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, January 27, 2023 Download 1/27/2023 11:00:07 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
APPH APPHARVEST INC Q Y N
ATNF 180 LIFE SCIENCES CORP COM NEW S Y N
BBBY BED BATH & BEYOND INC Q Y N
BICK FIRST TRUST ISE BICK INDEX FUN G Y N
BRSH BRUUSH ORAL CARE INC COM (CAN) S Y N
BYND BEYOND MEAT INC COM (DE) Q Y N
CGC CANOPY GROWTH CORP COM Q Y N
CLOA BLACKROCK ETF TR II AAA CLO ET G Y N
CMPO COMPOSECURE INC CL A G Y N
CSA VICTORY PORTFOLIOS II SHS US S G Y N
CYAD CELYAD ONCOLOGY SA SPONSORED A G Y N
DAX GLOBAL X FDS DAX GERMANY ETF G Y N
EVGO EVGO INC CL A COM Q Y N
FDT FIRST TRUST DEVELOPED MARKETS G Y N
FEMS FIRST TRUST EMERGING MARKETS S G Y N
FLGC FLORA GROWTH CORP COM (CAN) S Y N
GROM GROM SOCIAL ENTERPRISES INC CO S Y N
JZ JIANZHI ED TECHNOLOGY GROUP CO Q Y N
KAL KALERA PUB LTD CO SHS NEW (IRL S Y N
KPTI KARYOPHARM THERAPEUTICS INC C Q Y N
LUCY INNOVATIVE EYEWEAR INC COM (FL S Y N
MARA MARATHON DIGITAL HLDGS INC S Y N
NUWE NUWELLIS INC COM NEW(DE) S Y N
OP OCEANPAL INC COM NEW(MHL) S Y N
PBLA PANBELA THERAPEUTICS INC NEW C S Y N
SHPH SHUTTLE PHARMACEUTICALS HLDGS S Y N
UPST UPSTART HLDGS INC COM Q Y N
WGMI VALKYRIE ETF TR II BITCOIN MIN G Y N
ZVSA ZYVERSA THERAPEUTICS INC COM S G 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.