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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)
46

File Download

Trade Date Download Link File Creation Timestamp
Friday, November 22, 2024 Download 11/22/2024 11:00:06 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ACOG ALPHA COGNITION INC NEW COM NE S Y N
ADTX ADITXT INC COM PAR $0.001 NEW S Y N
AMIX AUTONOMIX MED INC COM NEW S Y N
ANTX AN2 THERAPEUTICS INC COM Q Y N
BNZI BANZAI INTL INC CL A COM NEW S Y N
BTCT BTC DIGITAL LTD ORD SHS NEW US S Y N
BTM BITCOIN DEPOT INC COM S Y N
CLSKW CLEANSPARK INC WT EXP 12/29/28 S Y N
CONL GRANITESHARES ETF TR 2X LONG G Y N
DBGI DIGITAL BRANDS GROUP INC COM P S Y N
ENSC ENSYSCE BIOSCIENCES INC COM PA S Y N
FCEL FUELCELL ENERGY INC COM NEW G Y N
FTXO FIRST TR ETF VI NASDAQ BK ETF G Y N
GCTK GLUCO TRACK INC COM PAR $0.00 S Y N
IVP INSPIRE VETERINARY PARTNERS IN S Y N
KXIN KAIXIN HLDGS ORD SHS NEW US$0. S Y N
KZR KEZAR LIFE SCIENCES INC COM NE S Y N
MGRX MANGOCEUTICALS INC COM NEW (TX S Y N
MULN MULLEN AUTOMOTIVE INC COM PAR S Y N
MYNZ MAINZ BIOMED N V SHS USD (NLD) S Y N
NA NANO LABS LTD SHS NEW US$0.00 G Y N
NCNA NUCANA PLC SPONSORED ADR NEW S Y N
NCTY THE9 LTD SPONSORED ADS NEW 202 S Y N
NKLA NIKOLA CORP COM NEW Q Y N
NMHI NATURES MIRACLE HLDG INC COM G 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
PSTR NORTHERN LTS FD TR II PEAKSHAR G Y N
RGTI RIGETTI COMPUTING INC COM (DE) S Y N
SDSI AMERICAN CENTY ETF TR SHORT DU G 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
SQQQ PROSHARES TR ULTRAPRO SHORT QQ G Y N
STSS SHARPS TECHNOLOGY INC COM NEW S Y N
TRNR INTERACTIVE STRENGTH INC COM P S Y N
TSDD GRANITESHARES ETF TR 2X SHORT G Y N
TSL GRANITESHARES ETF TR 1.25X LON G Y N
UPXI UPEXI INC COM NEW S Y N
VERB VERB TECHNOLOGY CO INC COM PAR S Y N
VLCN VOLCON INC COM PAR $0.00001 NE S Y N
WLDS WEARABLE DEVICES LTD SHS NEW ( S Y N
XAIX DBX ETF TR XTRACKERS ARTIFICIA G 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.