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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) |
|---|
| 35 |
File Download
| Trade Date | Download Link | File Creation Timestamp |
|---|---|---|
| Thursday, October 3, 2024 | Download | 10/3/2024 11:00:06 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 |
| ARQQ | ARQIT QUANTUM INC COM NEW (CY | S | Y | N |
| BBLG | BONE BIOLOGICS CORP COM NEW DE | S | Y | N |
| BNZI | BANZAI INTL INC CL A COM NEW | G | Y | N |
| CNEY | CN ENERGY GROUP INC. SHS NEW U | S | Y | N |
| FCA | FIRST TRUST CHINA ALPHADEX FUN | G | Y | N |
| FFIE | FARADAY FUTURE INTELLIGENT ELE | S | Y | N |
| FRGT | FREIGHT TECHNOLOGIES INC SHS N | S | Y | N |
| GDHG | GOLDEN HEAVEN GROUP HLDGS LTD | S | Y | N |
| GLE | GLOBAL ENGINE GROUP HLDG LTD U | S | Y | N |
| GLXG | GALAXY PAYROLL GROUP LTD SHS ( | S | Y | N |
| GSIW | GARDEN STAGE LTD USD ORD SHS ( | S | Y | N |
| ISPC | ISPECIMEN INC COM NEW (DE) | S | Y | N |
| IVP | INSPIRE VETERINARY PARTNERS IN | S | Y | N |
| KTTA | PASITHEA THERAPEUTICS CORP COM | S | Y | N |
| LASE | LASER PHOTONICS CORP COM (DE) | S | Y | N |
| LRHC | LA ROSA HLDGS CORP COM | S | Y | N |
| MULN | MULLEN AUTOMOTIVE INC COM PAR | S | Y | N |
| NCNA | NUCANA PLC SPONSORED ADR NEW | S | Y | N |
| NOVV | NOVA VISION ACQUISITION CORP. | S | Y | N |
| NVDD | DIREXION SHS ETF TR DAILY NVDA | G | Y | N |
| OTRK | ONTRAK INC COM COM PAR $0.0001 | S | Y | N |
| PBM | PSYENCE BIOMEDICAL LTD COM | G | Y | N |
| PEGY | PINEAPPLE ENERGY INC COM NEW | S | Y | N |
| RILY | B. RILEY FINANCIAL, INC. COMMO | G | Y | N |
| RSLS | RESHAPE LIFESCIENCES INC NEW C | S | Y | N |
| SMCX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| TGL | TREASURE GLOBAL INC COM NEW | S | Y | N |
| TNON | TENON MED INC COM COM PAR $ | S | Y | N |
| TSLS | DIREXION SHS ETF TR DAILY TSLA | G | Y | N |
| TSLZ | ETF OPPORTUNITIES TR T-REX 2X | G | Y | N |
| UPC | UNIVERSE PHARMACEUTICALS INC S | S | Y | N |
| VRAX | VIRAX BIOLABS GROUP LTD SHS NE | S | Y | N |
| WHLR | WHEELER REAL ESTATE INVT TR IN | S | Y | N |
| XHG | XCHANGE TEC.INC AMERICAN DEPOS | 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.
