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.

Note: The list below contains securities from OTCBB, Other OTC and NASDAQ markets. The totals below reflects the number of securities from each marketplace that are included in the list. Please review the "Market Category" field for the specific listing market for each security.

Market Category Counts

OTCBB (U) Other OTC (u) NASDAQ (Q,G,S)
5 19 10

File Download

Trade Date Download Link File Creation Timestamp
Tuesday, May 15, 2012 Download 5/15/2012 11:00:03 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ACWI ISHARES MSCI ACWI INDEX FUND G Y N
AGESY AGEAS SPON ADR (NLD) u Y N
ANGI ANGIES LIST INC COM STK (DE) G Y N
ARNA ARENA PHARMACEUTICALS, INC. Q Y N
BION BIO NITROGEN CORPORATION COMMO u Y N
BLRX BIOLINERX LTD SPONSORED ADR (I S Y N
BNPUF BONAVISTA ENERGY CORP ORDINARY u N Y
CABGY CARLSBERG AS SPONSORED ADR CL u N Y
CALL MAGICJACK VOCALTEC LTD ORD SHS G Y N
CFWFF CALFRAC WELL SERVICES LTD u N Y
CG CARLYLE GROUP LP COM UNIT LTD Q Y N
CLNT CLEANTECH SOLUTIONS INT'L IN S Y N
CTCC CITY CAPITAL CORPORATION u Y N
DROP FUSE SCIENCE INC COM STK (NV) u Y N
HLTOY HELLENIC TELECOMM ORG ADS(RP1/ u N Y
IDVC INFRASTRUCTURE DEVS CORP (NV) U Y N
KLDO KALEIDOSCOPE VENTURE CAP INC C u Y N
KNCAY Konica Minolta Holdings Inc Un u N Y
LATI LATTITUDE SOLUTIONS. INC u N Y
MOJO MOJO ORGANICS, INC. COMMON STO u Y N
MTSXY METAL STORM LTD u Y N
PBYI PUMA BIOTECHNOLOGY INC COMMON U Y N
PGLC PERSHING GOLD CORPORATION. COM U Y N
PGOG PERF Go-Green Holdings, Inc. C u Y N
RVUE RVUE HLDGS INC COM STK (NV) U Y N
SEFE SEFE, INC COM STOCK U Y N
SQQQ PROSHARES ULTRAPRO SHORT QQQ N G Y N
SQZZF SERICA ENERGY PLC (UK) u N Y
TBTEF Twin Butte Energy Ltd Ordinary u N Y
TKGBY TURKIYE GRTI BK SPN ADR u N Y
TQQQ PROSHARES ULTRAPRO QQQ G Y N
VIVHY VIVENDI SA UNSPONSORED ADR (FR u N Y
WKBT WEIKANG BIO-TECHNOLOGY GROUP C u Y N
YRCW YRC WORLDWIDE INC COMMON Q Y N