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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) |
|---|
| 44 |
File Download
| Trade Date | Download Link | File Creation Timestamp |
|---|---|---|
| Monday, July 7, 2025 | Download | 7/7/2025 11:00:19 PM |
Threshold Security List
| Symbol | Security Name | Market Category | Reg SHO Threshold Flag | Rule 3210 |
|---|---|---|---|---|
| AGMH | AGM GROUP HLDGS INC USD CL A O | S | Y | N |
| ASTI | ASCENT SOLAR TECHNOLOGIES INC | S | Y | N |
| CAPR | CAPRICOR THERAPEUTICS INC COM | S | Y | N |
| CLRB | CELLECTAR BIOSCIENCES INC COM | S | Y | N |
| CONI | GRANITESHARES ETF TR 2X SHORT | G | Y | N |
| CXAI | CXAPP INC CL A | S | Y | N |
| DPRO | DRAGANFLY INC (CANADA) | S | Y | N |
| ECDA | ECD AUTOMOTIVE DESIGN INC COM | S | Y | N |
| ELFY | ALPS ETF TR ELECTRIFICATION IN | G | Y | N |
| GNLN | GREENLANE HLDGS INC CL A NEW 2 | S | Y | N |
| GOVX | GEOVAX LABS INC COM PAR $0.001 | S | Y | N |
| GVH | GLOBAVEND HLDGS LTD USD ORD SH | S | Y | N |
| HSDT | HELIUS MED TECHNOLOGIES INC CO | S | Y | N |
| HYPD | HYPERION DEFI, INC. COMMON STO | S | Y | N |
| INM | INMED PHARMACEUTICALS INC COM | S | Y | N |
| INMB | INMUNE BIO INC COM ACCD INV ( | S | Y | N |
| IQQQ | PROSHARES TR NASDAQ-100 HIGH I | G | Y | N |
| MSTX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| MULN | MULLEN AUTOMOTIVE INC COM NEW | S | Y | N |
| NCIQ | HASHDEX NASDAQ CRYPTO INDEX US | G | Y | N |
| NCNA | NUCANA PLC SPONSORED ADR NEW | S | Y | N |
| NCPL | NETCAPITAL INC COM NEW (UT) | S | Y | N |
| NIVF | NEWGENIVF GROUP LIM USD CL A O | S | Y | N |
| OBLG | OBLONG INC COM PAR $0.0001 (D | S | Y | N |
| ONMD | ONEMEDNET CORP CL A | S | Y | N |
| PLTZ | TIDAL TR II DEFIANCE DAILY TA | G | Y | N |
| RBNE | ROBIN ENERGY LTD COM (MHL) | S | Y | N |
| RSLS | RESHAPE LIFESCIENCES INC NEW C | S | Y | N |
| SBET | SHARPLINK GAMING INC COM NEW | S | Y | N |
| SCNI | SCINAI IMMUNOTHERAPEUTICS LTD | S | Y | N |
| SLRX | SALARIUS PHARMACEUTICALS INC C | S | Y | N |
| SLS | SELLAS LIFE SCIENCES GROUP INC | S | Y | N |
| SMCZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SONM | SONIM TECHNOLOGIES INC COM PAR | S | Y | N |
| SYTA | SIYATA MOBILE INC COM NO PAR 2 | S | Y | N |
| TNFA | TNF PHARMACEUTICALS, INC. COMM | S | Y | N |
| TRNR | INTERACTIVE STRENGTH INC COM P | S | Y | N |
| TSLG | THEMES ETF TR LEVERAGE SHARES | G | Y | N |
| UFO | PROCURE ETF TR II PROCURE SPAC | G | Y | N |
| UPXI | UPEXI INC COM NEW | S | Y | N |
| VERO | VENUS CONCEPT INC COM PAR $0.0 | S | Y | N |
| VOR | VOR BIOPHARMA INC.COM | Q | Y | N |
| WINT | WINDTREE THERAPEUTICS INC COM | S | Y | N |
| XTIA | XTI AEROSPACE INC COM COM NEW | 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.
