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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) |
|---|
| 35 |
File Download
| Trade Date | Download Link | File Creation Timestamp |
|---|---|---|
| Friday, June 20, 2025 | Download | 6/20/2025 11:00:07 PM |
Threshold Security List
| Symbol | Security Name | Market Category | Reg SHO Threshold Flag | Rule 3210 |
|---|---|---|---|---|
| AAPD | DIREXION SHS ETF TR DAILY AAPL | G | Y | N |
| AAPU | DIREXION SHS ETF TR DAILY AAPL | G | Y | N |
| ADBG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| AGMH | AGM GROUP HLDGS INC USD CL A O | S | Y | N |
| ASST | ASSET ENTITIES INC CL B NEW | S | Y | N |
| BMGL | BASEL MED GROUP LTD ORD SHS (V | S | Y | N |
| CERO | CERO THERAPEUTICS HLDGS INC C | S | Y | N |
| ELFY | ALPS ETF TR ELECTRIFICATION IN | G | Y | N |
| ENTO | ENTERO THERAPEUTICS INC COM P | S | Y | N |
| EWZS | ISHARES MSCI BRAZIL SMALL CAP | G | Y | N |
| EYEN | EYENOVIA INC COM NEW (DE) | S | Y | N |
| FDT | FIRST TRUST DEVELOPED MARKETS | G | Y | N |
| HOVR | NEW HORIZON AIRCRAFT LTD COM ( | S | Y | N |
| HSDT | HELIUS MED TECHNOLOGIES INC CO | S | Y | N |
| IMNN | IMUNON, INC. COMMON STOCK | S | Y | N |
| KZIA | KAZIA THERAPEUTICS LTD SPONSOR | S | Y | N |
| MEGL | MAGIC EMPIRE GLOBAL LTD SHS NE | S | Y | N |
| MODV | MODIVCARE INC. COM | Q | Y | N |
| MULN | MULLEN AUTOMOTIVE INC COM NEW | S | Y | N |
| NAOV | NANOVIBRONIX INC COM PAR $0.00 | S | Y | N |
| NCNA | NUCANA PLC SPONSORED ADR NEW | S | Y | N |
| NEHC | NEW ERA HELIUM INC COM (DE) | G | Y | N |
| NLSP | NLS PHARMACEUTICS LTD COM SHS | S | Y | N |
| NUWE | NUWELLIS INC COM PAR $0.0001 | S | Y | N |
| NVDD | DIREXION SHS ETF TR DAILY NVDA | G | Y | N |
| OBLG | OBLONG INC COM PAR $0.0001 (D | S | Y | N |
| PTIX | PROTAGENIC THERAPEUTICS INC CO | S | Y | N |
| QABA | FIRST TRUST NASDAQ ABA COMMUNI | 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 |
| SILO | SILO PHARMA INC COM NEW(NV) | S | Y | N |
| SMCZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| TNFA | TNF PHARMACEUTICALS, INC. COMM | 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.
