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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) |
|---|
| 37 |
File Download
| Trade Date | Download Link | File Creation Timestamp |
|---|---|---|
| Tuesday, September 2, 2025 | Download | 9/2/2025 11:00:05 PM |
Threshold Security List
| Symbol | Security Name | Market Category | Reg SHO Threshold Flag | Rule 3210 |
|---|---|---|---|---|
| AAPD | DIREXION SHS ETF TR DAILY AAPL | G | Y | N |
| AEMD | AETHLON MED INC COM PAR $0.001 | S | Y | N |
| ASST | ASSET ENTITIES INC CL B NEW | S | Y | N |
| BINI | BOLLINGER INNOVATIONS INC COM | S | Y | N |
| BNC | CEA IND INC COM NEW PAR $0.000 | S | Y | N |
| BNZI | BANZAI INTL INC CL A COM PAR $ | S | Y | N |
| BSLK | BOLT PROJS HLDGS INC COM NEW | G | Y | N |
| BUUU | BUUU GROUP LTD USD CL A ORD SH | S | Y | N |
| CRCG | THEMES ETF TR LEVERAGE SHARES | G | Y | N |
| CRWG | THEMES ETF TR LEVERAGE SHARES | G | Y | N |
| ECDA | ECD AUTOMOTIVE DESIGN INC COM | S | Y | N |
| ETHZ | ETHZILLA CORPORATION COMMON ST | S | Y | N |
| HCWB | HCW BIOLOGICS INC COM NEW | S | Y | N |
| HIMZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| INHD | INNO HLDGS INC COM NEW (TX) | S | Y | N |
| IONZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| MOB | MOBILICOM LTD ADS (AUS) | S | Y | N |
| MRM | MEDIROM HEALTHCARE TECH INC SP | S | Y | N |
| NUTR | NUSATRIP INC COM | S | Y | N |
| OBIO | ORCHESTRA BIOMED HOLDINGS, INC | G | Y | N |
| OP | OCEANPAL INC COM PAR $0.01 NEW | S | Y | N |
| PLTZ | TIDAL TR II DEFIANCE DAILY TA | G | Y | N |
| PPCB | PROPANC BIOPHARMA INC COM PAR | S | Y | N |
| QMMM | QMMM HLDGS LTD SHS NEW US$0.00 | S | Y | N |
| RAY | RAYTECH HLDG LTD USD ORD SHS ( | S | Y | N |
| SGBX | SAFE & GREEN HLDGS CORP COM PA | S | Y | N |
| SGD | SAFE & GREEN DEV CORP COM NEW | S | Y | N |
| SMCX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SMCZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SMHX | VANECK ETF TR FABLESS SEMICOND | G | Y | N |
| STSS | SHARPS TECHNOLOGY INC COM PAR | S | Y | N |
| THAR | THARIMMUNE INC COM PAR | S | Y | N |
| TNFA | TNF PHARMACEUTICALS, INC. COMM | S | Y | N |
| UPXI | UPEXI INC COM NEW | S | Y | N |
| WORX | SCWORX CORP COM NEW (DE) | S | Y | N |
| WYFI | WHITEFIBER INC SHS (CYM) | S | Y | N |
| XXII | 22ND CENTY GROUP INC COM NEW 2 | 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.
