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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)
62

File Download

Trade Date Download Link File Creation Timestamp
Friday, January 16, 2026 Download 1/16/2026 11:00:06 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
AIA ISHARES S&P ASIA 50 ETF G Y N
AKAN AKANDA CORP COM PAR $ NEW DECE S Y N
ARBE ARBE ROBOTICS LTD ORD SHS (ISR S Y N
ASTI ASCENT SOLAR TECHNOLOGIES INC S Y N
AZI AUTOZI INTERNET TECH GLOBAL LT G Y N
BCTX BRIACELL THERAPEUTICS CORP NEW S Y N
BMNG THEMES ETF TR LEVERAGE SHS 2X G Y N
BNAI BRAND ENGAGEMENT NETWORK INC C S Y N
CETX CEMTREX INC COM PAR $.001 NEW S Y N
CHPS DBX ETF TR XTRACKERS SEMICONDU G Y N
CRCG THEMES ETF TR LEVERAGE SHARES G Y N
CRWL GRANITESHS ETF TR 2X LONG CRW G Y N
DRCT DIRECT DIGITAL HLDGS INC CL A S Y N
DRMA DERMATA THERAPEUTICS INC COM P S Y N
EASY TWO RDS SHARED TR LIBERTY ONE G Y N
ELAB PMGC HLDGS INC COM PAR $0.0001 S Y N
EXUS NOMURA ETF TRUST NOMURA FOCUSE G Y N
FCA FIRST TRUST CHINA ALPHADEX FUN G Y N
FEED ENVUE MEDICAL, INC. COMMON STO S Y N
FEUZ FIRST TR EUROZONE ALPHADEX ETF G Y N
FLN FIRST TRUST LATIN AMERICA ALPH G Y N
GNLN GREENLANE HLDGS INC CL A NEW 2 S Y N
GP GREENPOWER MTR CO INC COM PAR S Y N
HIMZ TIDAL TR II DEFIANCE DAILY TAR G Y N
IGAC INVEST GREEN ACQUISITION CORP G Y N
INBS INTELLIGENT BIO SOLUTIONS INC S Y N
IONZ TIDAL TR II DEFIANCE DAILY TAR G Y N
IVP INSPIRE VETERINARY PARTNERS IN S Y N
JTAI JET AI INC COM NEW S Y N
KZIA KAZIA THERAPEUTICS LTD SPONSOR S Y N
LASE LASER PHOTONICS CORP COM (DE) S Y N
MNTS MOMENTUS INC CL A PAR $0.00001 S 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
NFXL DIREXION SHS ETF TR DAILY NFLX G Y N
NOWL GRANITESHARES ETF TR 2X LONG N G Y N
OKLL TIDAL TR II DEFIANCE DAILY TAR G Y N
OTGL ETF OPPORTUNITIES TR OTG LATIN 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
RGS REGIS CORP MINN COM NEW G 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
RUBI RUBICO INC COM NEW (MHL) S Y N
SDOT SADOT GROUP INC COM PAR $ S Y N
SGBX SAFE & GREEN HLDGS CORP COM PA S Y N
SIDU SIDUS SPACE INC CL A COM NEW 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
STSS SHARPS TECHNOLOGY INC COM PAR S Y N
VRME VERIFYME INC COM NEW S Y N
WCLD WISDOMTREE TR CLOUD COMPUTING G Y N
WHLR WHEELER REAL ESTATE INVT TR IN S Y N
WOK WORK MED TECHNOLOGY GROUP LTD 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.