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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)
31

File Download

Trade Date Download Link File Creation Timestamp
Tuesday, June 17, 2025 Download 6/17/2025 11:00:07 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
AGMH AGM GROUP HLDGS INC USD CL A O S Y N
ASST ASSET ENTITIES INC CL B NEW S Y N
BMGL BASEL MED GROUP LTD ORD SHS (V S Y N
CANQ CALAMOS ETF TRUST CALAMOS NASD G Y N
CERO CERO THERAPEUTICS HLDGS INC C S Y N
DGLY DIGITAL ALLY INC NEW COM PAR $ S Y N
ELFY ALPS ETF TR ELECTRIFICATION IN G Y N
ENTO ENTERO THERAPEUTICS INC COM P S Y N
EWZS ISHARES MSCI BRAZIL SMALL CAP G Y N
EYEN EYENOVIA INC COM NEW (DE) S Y N
HSDT HELIUS MED TECHNOLOGIES INC CO S Y N
IMNN IMUNON, INC. COMMON STOCK S Y N
KZIA KAZIA THERAPEUTICS LTD SPONSOR S Y N
MEGL MAGIC EMPIRE GLOBAL LTD SHS NE S Y N
MODV MODIVCARE INC. COM Q 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
NEHC NEW ERA HELIUM INC COM (DE) G Y N
NLSP NLS PHARMACEUTICS LTD COM SHS S Y N
NUWE NUWELLIS INC COM PAR $0.0001 S Y N
NVDD DIREXION SHS ETF TR DAILY NVDA G Y N
PTIX PROTAGENIC THERAPEUTICS INC CO S Y N
RSLS RESHAPE LIFESCIENCES INC NEW C S Y N
SBET SHARPLINK GAMING INC COM NEW S Y N
SILO SILO PHARMA INC COM NEW(NV) S Y N
TNFA TNF PHARMACEUTICALS, INC. COMM S Y N
WINT WINDTREE THERAPEUTICS INC COM S Y N
XTIA XTI AEROSPACE INC COM COM NEW 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.