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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)
45

File Download

Trade Date Download Link File Creation Timestamp
Wednesday, December 18, 2024 Download 12/18/2024 11:00:16 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
APDN APPLIED DNA SCIENCES INC COM P S Y N
AVGX TIDAL TR II DEFIANCE DAILY TAR G Y N
CDIO CARDIO DIAGNOSTICS HLDGS INC C S Y N
CETX CEMTREX INC COM PAR $.001 NEW S Y N
CNEY CN ENERGY GROUP INC. SHS NEW U S Y N
CRKN CROWN ELECTROKINETICS CORP COM S Y N
CRVO CERVOMED INC COM S Y N
CYCN CYCLERION THERAPEUTICS INC COM S Y N
CYN CYNGN INC COM NEW S Y N
EURKR EUREKA ACQUISITION CORP RT 01/ S Y N
FFIE FARADAY FUTURE INTELLIGENT ELE S Y N
GXAI GAXOS.AI INC COM PAR $0.0001 ( S Y N
IPHA INNATE PHARMA S A SPONSORED AD Q Y N
JFBR JEFFS BRANDS LTD SHS NEW 2024 S Y N
LDTC LEDDARTECH HLDGS INC COM(CAN) G Y N
LITM SNOW LAKE RESOURCES LTD. COMMO S Y N
LNKS LINKERS INDS LTD ORD SHS CL A S Y N
MDAI SPECTRAL AI INC CL A S Y N
MSPR MSP RECOVERY INC CL A PAR 0.00 S Y N
MULN MULLEN AUTOMOTIVE INC COM PAR S Y N
NCNA NUCANA PLC SPONSORED ADR NEW S Y N
NIVF NEWGENIVF GROUP LIMITED CL A G 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
NNE NANO NUCLEAR ENERGY INC. COMMO S Y N
PLTU DIREXION SHS ETF TR DAILY PLTR G Y N
PRZO PARAZERO TECHNOLOGIES LTD SHS S Y N
RGTIW RIGETTI COMPUTING INC WT EXP ( S Y N
RKDA ARCADIA BIOSCIENCES INC COM PA S Y N
RXRX RECURSION PHARMACEUTICALS INC Q Y N
SARK INVESTMENT MANAGERS SER TR II G Y N
SHLT SHL TELEMEDICINE LTD SPONSORED S Y N
SMST TIDAL TR II DEFIANCE DAILY TAR G Y N
SRM SRM ENTMT INC COM S Y N
SVMH SRIVARU HLDG LTD ORD SH (CYM) G Y N
TRNR INTERACTIVE STRENGTH INC COM P S Y N
TSDD GRANITESHARES ETF TR 2X SHORT G Y N
TSLS DIREXION SHS ETF TR DAILY TSLA G Y N
VCIG VCI GLOBAL LTD SHS NEW (VGB) S Y N
VMAR VISION MARINE TECHNOLOGIES INC 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
XOVR ENTREPRENEURSHARES SER TR ERSH 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.