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)
28

File Download

Trade Date Download Link File Creation Timestamp
Thursday, September 29, 2016 Download 9/29/2016 11:00:22 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ADMP ADAMIS PHARMACEUTICALS CORP CO S Y N
AIRR FIRST TR VI RBA AMERN INDL REN G Y N
APRI APRICUS BIOSCIENCES, INC COM S S Y N
BSPM BIOSTAR PHARMACEUTICALS INC CO S Y N
CDC VICTORY PORTFOLIOS II CEMP US G Y N
CFA VICTORY PORTFOLIOS II CEMP US G Y N
CID VICTORY PORTFOLIOS II CEMP INT G Y N
FEM FIRST TRUST EMERGING MARKETS A G Y N
FKO FIRST TRUST SOUTH KOREA ALPHAD G Y N
FPXI FIRST TR ETF II INTL IPO ETF ( G Y N
GALT GALECTIN THERAPEUTICS INC. COM S Y N
GNMA ISHARES GNMA BOND ETF G Y N
HTBX HEAT BIOLOGICS INC COM STK (DE S Y N
KWEB KRANESHARES TR CSI CHINA INTER G Y N
LPTH LIGHTPATH TECHNOLOGIES INC S Y N
MARA MARATHON PATENT GROUP INC COM S Y N
MBVX MABVAX THERAPEUTICS HOLDINGS, S Y N
RGSE REAL GOODS SOLAR INC CL A NEW S Y N
SCTY SOLARCITY CORP Q Y N
SOCL GLOBAL X SOCIAL MEDIA INDEX G Y N
SOXX ISHARES PHLX SEMICONDUCTOR ETF G Y N
TQQQ PROSHARES ULTRAPRO QQQ G Y N
TVIX CREDIT SUISSE AG NASSAU BRH VE G Y N
USLB POWERSHARES RUSSELL 1000 LOW B G Y N
VGLT VANGUARD LG-TRM GOVT BD ETF G Y N
VIGI VANGUARD WHITEHALL FDS INTL DI G Y N
WATT ENERGOUS CORP COM STK S Y N
XCOM XTERA COMMUNICATIONS INC COM S G Y N