Reg SHO Threshold List
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.
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
|Trade Date||Download Link||File Creation Timestamp|
|Thursday, September 29, 2016||Download||9/29/2016 11:00:22 PM|
Threshold Security List
|Symbol||Security Name||Market Category||Reg SHO Threshold Flag||Rule 3210|
|ADMP||ADAMIS PHARMACEUTICALS CORP CO||S||Y||N|
|AIRR||FIRST TR VI RBA AMERN INDL REN||G||Y||N|
|APRI||APRICUS BIOSCIENCES, INC COM S||S||Y||N|
|BSPM||BIOSTAR PHARMACEUTICALS INC CO||S||Y||N|
|CDC||VICTORY PORTFOLIOS II CEMP US||G||Y||N|
|CFA||VICTORY PORTFOLIOS II CEMP US||G||Y||N|
|CID||VICTORY PORTFOLIOS II CEMP INT||G||Y||N|
|FEM||FIRST TRUST EMERGING MARKETS A||G||Y||N|
|FKO||FIRST TRUST SOUTH KOREA ALPHAD||G||Y||N|
|FPXI||FIRST TR ETF II INTL IPO ETF (||G||Y||N|
|GALT||GALECTIN THERAPEUTICS INC. COM||S||Y||N|
|GNMA||ISHARES GNMA BOND ETF||G||Y||N|
|HTBX||HEAT BIOLOGICS INC COM STK (DE||S||Y||N|
|KWEB||KRANESHARES TR CSI CHINA INTER||G||Y||N|
|LPTH||LIGHTPATH TECHNOLOGIES INC||S||Y||N|
|MARA||MARATHON PATENT GROUP INC COM||S||Y||N|
|MBVX||MABVAX THERAPEUTICS HOLDINGS,||S||Y||N|
|RGSE||REAL GOODS SOLAR INC CL A NEW||S||Y||N|
|SOCL||GLOBAL X SOCIAL MEDIA INDEX||G||Y||N|
|SOXX||ISHARES PHLX SEMICONDUCTOR ETF||G||Y||N|
|TQQQ||PROSHARES ULTRAPRO QQQ||G||Y||N|
|TVIX||CREDIT SUISSE AG NASSAU BRH VE||G||Y||N|
|USLB||POWERSHARES RUSSELL 1000 LOW B||G||Y||N|
|VGLT||VANGUARD LG-TRM GOVT BD ETF||G||Y||N|
|VIGI||VANGUARD WHITEHALL FDS INTL DI||G||Y||N|
|WATT||ENERGOUS CORP COM STK||S||Y||N|
|XCOM||XTERA COMMUNICATIONS INC COM S||G||Y||N|