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
|Trade Date||Download Link||File Creation Timestamp|
|Thursday, December 01, 2016||Download||12/1/2016 11:00:21 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|
|BIS||PROSHARES TR ULTRASHORT NASDAQ||G||Y||N|
|BSPM||BIOSTAR PHARMACEUTICALS INC CO||S||Y||N|
|CATH||GLOBAL X FDS GLOBAL X S&P 500||G||Y||N|
|CDC||VICTORY PORTFOLIOS II CEMP US||G||Y||N|
|CFA||VICTORY PORTFOLIOS II CEMP US||G||Y||N|
|CFO||VICTORY PORTFOLIOS II CEMP US||G||Y||N|
|CIBR||FIRST TR FD II NASDAQ CYBERSEC||G||Y||N|
|CID||VICTORY PORTFOLIOS II CEMP INT||G||Y||N|
|CLRB||CELLECTAR BIOSCIENCES INC COM||S||Y||N|
|DGRE||WISDOMTREE TR EMERGING MKTS QU||G||Y||N|
|DRYS||DRYSHIPS INC COM PAR$0.1 (MHL)||S||Y||N|
|DWIN||POWERSHARES ETF R II DWA TACTI||G||Y||N|
|DXJS||WISDOMTREE TR JAPAN SMALLCAP H||G||Y||N|
|EGLE||EAGLE BULK SHIPPING INC SHS NE||Q||Y||N|
|FCVT||FIRST TR EXCHANGE TRADED FD IV||G||Y||N|
|FDIV||FIRST TRUST STRATEGIC INCOME||G||Y||N|
|FLN||FIRST TRUST LATIN AMERICA ALPH||G||Y||N|
|FTXO||FIRST TR ETF VI NASDAQ BK ETF||G||Y||N|
|FYT||FIRST TRUST SMALL CAP VALUE A||G||Y||N|
|JSMD||JANUS DETROIT STR TR SMALL/MID||G||Y||N|
|KRNT||KORNIT DIGITAL LTD ORD SHS (IS||Q||Y||N|
|LMBS||FIRST TR ETF FD IV FIRST TR LO||G||Y||N|
|LVHD||LEGG MASON ETF EQUITY TR LOW V||G||Y||N|
|PSCE||POWERSHARES S&P SMALLCAP ENERG||G||Y||N|
|PSCM||POWERSHARES S&P SMALLCAP MATER||G||Y||N|
|QABA||FIRST TRUST NASDAQ ABA COMMUNI||G||Y||N|
|RDVY||FIRST TR ETF FIRST TR NASDAQ R||G||Y||N|
|SINO||SINO-GLOBAL SHIPPING AMERICA.L||S||Y||N|
|TVIX||CREDIT SUISSE AG NASSAU BRH VE||G||Y||N|
|VGLT||VANGUARD LG-TRM GOVT BD ETF||G||Y||N|
|VIGI||VANGUARD WHITEHALL FDS INTL DI||G||Y||N|
|VRNS||VARONIS SYS INC COM STK (DE)||Q||Y||N|