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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 |
|---|---|---|
| Wednesday, May 15, 2024 | Download | 5/15/2024 11:00:05 PM |
Threshold Security List
| Symbol | Security Name | Market Category | Reg SHO Threshold Flag | Rule 3210 |
|---|---|---|---|---|
| AIRE | REALPHA TECH CORP COM | S | Y | N |
| AKAN | AKANDA CORP COM NEW (CAN) | S | Y | N |
| ALLR | ALLARITY THERAPEUTICS INC COM | S | Y | N |
| APVO | APTEVO THERAPEUTICS INC COM PA | S | Y | N |
| ASTI | ASCENT SOLAR TECHNOLOGIES INC | S | Y | N |
| BENF | BENEFICIENT COM CL A | S | Y | N |
| BSMW | INVESCO EXCHANGE-TRADED SELF-I | G | Y | N |
| BYND | BEYOND MEAT INC COM (DE) | Q | Y | N |
| CGC | CANOPY GROWTH CORP COM NEW (CA | Q | Y | N |
| CMND | CLEARMIND MEDICINE INC COM NEW | S | Y | N |
| CYCC | CYCLACEL PHARMACEUTICALS INC C | S | Y | N |
| DJT | TRUMP MEDIA & TECHNOLOGY GROUP | G | Y | N |
| EJH | E-HOME HOUSEHOLD SVC HLDGS LTD | S | Y | N |
| ERNZ | LISTED FDS TR TRUESHARES ACTIV | G | Y | N |
| FFIE | FARADAY FUTURE INTELLIGENT ELE | S | Y | N |
| JUNE | JUNEE LIMITED ORDINARY SHARES | S | Y | N |
| NIVF | NEWGENIVF GROUP LIMITED CL A | G | Y | N |
| NUWE | NUWELLIS INC COM NEW(DE) | S | Y | N |
| NVDS | INVESTMENT MANAGERS SER TR II | G | Y | N |
| NWGL | NATURE WOOD GROUP LTD SPONSORE | S | Y | N |
| RNAZ | TRANSCODE THERAPEUTICS INC COM | S | Y | N |
| SBFM | SUNSHINE BIOPHARMA INC COM PAR | S | Y | N |
| SGBX | SAFE & GREEN HLDGS CORP COM PA | S | Y | N |
| SGD | SAFE & GREEN DEV CORP COM | S | Y | N |
| SYT | SYLA TECHNOLOGIES CO LTD ADR ( | S | Y | N |
| TTOO | T2 BIOSYSTEMS INC COM PAR $0.0 | S | Y | N |
| WISA | WISA TECHNOLOGIES INC COM NEW | 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.
