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)
29

File Download

Trade Date Download Link File Creation Timestamp
Wednesday, January 20, 2021 Download 1/20/2021 11:00:30 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
AHPI ALLIED HEALTHCARE PRODS INC CO S Y N
AIRR FIRST TR VI RBA AMERN INDL REN G Y N
ATOS ATOSSA THERAPEUTICS, INC. COMM S Y N
BSML INVESCO BULLETSHARES 2021 MUNI G Y N
BTAQ BURGUNDY TECHNOLOGY AQUISITION S Y N
CTEC GLOBAL X FDS CLEANTECH ETF G Y N
EEMA ISHARES MSCI EMERGING MARKETS G Y N
FEM FIRST TRUST EMERGING MARKETS A G Y N
FNK FIRST TRUST MID CAP VALUE ALPH G Y N
FTIV FINTECH ACQUISITION CORP IV CL S Y N
FTIVW FINTECH ACQUISITION CORP IV WT S Y N
FYC FIRST TRUST SMALL CAP GROWTH A G Y N
FYT FIRST TRUST SMALL CAP VALUE A G Y N
GOVX GEOVAX LABS INC COM PAR $.0001 S Y N
HJLI HANCOCK JAFFE LABORATORIES, IN S Y N
HNDL STRATEGY SHS NASDAQ 7 HANDL I G Y N
ISUN THE PECK COMPANY HOLDINGS, INC S Y N
LFTRW LEFTERIS ACQUISITION CORP WT E S Y N
LGHL LION GROUP HLDG LTD ADS S Y N
MDGS MEDIGUS LTD SPONSORED ADR 2018 S Y N
MESO MESOBLAST LIMITED SPONSORED AD Q Y N
MOGO MOGO INC COM (CAN) S Y N
MRM MEDIROM HEALTHCARE TECH INC SP S Y N
NCTY THE9 LTD SPONSORED ADS NEW OCT S Y N
SDVY FIRST TR ETF VI SMID CAP RISIN G Y N
TRCH TORCHLIGHT ENERGY RESOURCES, I S Y N
WKEY WISEKEY INTL HLDGS S A SPONSO G Y N
YLCO GLBL X FUNDS GLBL X YLDCO & RE G Y N
ZNTEW ZANITE ACQUISITION CORP WT EXP S 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.