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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)
22

File Download

Trade Date Download Link File Creation Timestamp
Wednesday, November 29, 2023 Download 11/29/2023 11:00:07 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ABVC ABVC BIOPHARMA INC COM NEW S Y N
AUVI APPLIED UV INC NV COM S Y N
BYND BEYOND MEAT INC COM (DE) Q Y N
CDIO CARDIO DIAGNOSTICS HLDGS INC C S Y N
CREV CARBON REVOLUTION LTD ORD SH ( G Y N
DRCT DIRECT DIGITAL HLDGS INC CL A S Y N
FDIV EA SER TR MARKETDESK FOCUSED U G Y N
IMPL IMPEL PHARMACEUTICALS INC COM G Y N
INBS INTELLIGENT BIO SOLUTIONS INC S Y N
INVO INVO BIOSCIENCE INC COM PAR $0 S Y N
MCAF MOUNTAIN CREST ACQUISITION COR S Y N
MOTS MOTUS GI HLDGS INC COM PAR $0. S Y N
MRAI MARPAI INC CL A COM NEW S Y N
PRZO PARAZERO TECHNOLOGIES LTD SHS S Y N
PXMD PAXMEDICA INC COM NEW (DE) S Y N
SGD SAFE & GREEN DEV CORP COM S Y N
SHOT SAFETY SHOT, INC. COMMON STOCK S Y N
SINT SINTX TECHNOLOGIES INC COM COM S Y N
SVRE SAVERONE 2014 LTD ADS REPSTG O S Y N
VLCN VOLCON INC COM NEW S Y N
WAVD WAVEDANCER INC COM NEW (DE) S Y N
WHLR WHEELER REAL ESTATE INVT TR IN 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.