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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
Thursday, October 6, 2022 Download 10/6/2022 11:00:10 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ARDS ARIDIS PHARMACEUTICALS INC COM S Y N
ATXI AVENUE THERAPEUTICS INC COM PA S Y N
BEAT HEARTBEAM INC COM S Y N
CCSO TIDAL ETF TR II CARBON COLLECT G Y N
CSCW COLOR STAR TECHNOLOGY CO LTD O S Y N
CSF VICTORY PORTF II SHS US DISC E G Y N
DAPP VANECK ETF TR DIGITAL TRANSFOR G Y N
DGRE WISDOMTREE TR EMERGING MKTS QU G Y N
FAAR FIRST TRUST VII ALTERNATIVE AB G Y N
FAZE FAZE HLDGS INC COM S Y N
FICS FIRST TR EXCHANGE-TRADED FD VI G Y N
FTHI FIRST TRUST EXCHANGE TRADED FD G Y N
FWBI FIRST WAVE BIOPHARMA INC COM N S Y N
GLSTU GLOBAL STAR ACQUIST INC UNIT 1 G Y N
INM INMED PHARMACEUTICALS INC COM S Y N
KPRX KIORA PHARMACEUTICALS INC COM S Y N
LITM SNOW LAKE RESOURCES LTD. COMMO S Y N
MBINM MERCHANTS BANCORP IND DEP SHS S Y N
NA NANO LABS LTD SPONSORED ADR (C G Y N
NFTY FIRST TR ALPHADEX FD II INDIA G Y N
SOBR SOBR SAFE INC COM NEW S Y N
TOPS TOP SHIPS INC SHS NEW SEPT 202 S Y N
TSLL DIREXION SHS ETF TR DAILY TSLA G Y N
TSLS DIREXION SHS ETF TR DAILY TSLA G Y N
UMMA LISTED FDS TR WAHED DOW JONES G Y N
UPST UPSTART HLDGS INC COM Q 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.