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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)
27

File Download

Trade Date Download Link File Creation Timestamp
Tuesday, March 31, 2020 Download 3/31/2020 11:00:32 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
AAXJ ISHARES MSCI ALL COUNTRY ASIA G Y N
ACWI ISHARES MSCI ACWI ETF G Y N
AIKI AIKIDO PHARMA INC S Y N
ALGRW ALLEGRO MERGER CORP WT EXP 1/1 S Y N
AYTU AYTU BIOSCIENCE INC COM STK S Y N
BFYT BENEFYTT TECHNOLOGIES INC CL A G Y N
BGRN ISHARES TR GLOBAL GREEN BD ETF G Y N
CLVS CLOVIS ONCOLOGY INC COM STK (D Q Y N
CODX CO-DIAGNOSTICS INC COM S Y N
CRWD CROWDSTRIKE HLDGS INC CL A Q Y N
FDT FIRST TRUST DEVELOPED MARKETS G Y N
FJP FIRST TRUST JAPAN ALPHADEX FUN G Y N
FMHI FIRST TR ETF III MUNICIPAL HIG G Y N
FTCS FIRST TRUST CAPITAL STRENGTH E G Y N
FTXN FIRST TR ETF VI NASDAQ OIL & G G Y N
GOGO GOGO INC COM STK (DE) Q Y N
HEWG ISHARES CURRENCY HEDGED MSCI G G Y N
IGOV ISHARES 1-3 INTERNATIONAL TREA G Y N
KIRK KIRKLANDS INC Q Y N
PRTS U.S. AUTO PARTS NETWORK, INC. Q Y N
RMBL RUMBLEON INC S Y N
USLV VELOCITYSHARES EXCHANGE TRADED G Y N
VIIX CREDIT SUISSE AG NASS BR VL SH G Y N
VISL VISLINK TECHNOLOGIES INC COM N S Y N
VMD VIEMED HEALTHCARE IN (CANADA) S Y N
VTWV VANGUARD RUSSELL 2000 VALUE ET G Y N
ZIV CREDIT SUISSE NASSAU BRH VS IN 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.