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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) |
|---|
| 29 |
File Download
| Trade Date | Download Link | File Creation Timestamp |
|---|---|---|
| Friday, May 9, 2025 | Download | 5/9/2025 11:00:06 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 |
| AAPU | DIREXION SHS ETF TR DAILY AAPL | G | Y | N |
| AEHL | ANTELOPE ENTERPRISE HLDGS LTD | S | Y | N |
| AREB | AMERICAN REBEL HLDGS INC COM N | S | Y | N |
| BNZI | BANZAI INTL INC CL A COM NEW | S | Y | N |
| BON | BON NAT LIFE LTD USD CL A SHS | S | Y | N |
| CASK | HERITAGE DISTILLING HLDG CO IN | S | Y | N |
| CUPR | CUPRINA HLDGS (CAYMAN) LTD USD | S | Y | N |
| DGLY | DIGITAL ALLY INC NEW COM PAR $ | S | Y | N |
| FRGT | FREIGHT TECHNOLOGIES INC SHS N | S | Y | N |
| GNLN | GREENLANE HLDGS INC CL A PAR V | S | Y | N |
| HCTI | HEALTHCARE TRIANGLE INC COM NE | S | Y | N |
| HEPA | HEPION PHARMACEUTICALS INC COM | S | Y | N |
| ICCT | ICORECONNECT INC COM NEW | S | Y | N |
| IONX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| IVF | INVO FERTILITY, INC. COMMON ST | S | Y | N |
| IXHL | INCANNEX HEALTHCARE INC COM | G | Y | N |
| KIDZ | CLASSOVER HLDGS INC COM CL B | G | Y | N |
| MULN | MULLEN AUTOMOTIVE INC COM NEW | S | Y | N |
| NAOV | NANOVIBRONIX INC COM PAR $0.00 | S | Y | N |
| NCNA | NUCANA PLC SPONSORED ADR NEW | S | Y | N |
| PLRZ | POLYRIZON LTD SHS (ISR) | S | Y | N |
| PSTV | PLUS THERAPEUTICS INC COM PAR | S | Y | N |
| PTPI | PETROS PHARMACEUTICALS INC COM | S | Y | N |
| SMCX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| STKH | STEAKHOLDER FOODS LTD SPONSORE | S | Y | N |
| TNFA | TNF PHARMACEUTICALS, INC. COMM | S | Y | N |
| UPXI | UPEXI INC COM NEW | S | Y | N |
| WW | WW INTL INC COM | Q | 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.
