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)
25

File Download

Trade Date Download Link File Creation Timestamp
Thursday, April 22, 2021 Download 4/22/2021 11:00:08 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ADN ADVENT TECHNOLOGIES HOLDINGS, S Y N
AEHL ANTELOPE ENTERPRISE HLDGS LTD S Y N
ATNF 180 LIFE SCIENCES CORP COM S Y N
BNTC BENITEC BIOPHARMA INC COM S Y N
BTBT BIT DIGITAL, INC. ORDINARY SHA S Y N
DISAU DISRUPTIVE ACQ CORP I UNIT 1 O S Y N
EBACU EUROPEAN BIOTECH ACQ CORP UNIT S Y N
EEIQ ELITE ED GROUP INTL LTD USD CO S Y N
EYES SECOND SIGHT MED PRODS INC COM S Y N
FTCV FINTECH ACQUISITION CORP V CL S Y N
FTLB FIRST TRUST EXCHANGE TRADED FD G Y N
GGPIU GORES GUGGENHEIM INC UNIT 1 CO S Y N
MCADR MOUNTAIN CREST ACQUISITION COR S Y N
MDRR MEDALIST DIVERSIFIED REIT INC S Y N
MOSY MOSYS INC COM STK NEW (DE) S Y N
MPACU MODEL PERFORMANCE ACQ CORP (VG S Y N
PGRW PROGRESS ACQUISITION CORP CL A S Y N
PGRWW PROGRESS ACQUISITION CORP RED S Y N
PSAC PROPERTY SOLUTIONS ACQUISITION S Y N
SDVY FIRST TR ETF VI SMID CAP RISIN G Y N
SLVO CREDIT SUISSE X-LINKS SILVER S G Y N
VENA VENUS ACQUISITION CORP USD ORD S Y N
VENAR VENUS ACQ CORP USD RTS TO PUR S Y N
VENAW VENUS ACQ CORP USD RED WTS TO S Y N
WKEY WISEKEY INTL HLDGS S A SPONSO 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.