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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.
