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.

Note: The list below contains securities from OTCBB, Other OTC and NASDAQ markets. The totals below reflects the number of securities from each marketplace that are included in the list. Please review the "Market Category" field for the specific listing market for each security.

Market Category Counts

OTCBB (U) Other OTC (u) NASDAQ (Q,G,S)
2 24 18

File Download

Trade Date Download Link File Creation Timestamp
Wednesday, April 23, 2014 Download 4/23/2014 11:00:02 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
AIRR FIRST TR VI RBA AMERN INDL REN G Y N
ALBKY ALPHA BANK AE SPONS ADR u Y N
AVTO Avantogen Oncology, Inc. Commo u Y N
BTCS BITCOIN SHOP INC COM STK (NV) u Y N
CDID QUAD ENERGY CORP. COMMON STOCK u Y N
CNRD CONRAD INDUSTRIES INC u Y N
CNWHF CHINA NETWORKS INTL HLDGS LTD U Y N
CWTRQ COLDWATER CREEK INC COM STK NE u Y N
DGRW WISDOMTREE TR US DIVID GROWTH G Y N
DMPI DELMAR PHARMACEUTICALS, INC. C U Y N
EONC EON COMMUNICATIONS CORP COM ST S Y N
FIATY FIAT SPA NEW ADS REP 1 ORD SH u Y N
FREE FREESEAS INC COM (MHL) S Y N
FTGC FIRST TRUST GLOBAL TACTICAL CO G Y N
FV FIRST TRUST DORSEY WRIGHT FOCU G Y N
HFCO HYDROGEN FUTURE CORP COM STK ( u Y N
HNIN Horne International, Inc. Comm u Y N
IGOV ISHARES 1-3 INTERNATIONAL TREA G Y N
JRCCQ JAMES RIVER COAL COMPANY NEW C u Y N
LIVE LIVEDEAL, INC. COMMON STOCK S Y N
NEWL NEWLEAD HOLDINGS LTD NEW Q Y N
NHEGY NIGHTHAWK ENERGY PLC SPON ADR u N Y
PATCA PATRIOT COAL CORP CLASS A (DE) u N Y
PLUG PLUG POWER INC COM STK (DE) S Y N
PPCYY PPC LIMITED UNSPONSORED ADR (S u N Y
PURE PURE BIOSCIENCE INC COM STK NE u Y N
QASP QUASAR AEROSPACE INDUSTRIES, I u Y N
RBIZ REALBIZ MEDIA GROUP INC COM ST u N Y
RGSE REAL GOODS SOLAR, INC. CL A CO S Y N
RTGN RUTHIGEN INC COM S Y N
RTRAF ROMARCO MINERALS INC NEW u N Y
SGTPY SURGUTUEFTEGAZ SP ADR (REP-PF) u N Y
SOCL GLOBAL X SOCIAL MEDIA INDEX G Y N
SPEX SPHERIX INC COM STK NEW (MD) S Y N
TCEL THERAPY CELLS, INC. COMMON STO u Y N
THRSF Thunderbird Resorts, Inc. Ordi u N Y
TPDKY Topdanmark AS Unsponsored ADR u N Y
VGLT VANGUARD LG-TRM GOVT BD ETF G Y N
VTHR VANGUARD RUSSELL 3000 ETF G Y N
VTWV VANGUARD RUSSELL 2000 VALUE ET G Y N
WARM HPEV INC COMMON STOCK (NV) u Y N
WBXU WEBXU, INC. COMMON STOCK (DE) u Y N
XGTI XG TECHNOLOGY, INC COMMON STOC S Y N
ZNBR ZINCO DO BRASIL, INC. COMMON S u Y N