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.

SEC Emergency Short Sale Order

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:

  • Companies selected from Appendix A to the Emergency Order
  • Additional companies that also meet the criteria, but that were not included in Appendix A to the Emergency Order.

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:

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)
15 27 13

File Download

Trade Date Download Link File Creation Timestamp
Monday, February 08, 2010 Download 2/8/2010 11:00:02 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
AEHI ALTERNATE ENERGY HLDGS INC. CO U Y N
AENY AMERICAS ENERGY COMP COM STK ( U Y N
AGIBY ANGLO IRISH BANK CORP PLC ADR u N Y
AIRYY AIR CHINA LTD SPON ADR (CHINA) u Y N
ALTUQ ALTUS PHARMACEUTICALS INC u Y N
AMED AMEDISYS INC Q Y N
APWR A-POWER ENERGY GENERATION SYST Q Y N
BBRRF BRETT RESOURCES INC u N Y
BEDA BEDERRA CORP NEW COM STK (US) u Y N
BOCX BIOCUREX INC U Y N
CABL CHINA CABLECOM HOLDINGS, LTD. S Y N
CCTC Clean Coal Technologies, Inc. u N Y
CLLDY CAPITALLAND LTD SPONS ADR u N Y
CNLG CONOLOG CORP COM STK (US) S Y N
CNWHF CHINA NETWORKS INTL HLDGS LTD U Y N
COWI CoroWare, Inc. New Common Stoc U Y N
CXMLF COMAPLEX MINERALS CORP (F) u N Y
CYTXW CYTORI THERAPEUTICS INC WARRAN G Y N
DRGDF DETOUR GOLD CORP COM (CANADA) u N Y
ECMH Emcompass Holdings, Inc. Commo u Y N
EMIF ISHARES S&P EMERGING MARKETS I G Y N
FOYJ FOY JOHNSTON INC u N Y
FTBK FRONTIER FINL CORP NEW COM STK Q Y N
GBOE GeoBio Energy, Inc. Common Sto u Y N
GGCRF GENCO RESOURCES LTD u Y N
GOFPY GREEK ORGANISATION FOOTBALL PR u N Y
GRNB GREENE BANCSHARES INC COM STK Q Y N
HESV Home Energy Savings Corp Commo u Y N
HNAB HANA BIOSCIENCES INC U Y N
HRZB HORIZON FINANCIAL CORP u Y N
IMZLF INTERNATIONAL MINERALS CORP u N Y
JALSY JAPAN AIRLINES CORP UNSPONS A u Y N
JEDM Jedi Mind, Inc. Common Stock u Y N
LGCU LUNA GOLD CORP u N Y
MDCE MEDICAL CARE TECHNOLOGIES INC U Y N
MLKKF MERCATOR MINERALS LTD u N Y
MTCI METROCONNECT INC COM STK (NV) u Y N
MTNOY MTN GROUP LTD SPONS ADR u N Y
NWMT NEWMARKET TECH INC NEW (NV) u Y N
OABC OMNIAMERICAN BANCORP INC COM S G Y N
PGOG PERF Go-Green Holdings, Inc. C U Y N
PUMD ProUroCare Medical, Inc. New C U Y N
PWSV Power-Save Energy Company Comm U Y N
QNTQY QINETIQ GROUP PLC LONDON UN-SP u N Y
RBIFF RED BACK MINING INC u N Y
SCLX Sino Clean Energy Inc. Common U Y N
SGAS Sino Gas International Holding U Y N
SHLD SEARS HOLDINGS CORP Q Y N
SOPW SOLAR POWER, INC. COM STK U Y N
SPPTY Southern Pacific Petroleum N.L u Y N
TSTC TELESTONE TECHNOLOGIES CORP Q Y N
VCRT VICOR TECHNOLOGIES INC NEW COM U Y N
VGSH VANGUARD SCOTTSDALE FDS VANGUA G Y N
WNWG WENTWORTH ENERGY INC NEW U Y N
YRCW YRC WORLDWIDE INC Q Y N

Threshold List Info.

Contact Information

For Investors:

For NASDAQ Market Participants and FINRA Members:

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.

 

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