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)
29

File Download

Trade Date Download Link File Creation Timestamp
Friday, July 30, 2021 Download 7/30/2021 11:00:02 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
AEHL ANTELOPE ENTERPRISE HLDGS LTD S Y N
AEI ALSET EHOME INTERNATIONAL INC. S Y N
AHPI ALLIED HEALTHCARE PRODS INC CO S Y N
ARPO AERPIO PHARMACEUTICALS INC COM S Y N
BCOW 1895 BANCORP WIS INC NEW COM ( S Y N
BCTX BRIACELL THERAPEUTICS INC COM S Y N
BKCH GLOBAL X FDS GLOBAL X BLOCKCHA G Y N
BLFY BLUE FDRY BANCORP COM (DE) Q Y N
BLIN BRIDGELINE DIGITAL INC COM PAR S Y N
CRTD CREATD INC COM PAR $0.001 S Y N
CULL CULLMAN BANCORP INC-MD COM (MD S Y N
DTSS DATASEA INC COM NEW S Y N
FFIE FARADAY FUTURE INTELLIGENT ELE G Y N
IINN INSPIRA TECHNOLOGIES OXY B H N S Y N
IMTE INTEGRATED MEDIA TECHNOLOGY LT S Y N
MDIA MEDIACO HLDG INC CL A (IN) S Y N
NTEC INTEC PARENT INC COM (DE) S Y N
NURO NEUROMETRIX INC COM PAR $.0001 S Y N
OLD JANUS DETROIT LONG TERM CARE E G Y N
OXBR OXBRIDGE RE HOLDINGS LTD ORD S S Y N
PBBK PB BANKSHARES INC COM (MD) S Y N
SLVO CREDIT SUISSE X-LINKS SILVER S G Y N
SNPX SYNAPTOGENIX INC S Y N
SPRT SUPPORT COM INC S Y N
STAF STAFFING 360 SOLUTIONS INC C S Y N
TCBS TEXAS CMNTY BANCSHARES INC COM S Y N
THCPU THUNDER BRDG CAP PARTNERS IV U G Y N
TWCBU BILANDER ACQUISITION CORP UNI S Y N
XBIO XENETIC BIOSCIENCES INC COM PA 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.