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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) |
|---|
| 62 |
File Download
| Trade Date | Download Link | File Creation Timestamp |
|---|---|---|
| Friday, January 3, 2025 | Download | 1/3/2025 11:00:19 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 |
| ACON | ACLARION INC COM NEW | S | Y | N |
| ADTX | ADITXT INC COM PAR $0.001 NEW | S | Y | N |
| AISP | AIRSHIP AI HLDGS INC COM(DE) | G | Y | N |
| APDN | APPLIED DNA SCIENCES INC COM P | S | Y | N |
| AVGX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| CANC | TEMA ETF TR ONCOLOGY ETF | G | Y | N |
| CASK | HERITAGE DISTILLING HLDG CO IN | S | Y | N |
| CERO | CERO THERAPEUTICS HLDGS INC C | G | Y | N |
| CMND | CLEARMIND MEDICINE INC COM NEW | S | Y | N |
| CREV | CARBON REVOLUTION LTD ORD SH ( | G | Y | N |
| CRKN | CROWN ELECTROKINETICS CORP COM | S | Y | N |
| CYN | CYNGN INC COM NEW | S | Y | N |
| EVAX | EVAXION BIOTECH A/S ADS (DNK) | S | Y | N |
| FRSX | FORESIGHT AUTONOMOUS HLDGS LTD | S | Y | N |
| GRRR | GORILLA TECHNOLOGY GROUP INC O | S | Y | N |
| GXAI | GAXOS.AI INC COM PAR $0.0001 ( | S | Y | N |
| HOVR | NEW HORIZON AIRCRAFT LTD COM ( | S | Y | N |
| JFBR | JEFFS BRANDS LTD SHS NEW 2024 | S | Y | N |
| KITT | NAUTICUS ROBOTICS INC COM NEW | S | Y | N |
| KZIA | KAZIA THERAPEUTICS LTD ADR LEV | S | Y | N |
| LDTC | LEDDARTECH HLDGS INC COM(CAN) | G | Y | N |
| LITM | SNOW LAKE RESOURCES LTD. COMMO | S | Y | N |
| LUXH | LUXURBAN HOTELS INC COM NEW | S | Y | N |
| MDAI | SPECTRAL AI INC CL A | S | Y | N |
| MULN | MULLEN AUTOMOTIVE INC COM PAR | S | Y | N |
| MYNA | MYNARIC AG ADS (DEU) | Q | Y | N |
| MYSZ | MY SIZE INC COM PAR $0.001 NEW | S | Y | N |
| NIVF | NEWGENIVF GROUP LIMITED CL A | G | Y | N |
| NKLA | NIKOLA CORP COM NEW | Q | Y | N |
| NNE | NANO NUCLEAR ENERGY INC. COMMO | S | Y | N |
| NTCL | NETCLASS TECHNOLOGY INC USD CL | S | Y | N |
| NUKK | NUKKLEUS INC NEW COM NEW | G | Y | N |
| ONCO | ONCONETIX, INC. COMMON STOCK | S | Y | N |
| PLL | PIEDMONT LITHIUM INC COM (DE) | S | Y | N |
| PLTD | DIREXION SHS ETF TR DAILY PLTR | G | Y | N |
| PLTU | DIREXION SHS ETF TR DAILY PLTR | G | Y | N |
| PRZO | PARAZERO TECHNOLOGIES LTD SHS | S | Y | N |
| PWM | PRESTIGE WEALTH INC. USD CL A | S | Y | N |
| QTUM | ETF SER SOLUTIONS DEFIANCE QUA | G | Y | N |
| QUBT | QUANTUM COMPUTING INC COM | S | Y | N |
| RANGU | RANGE CAP ACQUISITION CORP UNI | G | Y | N |
| RNWWW | RENEW ENERGY GLOBAL PLC WT EXP | Q | Y | N |
| SIDU | SIDUS SPACE INC CL A COM NEW | S | Y | N |
| SMST | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SOBR | SOBR SAFE INC COM PAR $0.001 | S | Y | N |
| SVMH | SRIVARU HLDG LTD ORD SH (CYM) | G | Y | N |
| SVRE | SAVERONE 2014 LTD ADS REPSTG O | S | Y | N |
| SYTA | SIYATA MOBILE INC COM NO PAR 2 | S | Y | N |
| TANH | TANTECH HLDGS LTD SHS NEW US$0 | S | Y | N |
| TARA | PROTARA THERAPEUTICS INC | G | Y | N |
| TRUG | TRUGOLF HLDGS INC CL A | G | Y | N |
| TSDD | GRANITESHARES ETF TR 2X SHORT | G | Y | N |
| VCIG | VCI GLOBAL LTD SHS NEW (VGB) | S | Y | N |
| VMAR | VISION MARINE TECHNOLOGIES INC | S | Y | N |
| VOLT | TEMA ETF TR ELECTRIFICATION ET | G | Y | N |
| WBUY | WEBUY GLOBAL LTD. USD ORD SHS | S | Y | N |
| WHLR | WHEELER REAL ESTATE INVT TR IN | S | Y | N |
| WKEY | WISEKEY INTL HLDGS S A SPONSOR | G | Y | N |
| WYHG | WING YIP FOOD HLDGS GROUP LTD | S | Y | N |
| ZAPP | ZAPP ELEC VEHS GROUP LTD ORD S | S | Y | N |
| ZCAR | ZOOMCAR HLDGS INC COM COM NEW | G | 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.
