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)
32

File Download

Trade Date Download Link File Creation Timestamp
Friday, June 21, 2024 Download 6/21/2024 11:00:06 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
AEMD AETHLON MED INC COM PAR $0.001 S Y N
AKAN AKANDA CORP COM NO PAR (CAN) S Y N
AMDL GRANITESHARES ETF TR GRANITE 2 G Y N
ANY SPHERE 3D CORP NEW COM NO PAR S Y N
ASNS ACTELIS NETWORKS INC COM NEW S Y N
ASTSW AST SPACEMOBILE INC WT EXP (DE Q Y N
BCAN BYND CANNASOFT ENTERPRISES INC S Y N
BPTH BIO-PATH HLDGS INC COM PAR $0. S Y N
BWAQ BLUE WORLD ACQUISITION CORP US G Y N
CETX CEMTREX INC COM PAR $ NEW 2023 S Y N
CGC CANOPY GROWTH CORP COM NEW (CA Q Y N
CLEU CHINA LIBERAL ED HLDGS LTD OR S Y N
CNSP CNS PHARMACEUTICALS INC. COM C S Y N
DJT TRUMP MEDIA & TECHNOLOGY GROUP G Y N
EJH E-HOME HOUSEHOLD SVC HLDGS LTD S Y N
FRGT FREIGHT TECHNOLOGIES INC SHS N S Y N
GWAV GREENWAVE TECHNOLOGY SOLUTIONS S Y N
JAGX JAGUAR HEALTH INC COM PAR $0.0 S Y N
KAVL KAIVAL BRANDS INNOVATIONS GROU S Y N
MAXN MAXEON SOLAR TECHNOLOGIES PTE Q Y N
MBIO MUSTANG BIO INC COM NEW (DE) S Y N
MLGO MICROALGO INC USD ORD SH NEW S Y N
MOLN MOLECULAR PARTNERS AG ADS (CHE Q Y N
NCPL NETCAPITAL INC COM (UT) S Y N
NVD GRANITESHARES ETF TR 2X SHORT G Y N
PEGY PINEAPPLE ENERGY INC COM NEW S Y N
RR RICHTECH ROBOTICS INC CL B S Y N
TNXP TONIX PHARMACEUTICALS HLDG COM S Y N
TSLR GRANITESHARES ETF TR 2X LONG T G Y N
TTOO T2 BIOSYSTEMS INC COM PAR $0.0 S Y N
WHLR WHEELER REAL ESTATE INVT TR IN S Y N
ZAPP ZAPP ELEC VEHS GROUP LTD ORD S G 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.