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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
Friday, November 15, 2024 Download 11/15/2024 11:00:05 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ADTX ADITXT INC COM PAR $0.001 NEW S Y N
ALBT AVALON GLOBOCARE CORP COM PAR S Y N
AMIX AUTONOMIX MED INC COM NEW S Y N
APVO APTEVO THERAPEUTICS INC COM PA S Y N
BNZI BANZAI INTL INC CL A COM NEW S Y N
CLSKW CLEANSPARK INC WT EXP 12/29/28 S Y N
DBGI DIGITAL BRANDS GROUP INC COM P S Y N
DEVS DEVVSTREAM CORP COM (CAN) S Y N
DUO FANGDD NETWORK GROUP LTD SH NE S Y N
EDBL EDIBLE GARDEN AG INC COM PAR $ S Y N
ELAB ELEVAI LABS INC COM S Y N
ENSC ENSYSCE BIOSCIENCES INC COM PA S Y N
EVLVW EVOLV TECHNOLOGIES HLDGS INC W S Y N
FCEL FUELCELL ENERGY INC COM NEW G Y N
FGF FUNDAMENTAL GLOBAL INC. COMMON G Y N
FVNNR FUTURE VISION II ACQUISITION C S Y N
GCTK GLUCO TRACK INC COM PAR $0.00 S Y N
GV VISIONARY HLDGS INC COM NEW ( S Y N
IVP INSPIRE VETERINARY PARTNERS IN S Y N
JTAI JET AI INC COM NEW S Y N
KXIN KAIXIN HLDGS ORD SHS NEW US$0. S Y N
KZR KEZAR LIFE SCIENCES INC COM NE S Y N
LIXT LIXTE BIOTECHNOLOGY HLDGS INC S Y N
MAXN MAXEON SOLAR TECHNOLOGIES LTD Q Y N
MDJH MDJM LTD SHS (CYM) S Y N
MGRX MANGOCEUTICALS INC COM NEW (TX S Y N
MULN MULLEN AUTOMOTIVE INC COM PAR S Y N
NA NANO LABS LTD SHS NEW US$0.00 G Y N
NCNA NUCANA PLC SPONSORED ADR NEW S Y N
NKLA NIKOLA CORP COM NEW Q Y N
NMHI NATURES MIRACLE HLDG INC COM G Y N
NOVV NOVA VISION ACQUISITION CORP. S Y N
NUKK NUKKLEUS INC NEW COM NEW G Y N
NUWE NUWELLIS INC COM PAR $0.0001 S Y N
NVDD DIREXION SHS ETF TR DAILY NVDA G Y N
NVDS INVESTMENT MANAGERS SER TR II G Y N
NXL NEXALIN TECHNOLOGY INC COM NEW S Y N
PGYWW PAGAYA TECHNOLOGIES LTD WT EXP S Y N
SIDU SIDUS SPACE INC CL A COM NEW S Y N
SMX SMX SEC MATTERS PLC SHS CL A N S Y N
TSLZ ETF OPPORTUNITIES TR T-REX 2X G Y N
UPXI UPEXI INC COM NEW S Y N
VERB VERB TECHNOLOGY CO INC COM PAR S Y N
WCT WELLCHANGE HLDGS CO LTD SHS NE 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.