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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) |
|---|
| 44 |
File Download
| Trade Date | Download Link | File Creation Timestamp |
|---|---|---|
| Wednesday, November 13, 2024 | Download | 11/13/2024 11:00:15 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 |
| CNSP | CNS PHARMACEUTICALS INC. COM C | S | Y | N |
| DBGI | DIGITAL BRANDS GROUP INC COM P | S | Y | N |
| DUO | FANGDD NETWORK GROUP LTD SH NE | S | Y | N |
| EDBL | EDIBLE GARDEN AG INC COM PAR $ | S | Y | N |
| ENSC | ENSYSCE BIOSCIENCES INC COM PA | S | Y | N |
| EVLVW | EVOLV TECHNOLOGIES HLDGS INC W | S | 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 |
| HERD | PACER FDS TR CASH COWS FD FDS | G | Y | N |
| IVP | INSPIRE VETERINARY PARTNERS IN | S | Y | N |
| JTAI | JETAI INC COM | 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 |
| 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 |
| ORKT | ORANGEKLOUD TECHNOLOGY INC. CL | S | Y | N |
| PGYWW | PAGAYA TECHNOLOGIES LTD WT EXP | S | Y | N |
| PXDT | PIXIE DUST TECHNOLOGIES INC SP | S | Y | N |
| SGD | SAFE & GREEN DEV CORP 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 |
| WHLR | WHEELER REAL ESTATE INVT TR IN | 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.
