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
Wednesday, December 4, 2024 Download 12/4/2024 11:00:05 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ACOG ALPHA COGNITION INC NEW COM NE S Y N
BNZI BANZAI INTL INC CL A COM NEW S Y N
CETX CEMTREX INC COM PAR $.001 NEW S Y N
CRWL GRANITESHS ETF TR 2X LONG CRW G Y N
CYCN CYCLERION THERAPEUTICS INC COM S Y N
DBGI DIGITAL BRANDS GROUP INC COM P S Y N
FCEL FUELCELL ENERGY INC COM NEW G Y N
FFIE FARADAY FUTURE INTELLIGENT ELE S Y N
IDAI T STAMP INC COM NEW (DE) S Y N
IVDA IVEDA SOLUTIONS INC COM PAR $. S Y N
LAZR LUMINAR TECHNOLOGIES INC. COM Q Y N
LIFW MSP RECOVERY INC CL A PAR 0.00 G Y N
MSTX TIDAL TR II DEFIANCE DAILY TAR G Y N
MULN MULLEN AUTOMOTIVE INC COM PAR S Y N
MYNZ MAINZ BIOMED N V SHS NEW USD S Y N
NCNA NUCANA PLC SPONSORED ADR NEW S Y N
NKLA NIKOLA CORP COM NEW Q Y N
NMHI NATURES MIRACLE HLDG INC COM N G Y N
NUWE NUWELLIS INC COM PAR $0.0001 S Y N
NVDD DIREXION SHS ETF TR DAILY NVDA G Y N
NXL NEXALIN TECHNOLOGY INC COM NEW S Y N
PRAX PRAXIS PRECISION MEDICINES INC Q Y N
PRZO PARAZERO TECHNOLOGIES LTD SHS S Y N
QMMM QMMM HLDGS LTD USD ORD SHS (CY S Y N
RGTI RIGETTI COMPUTING INC COM (DE) S Y N
RXRX RECURSION PHARMACEUTICALS INC Q Y N
SBFM SUNSHINE BIOPHARMA INC COM PAR S Y N
TLX TELIX PHARMACEUTICALS LTD SPON Q Y N
TOI THE ONCOLOGY INSTITUTE, INC. C S Y N
TRNR INTERACTIVE STRENGTH INC COM P S Y N
TSDD GRANITESHARES ETF TR 2X SHORT G Y N
VERB VERB TECHNOLOGY CO INC COM PAR S Y N
VLCN VOLCON INC COM PAR $0.00001 NE S Y N
WLDS WEARABLE DEVICES LTD SHS NEW ( S Y N
ZENA ZENATECH INC COM NEW (CAN) 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.