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)
37

File Download

Trade Date Download Link File Creation Timestamp
Wednesday, July 2, 2025 Download 7/2/2025 11:00:20 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
AGMH AGM GROUP HLDGS INC USD CL A O S Y N
ASTI ASCENT SOLAR TECHNOLOGIES INC S Y N
CAPR CAPRICOR THERAPEUTICS INC COM S Y N
CERO CERO THERAPEUTICS HLDGS INC C S Y N
CONI GRANITESHARES ETF TR 2X SHORT G Y N
DFLI DRAGONFLY ENERGY HLDGS CORP CO S Y N
ECDA ECD AUTOMOTIVE DESIGN INC COM S Y N
ELFY ALPS ETF TR ELECTRIFICATION IN G Y N
GOVX GEOVAX LABS INC COM PAR $0.001 S Y N
GVH GLOBAVEND HLDGS LTD USD ORD SH S Y N
HSDT HELIUS MED TECHNOLOGIES INC CO S Y N
HYPD EYENOVIA INC COM NEW (DE) S Y N
INM INMED PHARMACEUTICALS INC COM S Y N
INMB INMUNE BIO INC COM ACCD INV ( S Y N
IQQQ PROSHARES TR NASDAQ-100 HIGH I G Y N
MODV MODIVCARE INC. COM Q Y N
MSTX TIDAL TR II DEFIANCE DAILY TAR G Y N
MULN MULLEN AUTOMOTIVE INC COM NEW S Y N
NCNA NUCANA PLC SPONSORED ADR NEW S Y N
NIVF NEWGENIVF GROUP LIM USD CL A O S Y N
OBLG OBLONG INC COM PAR $0.0001 (D S Y N
ONMD ONEMEDNET CORP CL A S Y N
PLTZ TIDAL TR II DEFIANCE DAILY TA G Y N
RBNE ROBIN ENERGY LTD COM (MHL) S Y N
RELI RELIANCE GLOBAL GROUP INC COM S Y N
RFEM FIRST TRUST III RIVERFRONT DYN G Y N
RSLS RESHAPE LIFESCIENCES INC NEW C S Y N
SBET SHARPLINK GAMING INC COM NEW S Y N
SLRX SALARIUS PHARMACEUTICALS INC C S Y N
SLS SELLAS LIFE SCIENCES GROUP INC S Y N
SMCZ TIDAL TR II DEFIANCE DAILY TAR G Y N
SONM SONIM TECHNOLOGIES INC COM PAR S Y N
SYTA SIYATA MOBILE INC COM NO PAR 2 S Y N
TNFA TNF PHARMACEUTICALS, INC. COMM S Y N
TSLG THEMES ETF TR LEVERAGE SHARES G Y N
UPXI UPEXI INC COM NEW 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.