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)
28

File Download

Trade Date Download Link File Creation Timestamp
Friday, May 17, 2024 Download 5/17/2024 11:00:17 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
AKAN AKANDA CORP COM NEW (CAN) S Y N
ALLR ALLARITY THERAPEUTICS INC COM S Y N
ASTI ASCENT SOLAR TECHNOLOGIES INC S Y N
BENF BENEFICIENT COM CL A S Y N
BSMW INVESCO EXCHANGE-TRADED SELF-I G Y N
BYND BEYOND MEAT INC COM (DE) Q Y N
CGC CANOPY GROWTH CORP COM NEW (CA Q Y N
CMND CLEARMIND MEDICINE INC COM NEW S Y N
CYCC CYCLACEL PHARMACEUTICALS INC C S Y N
DJT TRUMP MEDIA & TECHNOLOGY GROUP G Y N
EJH E-HOME HOUSEHOLD SVC HLDGS LTD S Y N
ERNZ LISTED FDS TR TRUESHARES ACTIV G Y N
FFIE FARADAY FUTURE INTELLIGENT ELE S Y N
HYZNW HYZON MTRS INC WT EXP 10/02/2 Q Y N
JUNE JUNEE LIMITED ORDINARY SHARES S Y N
LIDR AEYE INC CL A NEW S Y N
NIVF NEWGENIVF GROUP LIMITED CL A G Y N
NUWE NUWELLIS INC COM NEW(DE) S Y N
NVD GRANITESHARES ETF TR 2X SHORT G Y N
OPTZ ADVISOR MANAGED PORTFOLIOS OPT G Y N
PAL PROFICIENT AUTO LOGISTICS INC Q Y N
REBN REBORN COFFEE INC COM (DE) S Y N
RNAZ TRANSCODE THERAPEUTICS INC COM S Y N
SBFM SUNSHINE BIOPHARMA INC COM PAR S Y N
SGBX SAFE & GREEN HLDGS CORP COM PA S Y N
SGD SAFE & GREEN DEV CORP COM S Y N
TTOO T2 BIOSYSTEMS INC COM PAR $0.0 S Y N
WISA WISA TECHNOLOGIES INC 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.