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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) |
|---|
| 34 |
File Download
| Trade Date | Download Link | File Creation Timestamp |
|---|---|---|
| Tuesday, July 27, 2021 | Download | 7/27/2021 11:00:02 PM |
Threshold Security List
| Symbol | Security Name | Market Category | Reg SHO Threshold Flag | Rule 3210 |
|---|---|---|---|---|
| AEHL | ANTELOPE ENTERPRISE HLDGS LTD | S | Y | N |
| AEI | ALSET EHOME INTERNATIONAL INC. | S | Y | N |
| AHPI | ALLIED HEALTHCARE PRODS INC CO | S | Y | N |
| APOP | CELLECT BIOTECHNOLOGY LTD SPON | S | Y | N |
| BCOW | 1895 BANCORP WIS INC NEW COM ( | S | Y | N |
| BCTX | BRIACELL THERAPEUTICS INC COM | S | Y | N |
| BKCH | GLOBAL X FDS GLOBAL X BLOCKCHA | G | Y | N |
| BLFY | BLUE FDRY BANCORP COM (DE) | Q | Y | N |
| BLIN | BRIDGELINE DIGITAL INC COM PAR | S | Y | N |
| CARV | CARVER BANCORP INC COM STK NEW | S | Y | N |
| CRTD | CREATD INC COM PAR $0.001 | S | Y | N |
| CULL | CULLMAN BANCORP INC-MD COM (MD | S | Y | N |
| CYAD | CELYAD ONCOLOGY SA SPONSORED A | G | Y | N |
| DTSS | DATASEA INC COM NEW | S | Y | N |
| FFIE | FARADAY FUTURE INTELLIGENT ELE | G | Y | N |
| IINN | INSPIRA TECHNOLOGIES OXY B H N | S | Y | N |
| IMTE | INTEGRATED MEDIA TECHNOLOGY LT | S | Y | N |
| IRCP | IRSA PROPIEDADES COMERCIALES S | Q | Y | N |
| MDIA | MEDIACO HLDG INC CL A (IN) | S | Y | N |
| MRIN | MARIN SOFTWARE INC COM STK NEW | G | Y | N |
| NTEC | INTEC PHARMA LTD SHARES NEW (I | S | Y | N |
| OLD | JANUS DETROIT LONG TERM CARE E | G | Y | N |
| OXBR | OXBRIDGE RE HOLDINGS LTD ORD S | S | Y | N |
| PBBK | PB BANKSHARES INC COM (MD) | S | Y | N |
| SLVO | CREDIT SUISSE X-LINKS SILVER S | G | Y | N |
| SNPX | SYNAPTOGENIX INC | S | Y | N |
| SPRT | SUPPORT COM INC | S | Y | N |
| STAF | STAFFING 360 SOLUTIONS INC C | S | Y | N |
| TCBS | TEXAS CMNTY BANCSHARES INC COM | S | Y | N |
| THCPU | THUNDER BRDG CAP PARTNERS IV U | G | Y | N |
| TWCBU | BILANDER ACQUISITION CORP UNI | S | Y | N |
| VTNR | Vertex Energy, Inc | S | Y | N |
| WGRO | WISDOMTREE TR U S GROWTH & MOM | G | Y | N |
| YVR | LIQUID MEDIA GROUP LTD NEW COM | 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.
