Reg SHO Threshold List


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.

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)
35

File Download

Trade Date Download Link File Creation Timestamp
Friday, August 26, 2016 Download 8/26/2016 11:00:22 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
BIS PROSHARES TR ULTRASHORT NASDAQ G Y N
CDC VICTORY PORTFOLIOS II CEMP US G Y N
CSA VICTORY PORTFOLIOS II CEMP US G Y N
CTRL CONTROL4 CORP COM STK (DE) Q Y N
DGLY DIGITAL ALLY INC COM STK NEW ( S Y N
DGRE WISDOMTREE TR EMERGING MKTS QU G Y N
DGRS WISDOMTREE TR US SMALL CAP QUA G Y N
DRYS DRYSHIPS INC COM PAR$0.1 (MHL) S Y N
DWAT ARROW INVTS TR DWA TACTICAL ET G Y N
EGLE EAGLE BULK SHIPPING INC SHS NE Q Y N
ETRM ENTEROMEDICS INCCOM STK (DE) S Y N
FBZ FIRST TRUST BRAZIL ALPHADEX FU G Y N
FEMS FIRST TRUST EMERGING MARKETS S G Y N
FYC FIRST TRUST SMALL CAP GROWTH A G Y N
GEMP GEMPHIRE THERAPEUTICS INC COM G Y N
GLDI CREDIT SUISSE X-LINKS GOLD SHS G Y N
HTBX HEAT BIOLOGICS INC COM STK (DE S Y N
ICLD INTERCLOUD SYSTEMS, INC. COMMO S Y N
JKI ISHARES MORNINGSTAR MID CAP VA G Y N
JSMD JANUS DETROIT STR TR SMALL/MID G Y N
KRMA GLOBAL X FDS GLOBAL X CONSCIOU G Y N
MRNS MARINUS PHARMACEUTICALS INC C G Y N
OPTT OCEAN PWR TECHNOLOGIES INC COM S Y N
PSCC POWERSHARES S&P SMALLCAP CONSU G Y N
SLVO CREDIT SUISSE X-LINKS SILVER S G Y N
SOCL GLOBAL X SOCIAL MEDIA INDEX G Y N
SOXX ISHARES PHLX SEMICONDUCTOR ETF G Y N
STEM STEMCELLS, INC. COMMON STOCK S Y N
TBRA TOBIRA THERAPEUTICS INC COM S Y N
TOPS TOP SHIPS INC COM STK NEW 2016 S Y N
TQQQ PROSHARES ULTRAPRO QQQ G Y N
TVIX CREDIT SUISSE AG NASSAU BRH VE G Y N
USLV VELOCITYSHS 3X LG SILVER ETN L G Y N
VIGI VANGUARD WHITEHALL FDS INTL DI G Y N
VTGN VISTAGEN THERAPEUTICS, INC. CO S Y N