S Y N
FRGT FREIGHT TECHNOLOGIES INC SHS N S Y N
GLMD GALMED PHARMACEUTICALS LTD SHS S Y N
INBS INTELLIGENT BIO SOLUTIONS INC S Y N
IVP INSPIRE VETERINARY PARTNERS IN S Y N
LASE LASER PHOTONICS CORP COM (DE) S Y N
MULN MULLEN AUTOMOTIVE INC COM PAR S Y N
OBLG OBLONG INC COM PAR $0.0001 (D S Y N
PEGY PINEAPPLE ENERGY INC COM NEW S Y N
SMX SMX SEC MATTERS PLC SHS CL A N S Y N
SPCB SUPERCOM LTD NEW ORD SH PAR VA S Y N
TANH TANTECH HLDGS LTD SHS NEW US$0 S Y N
TCBP TC BIOPHARM HLDGS PLC SPONSORE S Y N
TNON TENON MED INC COM COM PAR $ S Y N
TSLS DIREXION SHS ETF TR DAILY TSLA G Y N
TSLZ ETF OPPORTUNITIES TR T-REX 2X G Y N
UPC UNIVERSE PHARMACEUTICALS INC S S Y N
VRAX VIRAX BIOLABS GROUP LTD SHS NE S Y N
WHLR WHEELER REAL ESTATE INVT TR IN S Y N
WINT WINDTREE THERAPEUTICS INC COM 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.