Regulation SHO Threshold List
| On October 24, 2008, an incorrect Regulation SHO Threshold List for NASDAQ and OTCBB stocks was published on the NASDAQ Trader website. As a result of a process timing error, the original published Regulation SHO Threshold/NASD Rule 3210 List has been modified. For more information, refer to General News Item #2008-9. |
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SEC Emergency Short Sale Order
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The Securities and Exchange Commission has issued new rules on short selling of financial companies. In effort to provide constant updates of those rules, NASDAQ has posted two lists of Included Financial Firms:
Current and Historical lists can be found at http://www.nasdaqtrader.com/Trader.aspx?id=trader_sec_shortsale. As announced in RA #2008-027, the Securities and Exchange Commission (SEC) issued further guidance to protect investors against "naked" short selling: The SEC is “extending temporary Rule 204(a)'s close-out requirement for fails to deliver attributable to bona fide market making activities by registered market makers, options market makers, or other market makers obligated to quote in the over-the-counter market (collectively, "Market Makers").” Written Attestation Forms |
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.
The Securities and Exchange Commission (SEC) has amended Regulation SHO to eliminate the “grandfather provision” effective October 15, 2007. Please refer to Regulatory Alert #2007-086 for complete details.
On January 2, 2007, a Regulation SHO Threshold List for NASDAQ and OTCBB stocks was not published on NASDAQTrader.com. As a result, certain original published Regulation SHO Threshold/NASD 3210 Lists listed below have been modified. Please review General News 2007-022 for complete details.
Certain securities included in the July 7, 2006, Regulation SHO Threshold List published on the NASDAQ Trader website should not have been included. Firms are advised to refer to NASDAQ's General News item and review the revised list of securities subject to the Regulation SHO requirements for July 7, 2006.
For detailed information, please visit the SEC's website at:
- http://www.sec.gov/divisions/marketreg/mrfaqregsho1204.htm
- http://www.sec.gov/spotlight/keyregshoissues.htm
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) |
|---|---|---|
| 4 | 5 | 14 |
File Download
| Trade Date | Download Link | File Creation Timestamp |
|---|---|---|
| Wednesday, September 01, 2010 | Download | 9/1/2010 11:00:02 PM |
Threshold Security List
| Symbol | Security Name | Market Category | Reg SHO Threshold Flag | Rule 3210 |
|---|---|---|---|---|
| AFFY | AFFYMAX INC COM | G | Y | N |
| ASFN | Atlantic Southern Financial Gr | G | Y | N |
| AXMIF | AXMIN INC | u | N | Y |
| BHRT | BIOHEART, INC. COM | U | Y | N |
| CABL | CHINA CABLECOM HLDGS LTD ORD S | S | Y | N |
| CATM | CARDTRONICS INC COM STK (DE) | G | Y | N |
| CCTC | Clean Coal Technologies, Inc. | u | N | Y |
| DNAB | DNA Beverage Corporation Commo | u | Y | N |
| ENAB | ENABLE HOLDINGS, INC (DE) | U | Y | N |
| HLXW | Helix Wind, Corp. Common Stock | U | Y | N |
| HYGS | HYDROGENICS CORP NEW COM SHS ( | G | Y | N |
| JLIC | JESUP & LAMONT INC | u | Y | N |
| MELA | MELA SCIENCES INC COM STK (DE) | S | Y | N |
| OPMG | OPTIONS MEDIA GROUP HOLDINGS, | U | Y | N |
| PCBC | PACIFIC CAPITAL BANCORP NEW | Q | Y | N |
| PMNA | POWERSHARES MENA FRONTIER COUN | G | Y | N |
| SCOK | SINOCOKING COAL & COKE CHEMICA | S | Y | N |
| SQQQ | PROSHARES ULTRAPRO SHORT QQQ | G | Y | N |
| VCIT | VANGUARD INTERMEDIATE-TERM COR | G | Y | N |
| VCLT | VANGUARD LG-TRM CORP BD ETF | G | Y | N |
| VGLT | VANGUARD LG-TRM GOVT BD ETF | G | Y | N |
| XLFS | POWERSHARES S&P SMALLCAP FINAN | G | Y | N |
| YNGFF | YUKON-NEVADA GOLD CORP | u | N | Y |
Threshold List Info.
- Includes NASDAQ-listed issues, OTCBB issues and other OTC issues.
- New list published on each settlement date, prior to midnight, Eastern Time.
- Formats: HTML and .TXT File
- FTP Availability
- Data Fields & Definitions
- Additional OTC Securities
Contact Information
For Investors:
- Call the SEC's office of Investor Education and Assistance at 800.SEC.0330.
- File complaints at http://www.sec.gov/ complaint.shtml.
- Send specific enforcenent-related information to enforcement@sec.gov.
For NASDAQ Market Participants and FINRA Members:
- Please visit the FINRA Website for comprehensive contact information.
- Contact your NASDAQ Market Sales representative.
For Issuers:
- Questions regarding NASDAQ-listed stocks should be directed to your NASDAQ Market Intelligence Desk Director.
- Questions regarding an OTCBB or Pink Sheet stock, should be emailed to regtips@finra.org.
