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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)
33

File Download

Trade Date Download Link File Creation Timestamp
Friday, August 8, 2025 Download 8/8/2025 11:00:15 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ATNF 180 LIFE SCIENCES CORP COM PAR S Y N
BINI BOLLINGER INNOVATIONS INC COM S Y N
BNZI BANZAI INTL INC CL A COM PAR $ S Y N
DPRO DRAGANFLY INC (CANADA) S Y N
FLYE FLY-E GROUP, INC. COMMON NEW S Y N
HIMZ TIDAL TR II DEFIANCE DAILY TAR G Y N
HTOO FUSION FUEL GREEN PLC CL A ORD S Y N
IONZ TIDAL TR II DEFIANCE DAILY TAR G Y N
IVF INVO FERTILITY INC COM PAR $0. S Y N
LRHC LA ROSA HLDGS CORP COM NEW S Y N
MEIP MEI PHARMA INC COM PAR $ (DE) S Y N
NCNA NUCANA PLC SPONSORED ADR NEW S Y N
NVNI NVNI GROUP LTD SHS (CYM) S Y N
OP OCEANPAL INC COM PAR $0.01 (MH S Y N
PLTZ TIDAL TR II DEFIANCE DAILY TA G Y N
PMN PROMIS NEUROSCIENCES INC COM S Y N
QMMM QMMM HLDGS LTD SHS NEW US$0.00 S Y N
SGD SAFE & GREEN DEV CORP COM NEW S Y N
SMCX TIDAL TR II DEFIANCE DAILY TAR G Y N
SMX SMX SEC MATTERS PLC SHS CL A J S Y N
SNGX SOLIGENIX INC COM PAR $.001 NE S Y N
TMB THORNBURG ETF TR MULTI SECTOR G Y N
TNFA TNF PHARMACEUTICALS, INC. COMM S Y N
TNON TENON MED INC COM COM PAR $ S Y N
TRUG TRUGOLF HLDGS INC CL A NEW S Y N
TSLG THEMES ETF TR LEVERAGE SHARES G Y N
UNHG THEMES ETF TR LEVERAGE SHS 2X G Y N
VWAV VISIONWAVE HLDGS INC COM G Y N
WBUY WEBUY GLOBAL LTD. CLASS A ORDI S Y N
WKHS WORKHORSE GROUP INC COM PAR$0. S Y N
XRPT VOLATILITY SHS TR 2X XRP ETF G Y N
XXII 22ND CENTY GROUP INC COM NEW 2 S Y N
ZOOZ ZOOZ PWR LTD CL A (ISR) 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.