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)
38

File Download

Trade Date Download Link File Creation Timestamp
Friday, August 29, 2025 Download 8/29/2025 11:00:17 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
AEMD AETHLON MED INC COM PAR $0.001 S Y N
ASST ASSET ENTITIES INC CL B NEW S Y N
BINI BOLLINGER INNOVATIONS INC COM S Y N
BNC CEA IND INC COM NEW PAR $0.000 S Y N
BNZI BANZAI INTL INC CL A COM PAR $ S Y N
BSLK BOLT PROJS HLDGS INC COM NEW G Y N
BUUU BUUU GROUP LTD USD CL A ORD SH S Y N
CRCG THEMES ETF TR LEVERAGE SHARES G Y N
CRWG THEMES ETF TR LEVERAGE SHARES G Y N
CUPR CUPRINA HLDGS (CAYMAN) LTD USD S Y N
ECDA ECD AUTOMOTIVE DESIGN INC COM S Y N
ETHZ ETHZILLA CORPORATION COMMON ST S Y N
GTX GARRETT MOTION INC COM Q Y N
HIMZ TIDAL TR II DEFIANCE DAILY TAR G Y N
IONZ TIDAL TR II DEFIANCE DAILY TAR G Y N
LASE LASER PHOTONICS CORP COM (DE) S Y N
MOB MOBILICOM LTD ADS (AUS) S Y N
NCNA NUCANA PLC SPONSORED ADR NEW 2 S Y N
NUTR NUSATRIP INC COM S Y N
OBIO ORCHESTRA BIOMED HOLDINGS, INC G Y N
OP OCEANPAL INC COM PAR $0.01 NEW S Y N
PLTZ TIDAL TR II DEFIANCE DAILY TA G Y N
PPCB PROPANC BIOPHARMA INC COM PAR S Y N
QMMM QMMM HLDGS LTD SHS NEW US$0.00 S Y N
RAY RAYTECH HLDG LTD USD ORD SHS ( S Y N
SGBX SAFE & GREEN HLDGS CORP COM PA S Y N
SGD SAFE & GREEN DEV CORP COM NEW S Y N
SMCZ TIDAL TR II DEFIANCE DAILY TAR G Y N
SMHX VANECK ETF TR FABLESS SEMICOND G Y N
STSS SHARPS TECHNOLOGY INC COM PAR S Y N
THAR THARIMMUNE INC COM PAR S Y N
TNFA TNF PHARMACEUTICALS, INC. COMM S Y N
UPXI UPEXI INC COM NEW S Y N
WORX SCWORX CORP COM NEW (DE) S Y N
WYFI WHITEFIBER INC SHS (CYM) S Y N
XFOR X4 PHARMACEUTICALS INC COM NEW S Y N
XXII 22ND CENTY GROUP INC COM NEW 2 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.