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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) |
|---|
| 58 |
File Download
| Trade Date | Download Link | File Creation Timestamp |
|---|---|---|
| Wednesday, December 3, 2025 | Download | 12/3/2025 11:00:06 PM |
Threshold Security List
| Symbol | Security Name | Market Category | Reg SHO Threshold Flag | Rule 3210 |
|---|---|---|---|---|
| AEHL | ANTELOPE ENTERPRISE HLDGS LTD | S | Y | N |
| AMDL | GRANITESHARES ETF TR GRANITE 2 | G | Y | N |
| AMZD | DIREXION SHS ETF TR DAILY AMZN | G | Y | N |
| AMZU | DIREXION SHS ETF TR DAILY AMZN | G | Y | N |
| AREB | AMERICAN REBEL HLDGS INC COM P | S | Y | N |
| AVL | DIREXION SHS ETF TR DAILY AVGO | G | Y | N |
| BAIG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| BMNG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| BNZI | BANZAI INTL INC CL A COM PAR $ | S | Y | N |
| BRLSW | BOREALIS FOODS INC WT EXP 10/3 | S | Y | N |
| CAPR | CAPRICOR THERAPEUTICS INC COM | S | Y | N |
| CMCT | CREATIVE MEDIA & CMNTY TR CORP | S | Y | N |
| CMND | CLEARMIND MEDICINE INC COM NEW | S | Y | N |
| CRCG | THEMES ETF TR LEVERAGE SHARES | G | Y | N |
| CRWG | THEMES ETF TR LEVERAGE SHARES | G | Y | N |
| DFDVW | DEFI DEV CORP WT EXP 01/21/202 | S | Y | N |
| DRCT | DIRECT DIGITAL HLDGS INC CL A | S | Y | N |
| DRNZ | REX ETF TR REX DRONE ETF | G | Y | N |
| ECDA | ECD AUTOMOTIVE DESIGN INC COM | S | Y | N |
| FGNX | FG NEXUS INC. COMMON STOCK (NV | G | Y | N |
| FIGG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| FOXX | FOXX DEV INC COM | S | Y | N |
| GGLS | DIREXION SHS ETF TR DAILY GOOG | G | Y | N |
| HBR | CANARY HBAR ETF SHS BEN INT | G | Y | N |
| HIMZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| HSDT | SOLANA CO COM CL A NEW MAY 20 | S | Y | N |
| IONX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| IONZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| IVP | INSPIRE VETERINARY PARTNERS IN | S | Y | N |
| IVVD | INVIVYD, INC. COMMON STOCK | G | Y | N |
| KTTA | PASITHEA THERAPEUTICS CORP COM | S | Y | N |
| KZIA | KAZIA THERAPEUTICS LTD SPONSOR | S | Y | N |
| LOT | LOTUS TECHNOLOGY INC SPONSORED | Q | Y | N |
| MEHA | FUNCTIONAL BRANDS INC COM | S | Y | N |
| METD | DIREXION SHS ETF TR DAILY META | G | Y | N |
| MSTX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| NBIL | GRANITESHARES ETF TR GRANITESH | G | Y | N |
| OKLL | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| POM | POMDOCTOR LTD ADS (CYM) | G | Y | N |
| QBTZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| RGTX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| RGTZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| RIME | ALGORHYTHM HLDGS INC COM PAR $ | S | Y | N |
| RKLX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| RUBI | RUBICO INC COM NEW (MHL) | S | Y | N |
| SGBX | SAFE & GREEN HLDGS CORP COM PA | S | Y | N |
| SLMT | BRERA HLDGS PLC CL B NEW (IRL) | S | Y | N |
| SLRX | SALARIUS PHARMACEUTICALS INC C | S | Y | N |
| SMCX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SMCZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SMST | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SMX | SMX SEC MATTERS PLC ORD SHS NE | S | Y | N |
| SOFX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| TSLL | DIREXION SHS ETF TR DAILY TSLA | G | Y | N |
| VCIG | VCI GLOBAL LTD COM PAR $ NEW ( | S | Y | N |
| VSA | VISIONSYS AI INC ADS RATIO 1:2 | S | Y | N |
| YGMZ | MINGZHU LOGISTICS HLDGS LTD OR | S | Y | N |
| ZYXI | ZYNEX, INC. COMMON STOCK (NV) | Q | 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.
