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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) |
|---|
| 31 |
File Download
| Trade Date | Download Link | File Creation Timestamp |
|---|---|---|
| Friday, July 26, 2024 | Download | 7/26/2024 11:00:06 PM |
Threshold Security List
| Symbol | Security Name | Market Category | Reg SHO Threshold Flag | Rule 3210 |
|---|---|---|---|---|
| ASST | ASSET ENTITIES INC CL B NEW | S | Y | N |
| BJDX | BLUEJAY DIAGNOSTICS INC COM PA | S | Y | N |
| BLDE | BLADE AIR MOBILITY, INC CL A C | S | Y | N |
| BOF | BRANCHOUT FOOD INC COM | S | Y | N |
| CERO | CERO THERAPEUTICS HLDGS INC C | G | Y | N |
| CETU | CETUS CAP ACQUISITION CORP CL | S | Y | N |
| CRKN | CROWN ELECTROKINETICS CORP COM | S | Y | N |
| CYN | CYNGN INC COM NEW | S | Y | N |
| GOVX | GEOVAX LABS INC COM PAR $0.001 | S | Y | N |
| IVP | INSPIRE VETERINARY PARTNERS IN | S | Y | N |
| LCFY | LOCAFY LTD SHS NEW(AUS) | S | Y | N |
| LGVN | LONGEVERON INC COM CL A NEW | S | Y | N |
| MAXN | MAXEON SOLAR TECHNOLOGIES PTE | Q | Y | N |
| MGOL | MGO GLOBAL INC COM NEW (DE) | S | Y | N |
| MOLN | MOLECULAR PARTNERS AG ADS (CHE | Q | Y | N |
| NAAS | NAAS TECHNOLOGY INC SPONSRED A | S | Y | N |
| NKLA | NIKOLA CORP COM NEW | Q | Y | N |
| NUWE | NUWELLIS INC COM PAR $0.0001 | S | Y | N |
| PEGY | PINEAPPLE ENERGY INC COM NEW | S | Y | N |
| QOWZ | INV EXCHG-TRAD FD TR II NASDAQ | G | Y | N |
| QXO | QXO, INC. COMMON STOCK | S | Y | N |
| SERV | SERVE ROBOTICS INC | S | Y | N |
| SILO | SILO PHARMA INC COM NEW(NV) | S | Y | N |
| SLS | SELLAS LIFE SCIENCES GROUP INC | S | Y | N |
| SPRC | SCISPARC LTD COM NEW (ISR) | S | Y | N |
| SPWR | SUNPOWER CORP COM STK (DE) | Q | Y | N |
| SXTP | 60 DEGREES PHARMACEUTICALS INC | S | Y | N |
| TBLT | TOUGHBUILT INDS INC COM PAR $. | S | Y | N |
| TNXP | TONIX PHARMACEUTICALS HLDG COM | S | Y | N |
| VRPX | VIRPAX PHARMACEUTICALS INC COM | S | Y | N |
| ZAPP | ZAPP ELEC VEHS GROUP LTD ORD 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.
