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)
21

File Download

Trade Date Download Link File Creation Timestamp
Wednesday, July 19, 2017 Download 7/19/2017 11:00:01 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
AAOI APPLIED OPTOELECTRONICS INC CO G Y N
AKER AKERS BIOSCIENCES INC COMMON S Y N
BLCM BELLICUM PHARMACEUTICALS INC C G Y N
DCIX DIANA CONTAINERSHIPS INC SHS P Q Y N
DRYS DRYSHIPS INC COM STK NEW (MHL) S Y N
DWLD DAVIS FUNDAMENTAL ETF TR SELE G Y N
ESQ ESQUIRE FINL HLDGS INC COM S Y N
FONE FIRST TRUST NASDAQ CEA SMARTPH G Y N
FYC FIRST TRUST SMALL CAP GROWTH A G Y N
HMNY HELIOS & MATHESON ANALYTICS C S Y N
INPX INPIXON COMMON STOCK (NV) S Y N
JSMD JANUS DETR STR TR HENDERSON SM G Y N
JSYNR JENSYN ACQUISITION CORP RT (DE S Y N
MBOT MICROBOT MED INC COM (ISR) S Y N
PTH POWERSHARES DWA HEALTHCARE MO G Y N
RFDI FIRST TRUST ETF III RIVERFRONT G Y N
SPEX SPHERIX INC COM STK NEW (DE) S Y N
TOPS TOP SHIPS INC SHS NEW JUNE 201 S Y N
TVIX CREDIT SUISSE AG NASSAU BRH VE G Y N
USLV VELOCITYSHS 3X LG SILVER ETN L G Y N
ZN ZION OIL & GAS INC COM 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.