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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) |
|---|
| 36 |
File Download
| Trade Date | Download Link | File Creation Timestamp |
|---|---|---|
| Thursday, December 5, 2024 | Download | 12/5/2024 11:00:17 PM |
Threshold Security List
| Symbol | Security Name | Market Category | Reg SHO Threshold Flag | Rule 3210 |
|---|---|---|---|---|
| ACOG | ALPHA COGNITION INC NEW COM NE | S | Y | N |
| BNZI | BANZAI INTL INC CL A COM NEW | S | Y | N |
| CETX | CEMTREX INC COM PAR $.001 NEW | S | Y | N |
| CRWL | GRANITESHS ETF TR 2X LONG CRW | G | Y | N |
| CYCN | CYCLERION THERAPEUTICS INC COM | S | Y | N |
| FCEL | FUELCELL ENERGY INC COM NEW | G | Y | N |
| FFIE | FARADAY FUTURE INTELLIGENT ELE | S | Y | N |
| IDAI | T STAMP INC COM NEW (DE) | S | Y | N |
| IVDA | IVEDA SOLUTIONS INC COM PAR $. | S | Y | N |
| JFBR | JEFFS BRANDS LTD SHS NEW 2024 | S | Y | N |
| LAZR | LUMINAR TECHNOLOGIES INC. COM | Q | Y | N |
| LIFW | MSP RECOVERY INC CL A PAR 0.00 | G | Y | N |
| MSTX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| MULN | MULLEN AUTOMOTIVE INC COM PAR | S | Y | N |
| MYNZ | MAINZ BIOMED N V SHS NEW USD | S | Y | N |
| NCNA | NUCANA PLC SPONSORED ADR NEW | S | Y | N |
| NKLA | NIKOLA CORP COM NEW | Q | Y | N |
| NLSP | NLS PHARMACEUTICS LTD COM SHS | S | Y | N |
| NMHI | NATURES MIRACLE HLDG INC COM N | G | Y | N |
| NVDD | DIREXION SHS ETF TR DAILY NVDA | G | Y | N |
| NXL | NEXALIN TECHNOLOGY INC COM NEW | S | Y | N |
| PRAX | PRAXIS PRECISION MEDICINES INC | Q | Y | N |
| PRZO | PARAZERO TECHNOLOGIES LTD SHS | S | Y | N |
| QMMM | QMMM HLDGS LTD USD ORD SHS (CY | S | Y | N |
| REVB | REVELATION BIOSCIENCES INC COM | S | Y | N |
| RGTI | RIGETTI COMPUTING INC COM (DE) | S | Y | N |
| RXRX | RECURSION PHARMACEUTICALS INC | Q | Y | N |
| SARK | INVESTMENT MANAGERS SER TR II | G | Y | N |
| SBFM | SUNSHINE BIOPHARMA INC COM PAR | S | Y | N |
| TLX | TELIX PHARMACEUTICALS LTD SPON | Q | Y | N |
| TOI | THE ONCOLOGY INSTITUTE, INC. C | S | Y | N |
| TRNR | INTERACTIVE STRENGTH INC COM P | S | Y | N |
| TSDD | GRANITESHARES ETF TR 2X SHORT | G | Y | N |
| WAVE | ECO WAVE PWR GLOBAL AB PUBLIC | S | Y | N |
| WLDS | WEARABLE DEVICES LTD SHS NEW ( | S | Y | N |
| ZENA | ZENATECH INC COM NEW (CAN) | 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.
