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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) |
|---|
| 66 |
File Download
| Trade Date | Download Link | File Creation Timestamp |
|---|---|---|
| Friday, January 30, 2026 | Download | 1/30/2026 11:00:15 PM |
Threshold Security List
| Symbol | Security Name | Market Category | Reg SHO Threshold Flag | Rule 3210 |
|---|---|---|---|---|
| AKAN | AKANDA CORP COM PAR $ NEW DECE | S | Y | N |
| APPX | INVMENT MNGERS SER TR II TRADR | G | Y | N |
| AREB | AMERICAN REBEL HLDGS INC COM P | S | Y | N |
| ASTI | ASCENT SOLAR TECHNOLOGIES INC | S | Y | N |
| BCTX | BRIACELL THERAPEUTICS CORP NEW | S | Y | N |
| BNAI | BRAND ENGAGEMENT NETWORK INC C | S | Y | N |
| BOXL | BOXLIGHT CORP COM CL A PAR NEW | S | Y | N |
| BRKU | DIREXION SHS ETF TR DAILY BRK/ | G | Y | N |
| CDT | CDT EQUITY INC COM PAR $0.0001 | S | Y | N |
| CHPS | DBX ETF TR XTRACKERS SEMICONDU | G | Y | N |
| CRCG | THEMES ETF TR LEVERAGE SHARES | G | Y | N |
| DRCT | DIRECT DIGITAL HLDGS INC CL A | S | Y | N |
| DRMA | DERMATA THERAPEUTICS INC COM P | S | Y | N |
| EMPD | EMPERY DIGITAL INC. COMMON STO | Q | Y | N |
| EVTV | ENVIROTECH VEHS INC COM PAR $0 | S | Y | N |
| EZRAW | RELIANCE GLOBAL GROUP INC WT E | S | Y | N |
| GITS | GLOBAL INTERACTIVE TECHNOLOGIE | S | Y | N |
| GNLN | GREENLANE HLDGS INC CL A NEW 2 | S | Y | N |
| GOVX | GEOVAX LABS INC COM PAR $0.001 | S | Y | N |
| HCTI | HEALTHCARE TRIANGLE INC COM PA | S | Y | N |
| HIMZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| IMTE | INTEGRATED MEDIA TECHNOLOGY LT | S | Y | N |
| IONL | GRANITESHARES ETF TR 2X LONG | G | Y | N |
| IONZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| JTAI | JET AI INC COM NEW | S | Y | N |
| KXIN | KAIXIN HLDGS ORD SHS NEW US$1. | S | Y | N |
| KZIA | KAZIA THERAPEUTICS LTD SPONSOR | S | Y | N |
| LCFY | LOCAFY LTD SHS NEW(AUS) | S | Y | N |
| LGCB | LINKAGE GLOBAL INC CL A NEW (C | S | Y | N |
| MFI | MF INTL LTD SHS NEW CL A NO PA | S | Y | N |
| MLEC | MOOLEC SCIENCE SA ORD SHS NEW | S | Y | N |
| MNTS | MOMENTUS INC CL A PAR $0.00001 | S | Y | N |
| MSFU | DIREXION SHS ETF TR DAILY MSFT | G | Y | N |
| MST | TIDAL TR II DEFIANCE LEVERAGED | G | Y | N |
| MSTP | GRANITESHARES ETF TR 2X LONG M | G | Y | N |
| MSTX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| MUD | DIREXION SHS ETF TR DAILY MU B | G | Y | N |
| NOWL | GRANITESHARES ETF TR 2X LONG N | G | Y | N |
| OKLL | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| OLOX | OLENOX INDS INC COM PAR $0.01 | S | Y | N |
| PATN | PACER FDS TR NASDAQ INTL PATEN | G | Y | N |
| PBPH | TIDAL ETF TR IV PORT BLDG BLOC | G | Y | N |
| PLTU | DIREXION SHS ETF TR DAILY PLTR | G | Y | N |
| PLTZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| QBTZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| REVB | REVELATION BIOSCIENCES INC COM | S | 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 |
| SEGG | LOTTERY.COM, INC. COMMON STOCK | G | Y | N |
| SHPH | SHUTTLE PHARMACEUTICALS HLDGS | S | Y | N |
| SMCX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SMST | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SOBR | SOBR SAFE INC COM PAR $0.00001 | S | Y | N |
| SOPA | SOCIETY PASS INC COM NEW | S | Y | N |
| SOUX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SPCT | TWO RDS SHARED TR LIBERTY ONE | G | Y | N |
| SQQQ | PROSHARES TR ULTRAPRO SHORT QQ | G | Y | N |
| SUUN | POWERBANK CORP COM(CAN) | G | Y | N |
| SXTP | 60 DEGREES PHARMACEUTICALS INC | S | Y | N |
| USGG | THEMES ETF TR LEVERAGE SHS 2 | G | Y | N |
| UUUG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| VEEE | TWIN VEE POWERCATS CO COM NEW | S | Y | N |
| VOLT | TEMA ETF TR ELECTRIFICATION ET | G | Y | N |
| WHLR | WHEELER REAL ESTATE INVT TR IN | 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.
