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)
32

File Download

Trade Date Download Link File Creation Timestamp
Friday, May 24, 2024 Download 5/24/2024 11:00:15 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
AEMD AETHLON MED INC COM PAR $0.001 S Y N
AKAN AKANDA CORP COM NEW (CAN) S Y N
ALLR ALLARITY THERAPEUTICS INC COM S Y N
ASTI ASCENT SOLAR TECHNOLOGIES INC S Y N
AWIN AERWINS TECHNOLOGIES INC COM N S Y N
BCAN BYND CANNASOFT ENTERPRISES INC S Y N
BDRX BIODEXA PHARMACEUTICALS INC SP S Y N
BYND BEYOND MEAT INC COM (DE) Q Y N
CETX CEMTREX INC COM PAR $ NEW 2023 S Y N
CGC CANOPY GROWTH CORP COM NEW (CA Q Y N
CISS C3IS INC COM NEW (MHL) S Y N
CYCC CYCLACEL PHARMACEUTICALS INC C S Y N
DJT TRUMP MEDIA & TECHNOLOGY GROUP G Y N
DUO FANGDD NETWORK GROUP LTD SPONS G Y N
EDBL EDIBLE GARDEN AG INC COM PAR $ S 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
ICOP ISHARES TR COPPER & METALS MNG G Y N
JUNE JUNEE LIMITED ORDINARY SHARES S Y N
LIDR AEYE INC CL A NEW S Y N
NVD GRANITESHARES ETF TR 2X SHORT G Y N
OPTZ ADVISOR MANAGED PORTFOLIOS OPT G Y N
PAL PROFICIENT AUTO LOGISTICS INC Q Y N
PEGY PINEAPPLE ENERGY INC COM S Y N
PSTR NORTHERN LTS FD TR II PEAKSHAR G Y N
REBN REBORN COFFEE INC COM (DE) 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
TIRX TIAN RUIXIANG HLDGS LTD CL A O 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.