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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) |
|---|
| 81 |
File Download
| Trade Date | Download Link | File Creation Timestamp |
|---|---|---|
| Tuesday, August 25, 2026 | Download | 8/25/2026 11:00:04 PM |
Threshold Security List
| Symbol | Security Name | Market Category | Reg SHO Threshold Flag | Rule 3210 |
|---|---|---|---|---|
| ADBG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| AMZD | DIREXION SHS ETF TR DAILY AMZN | G | Y | N |
| ARMG | THEMES ETF LEVERAGE SHARES 2X | G | Y | N |
| AVGG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| AVL | DIREXION SHS ETF TR DAILY AVGO | G | Y | N |
| AVS | DIREXION SHS ETF TR DAILY AVGO | G | Y | N |
| AVXX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| BIVI | BIOVIE INC CL A PAR $0.0001 NE | S | Y | N |
| BMNG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| BRNX | BRENX LTD ORD SHS NEW AUG 2026 | S | Y | N |
| BYND | BEYOND MEAT INC COM NEW (DE) | Q | Y | N |
| CAST | FREECAST INC CL A | G | Y | N |
| CELZ | CREATIVE MED TECHNOLOGY HLDGS | S | Y | N |
| CIFG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| CISS | C3IS INC COM PAR $0.01 JULY 20 | S | Y | N |
| CRWG | THEMES ETF TR LEVERAGE SHARES | G | Y | N |
| DBGI | DIGITAL BRANDS GROUP INC COM N | S | Y | N |
| ELPW | ELONG PWR HLDG LTD SHS CL A PA | S | Y | N |
| FAMI | FARMMI INC USD CL A ORD SHS(CY | S | Y | N |
| FCUV | FOCUS UNVL INC COM PAR $ NEW | S | Y | N |
| FFAI | FARADAY FUTURE INTELLIGENT ELE | S | Y | N |
| FGI | FGI INDS LTD SHS NEW (CYM) | S | Y | N |
| FRGT | FREIGHT TECHNOLOGIES INC ORD S | S | Y | N |
| FYT | FIRST TRUST SMALL CAP VALUE A | G | Y | N |
| GAUZ | GAUZY LTD. ORDINARY SHARES (IS | G | Y | N |
| HIMZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| INTW | GRANITESHARES ETF TR 2X LONG I | G | Y | N |
| IONZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| IPST | IP STRATEGY HLDGS INC COM PAR | S | Y | N |
| IVDA | IVEDA SOLUTIONS INC COM PAR $. | S | Y | N |
| IVF | INVO FERTILITY INC COM PAR $0. | S | Y | N |
| KWM | K WAVE MEDIA LTD SHS NEW(CYM) | S | Y | N |
| LGHL | LION GROUP HLDG LTD ADR NEW 20 | S | Y | N |
| LOT | LOTUS TECHNOLOGY INC SPONSORED | Q | Y | N |
| MGRX | MANGOCEUTICALS INC COM NEW (TX | S | Y | N |
| MSFL | GRANITESHARES ETF TR GRANITESH | G | Y | N |
| MSTX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| MULL | GRANITESHS ETF TR 2X LONG MU D | G | Y | N |
| MVLL | GRANITESHARES ETF TR 2X LONG M | G | Y | N |
| NBIG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| NBIL | GRANITESHARES ETF TR GRANITESH | G | Y | N |
| NCLD | ROUNDHILL ETF TR NEOCLOUD ETF | G | Y | N |
| NEXRW | NEXERA TECHNOLOGIES LTD WT EXP | S | Y | N |
| NIVF | NEWGENIVF GROUP LTD SHS NEW CL | S | Y | N |
| NOWL | GRANITESHARES ETF TR 2X LONG N | G | Y | N |
| NUCLW | EAGLE NUCLEAR ENERGY CORP WT E | S | Y | N |
| NVD | GRANITESHARES ETF TR 2X SHORT | G | Y | N |
| NXXT | NEXTNRG INC COM | S | Y | N |
| OKLL | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| ONDS | ONDAS INC COM NEW | S | Y | N |
| ONFO | ONFOLIO HLDGS INC COM COM PAR | S | Y | N |
| PBQQ | PGIM ROCK ETF TR LADDERED NASD | G | Y | N |
| PCLA | PICOCELA INC ADS NEW (JPN) | S | Y | N |
| PFSA | PROFUSA INC COM PAR $0.0001 NE | S | Y | N |
| PLRZ | POLYRIZON LTD SHS NEW 2025 (IS | S | Y | N |
| PLTD | DIREXION SHS ETF TR DAILY PLTR | G | Y | N |
| QBTZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| RCAX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| RGTX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| RGTZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| RKLX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| RKLZ | TIDAL TR II DEFIANCE DILY TARG | G | Y | N |
| ROCY | J P MORGAN ETF TR EQUITY PREM | G | Y | N |
| SKDD | GRANITESHARES ETF TR 2X SHORT | G | Y | N |
| SKUU | GRANITESHARES ETF TR 2X LONG S | G | Y | N |
| SMCL | GRANITESHS ETF TR 2X LONG SMCI | G | Y | N |
| SMCX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SMCZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SMST | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SMTK | SMARTKEM INC COM PAR $0.0001 | S | Y | N |
| STKH | STEAKHOLDER FOODS LTD SPONSORE | S | Y | N |
| SURG | SURGEPAYS INC COM NEW (NV) | S | Y | N |
| TANH | TANTECH HLDGS LTD USD CL A COM | S | Y | N |
| TAXE | T ROWE PRICE ETF INC INTERMEDI | G | Y | N |
| TNON | TENON MED INC COM STK | S | Y | N |
| VBIO | VALION BIO, INC. COMMON STOCK | S | Y | N |
| WETO | WETOUR ROBOTICS LTD SHS US$0.0 | S | Y | N |
| WLDS | WEARABLE DEVICES LTD ORD SHS P | S | Y | N |
| WSTN | WESTIN ACQUISITION CORP USD CL | S | Y | N |
| WYHG | WING YIP FOOD HLDGS GROUP LTD | S | Y | N |
| ZBAO | ZHIBAO TECHNOLOGY INC. CLASS A | 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.
