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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)
34

File Download

Trade Date Download Link File Creation Timestamp
Tuesday, March 18, 2025 Download 3/18/2025 11:00:06 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ACON ACLARION INC COM PAR $0.00001 S Y N
ALLW SSGA ACTIVE TR BRIDGEWATER AL G Y N
BNZI BANZAI INTL INC CL A COM NEW S Y N
BTOG BIT ORIGIN LTD SHS NEW (CYM) S Y N
DGLY DIGITAL ALLY INC NEW COM NEW S Y N
DWTX DOGWOOD THERAPEUTICS INC COM N S Y N
EJH E-HOME HOUSEHOLD SVC HLDGS LTD S Y N
GV VISIONARY HLDGS INC COM NEW ( S Y N
HEPA HEPION PHARMACEUTICALS INC COM S Y N
ICON ICON ENERGY CORP COM (MHL) S Y N
KWE KWESST MICRO SYS INC COM NO PA S Y N
LAES SEALSQ CORP ORD SHS (VGB) S Y N
MLGO MICROALGO INC USD ORD SHS PAR S Y N
MULN MULLEN AUTOMOTIVE INC COM NEW S Y N
NIPG NIP GROUP INC. SPONSORED ADS ( G Y N
NVD GRANITESHARES ETF TR 2X SHORT G Y N
NVDD DIREXION SHS ETF TR DAILY NVDA G Y N
NWTG NEWTON GOLF COMPANY, INC. COMM S Y N
ONCO ONCONETIX, INC. COMMON STOCK S Y N
PSTV PLUS THERAPEUTICS INC COM PAR S Y N
RILYN B RILEY FINL INC 6.5% SR NT DU G Y N
RIME ALGORHYTHM HLDGS INC COM PAR $ S Y N
SMCL GRANITESHS ETF TR 2X LONG SMCI G Y N
SMCX TIDAL TR II DEFIANCE DAILY TAR G Y N
SMST TIDAL TR II DEFIANCE DAILY TAR G Y N
STI SOLIDION TECHNOLOGY INC COM G Y N
STSS SHARPS TECHNOLOGY INC COM NEW S Y N
SUNE SUNATION ENERGY, INC. COMMON S S Y N
TARK INVESTMENT MANAGERS SER TR II G Y N
TMB THORNBURG ETF TR MULTI SECTOR G Y N
TRNR INTERACTIVE STRENGTH INC COM P S Y N
TSLL DIREXION SHS ETF TR DAILY TSLA G Y N
VBIL VANGUARD INSTL INDEX FD 0-3 MO G Y N
WCT WELLCHANGE HLDGS CO LTD SHS NE 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.