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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) |
|---|
| 42 |
File Download
| Trade Date | Download Link | File Creation Timestamp |
|---|---|---|
| Friday, November 29, 2024 | Download | 11/29/2024 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 |
| 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 |
| CONL | GRANITESHARES ETF TR 2X LONG | G | Y | N |
| CRWL | GRANITESHS ETF TR 2X LONG CRW | G | Y | N |
| DBGI | DIGITAL BRANDS GROUP INC COM P | S | Y | N |
| ENSC | ENSYSCE BIOSCIENCES INC COM PA | S | Y | N |
| FFIE | FARADAY FUTURE INTELLIGENT ELE | S | Y | N |
| GCTK | GLUCO TRACK INC COM PAR $0.00 | S | Y | N |
| IVDA | IVEDA SOLUTIONS INC COM PAR $. | S | Y | N |
| IVP | INSPIRE VETERINARY PARTNERS IN | S | Y | N |
| LAZR | LUMINAR TECHNOLOGIES INC. COM | Q | Y | N |
| LIFW | MSP RECOVERY INC CL A PAR 0.00 | G | Y | N |
| MSTX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| MULN | MULLEN AUTOMOTIVE INC COM PAR | S | Y | N |
| MYNZ | MAINZ BIOMED N V SHS USD (NLD) | S | 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 N | 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 |
| PRAX | PRAXIS PRECISION MEDICINES INC | Q | Y | N |
| PSTR | NORTHERN LTS FD TR II PEAKSHAR | G | Y | N |
| QLGN | QUALIGEN THERAPEUTICS INC COM | S | Y | N |
| RGTI | RIGETTI COMPUTING INC COM (DE) | S | Y | N |
| SIDU | SIDUS SPACE INC CL A COM NEW | S | Y | N |
| SQQQ | PROSHARES TR ULTRAPRO SHORT QQ | G | Y | N |
| TLX | TELIX PHARMACEUTICALS LTD SPON | Q | Y | N |
| TOI | THE ONCOLOGY INSTITUTE, INC. C | S | Y | N |
| TRNR | INTERACTIVE STRENGTH INC COM P | S | Y | N |
| TSDD | GRANITESHARES ETF TR 2X SHORT | G | Y | N |
| UPXI | UPEXI INC COM NEW | S | Y | N |
| USAU | U S GOLD CORP 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 |
| XCUR | EXICURE INC COM PAR $0.0001 | S | Y | N |
| ZENA | ZENATECH INC COM NEW (CAN) | 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.
