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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) |
|---|
| 42 |
File Download
| Trade Date | Download Link | File Creation Timestamp |
|---|---|---|
| Friday, June 28, 2024 | Download | 6/28/2024 11:00:18 PM |
Threshold Security List
| Symbol | Security Name | Market Category | Reg SHO Threshold Flag | Rule 3210 |
|---|---|---|---|---|
| AEMD | AETHLON MED INC COM PAR $0.001 | S | Y | N |
| AIMD | AINOS INC COM PAR $0.01 | S | Y | N |
| AKAN | AKANDA CORP COM NO PAR (CAN) | S | Y | N |
| AMDL | GRANITESHARES ETF TR GRANITE 2 | G | Y | N |
| AOTG | EA SER TR AOT GROWTH & INNOVAT | G | Y | N |
| ASNS | ACTELIS NETWORKS INC COM NEW | S | Y | N |
| ASTSW | AST SPACEMOBILE INC WT EXP (DE | Q | Y | N |
| BPTH | BIO-PATH HLDGS INC COM PAR $0. | S | Y | N |
| BYND | BEYOND MEAT INC COM (DE) | Q | Y | N |
| CANC | TEMA ETF TR ONCOLOGY ETF | G | Y | N |
| CETX | CEMTREX INC COM PAR $ NEW 2023 | S | Y | N |
| CGC | CANOPY GROWTH CORP COM NEW (CA | Q | Y | N |
| CLEU | CHINA LIBERAL ED HLDGS LTD OR | S | Y | N |
| CNGL | CANNA-GLOBAL ACQUISITION CORP | S | Y | N |
| CNSP | CNS PHARMACEUTICALS INC. COM C | S | Y | N |
| CUTR | CUTERA INC | Q | Y | N |
| DJT | TRUMP MEDIA & TECHNOLOGY GROUP | G | Y | N |
| EJH | E-HOME HOUSEHOLD SVC HLDGS LTD | S | Y | N |
| FRGT | FREIGHT TECHNOLOGIES INC SHS N | S | Y | N |
| GANX | GAIN THERAPEUTICS INC COM (DE) | G | Y | N |
| GCT | GIGACLOUD TECHNOLOGY INC CL A | G | Y | N |
| GOEV | CANOO INC CL A COM NEW | S | Y | N |
| GOVX | GEOVAX LABS INC COM PAR $0.001 | S | Y | N |
| GWAV | GREENWAVE TECHNOLOGY SOLUTIONS | S | Y | N |
| ICU | SEASTAR MED HLDG CORP COM NEW | S | Y | N |
| KAVL | KAIVAL BRANDS INNOVATIONS GROU | S | Y | N |
| MAPSW | WM TECHNOLOGY INC WT PUR COM E | Q | Y | N |
| MAXN | MAXEON SOLAR TECHNOLOGIES PTE | Q | Y | N |
| MBIO | MUSTANG BIO INC COM NEW (DE) | S | Y | N |
| MLGO | MICROALGO INC USD ORD SH NEW | S | Y | N |
| MOLN | MOLECULAR PARTNERS AG ADS (CHE | Q | Y | N |
| NCPL | NETCAPITAL INC COM (UT) | S | Y | N |
| NVD | GRANITESHARES ETF TR 2X SHORT | G | Y | N |
| NVDL | GRANITESHARES ETF TR 2X LONG N | G | Y | N |
| NXL | NEXALIN TECHNOLOGY INC COM NEW | S | Y | N |
| PEGY | PINEAPPLE ENERGY INC COM NEW | S | Y | N |
| SPEC | SPECTAIRE HLDGS INC COM | G | Y | N |
| TBLT | TOUGHBUILT INDS INC COM PAR $. | S | Y | N |
| TNXP | TONIX PHARMACEUTICALS HLDG COM | S | Y | N |
| TRNR | INTERACTIVE STRENGTH INC COM N | S | Y | N |
| WHLR | WHEELER REAL ESTATE INVT TR IN | S | Y | N |
| ZAPP | ZAPP ELEC VEHS GROUP LTD ORD S | G | 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.
