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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, April 14, 2026 | Download | 4/14/2026 11:00:06 PM |
Threshold Security List
| Symbol | Security Name | Market Category | Reg SHO Threshold Flag | Rule 3210 |
|---|---|---|---|---|
| AEHL | ANTELOPE ENTERPRISE HLDGS LTD | S | Y | N |
| AGPU | AXE COMPUTE INC. COMMON STOCK | S | Y | N |
| AIXI | XIAO-I CORP ADS NEW (CYM) | G | Y | N |
| AMDD | DIREXION SHS ETF TR DAILY AMD | G | Y | N |
| ARTL | ARTELO BIOSCIENCES INC COM NEW | S | Y | N |
| BAIG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| BFRG | BULLFROG AI HLDGS INC COM | S | Y | N |
| BMNG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| CDT | CDT EQUITY INC COM PAR $0.0001 | S | Y | N |
| EASY | TWO RDS SHARED TR LIBERTY ONE | G | Y | N |
| ELAB | PMGC HLDGS INC COM PAR $0.0001 | S | Y | N |
| ETHB | ISHARES STAKED ETHEREUM TR ETF | G | Y | N |
| FCHL | FITNESS CHAMPS HLDGS LTD CL A | S | Y | N |
| FFAI | FARADAY FUTURE INTELLIGENT ELE | S | Y | N |
| GCTK | GLUCO TRACK INC COM NEW 2025 | S | Y | N |
| GGLS | DIREXION SHS ETF TR DAILY GOOG | G | Y | N |
| GLND | GREENLAND ENERGY CO COM | G | Y | N |
| GV | VISIONARY HLDGS INC COM NEW ( | S | Y | N |
| HIMZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| HKIT | HITEK GLOBAL INC CL A ORD SHS | S | Y | N |
| HUBC | HUB CYBER SEC LTD ORD SHS NO P | S | Y | N |
| IBG | INNOVATION BEVERAGE GROUP LTD | S | Y | N |
| INHD | INNO HLDGS INC COM NO PAR | S | Y | N |
| IONZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| ISPC | ISPECIMEN INC COM NEW (DE) | S | Y | N |
| KIDZ | CLASSOVER HLDGS INC COM CL B N | S | Y | N |
| LNKS | LINKERS INDS LTD CL A ORD SHS | S | Y | N |
| LUNR | INTUITIVE MACHINES, INC. CL A | G | Y | N |
| MGN | MEGAN HLDGS LTD USD CL A ORD S | S | Y | N |
| MIGI | MAWSON INFRASTRUCTURE GROUP IN | S | Y | N |
| MSTX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| MYCH | SSGA ACTIVE TRUST STATE STREET | G | Y | N |
| NCI | NEO-CONCEPT INTL GRP HLDNGS LT | S | Y | N |
| NOWL | GRANITESHARES ETF TR 2X LONG N | G | Y | N |
| NVVE | NUVVE HOLDING CORP. COM PAR $0 | S | Y | N |
| OKLL | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| ONCO | ONCONETIX, INC. COMMON STOCK C | S | Y | N |
| ORCX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| PFSA | PROFUSA INC COM NEW | G | Y | N |
| PLTZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| PTIR | GRANITESHARES ETF TR 2X LONG P | G | Y | N |
| RENX | RENX ENTERPRISES CORP COM PAR | S | Y | N |
| RGTX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| RGTZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| RKLZ | TIDAL TR II DEFIANCE DILY TARG | G | Y | N |
| RMSG | REAL MESSENGER CORP SHS CL A ( | S | Y | N |
| SKYQ | SKY QUARRY INC COM NEW $0.0001 | S | Y | N |
| SMCX | 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 |
| SPCT | TWO RDS SHARED TR LIBERTY ONE | G | Y | N |
| TDI | TOUCHSTONE ETF TR DYNAMIC INTE | G | Y | N |
| TRNR | INTERACTIVE STRENGTH INC COM P | S | Y | N |
| TSDD | GRANITESHARES ETF TR 2X SHORT | G | Y | N |
| TSLQ | INVT MNRG SR TR II TRDR 2X SHO | G | Y | N |
| TURB | TURBO ENERGY S A SPONSORED ADR | S | Y | N |
| UCAR | U PWR LTD ORD SHS CL A USD $0. | S | Y | N |
| UGRO | URBAN-GRO INC COM PAR $ | S | Y | N |
| YMT | YIMUTIAN INC ADR | G | Y | N |
| YYGH | YY GROUP HOLDING LIMITED CLASS | 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.
