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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)
60

File Download

Trade Date Download Link File Creation Timestamp
Tuesday, November 25, 2025 Download 11/25/2025 11:00:07 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ABP ABPRO HLDGS INC COM NEW S Y N
AMDL GRANITESHARES ETF TR GRANITE 2 G Y N
AMZD DIREXION SHS ETF TR DAILY AMZN G Y N
AMZU DIREXION SHS ETF TR DAILY AMZN G Y N
AREB AMERICAN REBEL HLDGS INC COM P S Y N
ASST STRIVE INC CL A COM (NV) G Y N
BAIG THEMES ETF TR LEVERAGE SHS 2X G Y N
BCG BINAH CAP GROUP INC CL A COM(D G Y N
BKYI BIO-KEY INTL INC COM PAR $0.00 S Y N
BMNG THEMES ETF TR LEVERAGE SHS 2X G Y N
BNZI BANZAI INTL INC CL A COM PAR $ S Y N
BRBI BRBI BR PARTNERS S A ADS (BRA) S Y N
BRLSW BOREALIS FOODS INC WT EXP 10/3 S Y N
CMCT CREATIVE MEDIA & CMNTY TR CORP S Y N
CMND CLEARMIND MEDICINE INC COM NEW S Y N
CRCG THEMES ETF TR LEVERAGE SHARES G Y N
CRWG THEMES ETF TR LEVERAGE SHARES G Y N
CYCU CYCURION, INC. COM NEW G Y N
CYPH CYPHERPUNK TECHNOLOGIES INC. C S Y N
DFDV DEFI DEVELOPMENT CORP. COMMON S Y N
DFDVW DEFI DEV CORP WT EXP 01/21/202 S Y N
DRCT DIRECT DIGITAL HLDGS INC CL A S Y N
ECDA ECD AUTOMOTIVE DESIGN INC COM S Y N
FIGG THEMES ETF TR LEVERAGE SHS 2X G Y N
GGLS DIREXION SHS ETF TR DAILY GOOG G Y N
HBR CANARY HBAR ETF SHS BEN INT G Y N
HIMZ TIDAL TR II DEFIANCE DAILY TAR G Y N
HSDT SOLANA CO COM CL A NEW MAY 20 S Y N
IONX TIDAL TR II DEFIANCE DAILY TAR G Y N
IONZ TIDAL TR II DEFIANCE DAILY TAR G Y N
IVP INSPIRE VETERINARY PARTNERS IN S Y N
IVVD INVIVYD, INC. COMMON STOCK G Y N
KZIA KAZIA THERAPEUTICS LTD SPONSOR S Y N
LFS LEIFRAS CO LTD ADS REPSTG ORD S Y N
LOT LOTUS TECHNOLOGY INC SPONSORED Q Y N
MEHA FUNCTIONAL BRANDS INC COM S Y N
MST TIDAL TR II DEFIANCE LEVERAGED G Y N
MSTX TIDAL TR II DEFIANCE DAILY TAR G Y N
NBIL GRANITESHARES ETF TR GRANITESH G Y N
OKLL TIDAL TR II DEFIANCE DAILY TAR G Y N
POM POMDOCTOR LTD ADS (CYM) G Y N
QBTZ TIDAL TR II DEFIANCE DAILY TAR G Y N
RAPT RAPT THERAPEUTICS INC COM NEW G Y N
RGTX TIDAL TR II DEFIANCE DAILY TAR G Y N
RKLX TIDAL TR II DEFIANCE DAILY TAR G Y N
RUBI RUBICO INC COM (MHL) S Y N
SGBX SAFE & GREEN HLDGS CORP COM PA S Y N
SLRX SALARIUS PHARMACEUTICALS INC C S 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
SMX SMX SEC MATTERS PLC ORD SHS NE S Y N
SONN SONNET BIOTHERAPEUTICS HLDGS I S Y N
SPCT TWO RDS SHARED TR LIBERTY ONE G Y N
TRUG TRUGOLF HLDGS INC CL A NEW S Y N
VCIG VCI GLOBAL LTD COM PAR $ NEW ( S Y N
VSEE VSEE HEALTH, INC. COMMON STOCK S Y N
WKHS WORKHORSE GROUP INC COM PAR$0. S Y N
WTO UTIME LTD SHS NEW CL A US$0.00 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.