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)
20

File Download

Trade Date Download Link File Creation Timestamp
Monday, June 01, 2020 Download 6/1/2020 11:00:31 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ALT ALTIMMUNE INC COM NEW G Y N
BTEC PRINCIPAL ETF PRINCIPAL HEALTH G Y N
CODX CO-DIAGNOSTICS INC COM S Y N
DRAD DIGIRAD CORP COM NEW (DE) G Y N
DSLV VELOCITYSHS 3X INVERSE SILVER G Y N
FPXI FIRST TR EXCHANGE-TRADED FD II G Y N
GENE GENETIC TECHS LTD SPONSORED AD S Y N
GNUS GENIUS BRANDS INTL INC COM S Y N
KTOV KITOV PHARMA LTD SPONSORED ADR S Y N
MARA MARATHON PATENT GROUP INC COM S Y N
MARK REMARK HLDGS INC COM STK (DE) S Y N
MDGS MEDIGUS LTD SPONSORED ADR 2018 S Y N
RMBL RUMBLEON INC CL B NEW S Y N
ROBT FIRST TR EXCHANGE-TRADED FD VI G Y N
SELB SELECTA BIOSCIENCES INC COM G Y N
SLVO CREDIT SUISSE X-LINKS SILVER S G Y N
SONM SONIM TECHNOLOGIES INC COM (D G Y N
STAF STAFFING 360 SOLUTIONS INC C S Y N
TBLT TOUGHBUILT INDS INC COM NEW S Y N
WCLD WISDOMTREE TR CLOUD COMPUTING 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.