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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) |
|---|
| 30 |
File Download
| Trade Date | Download Link | File Creation Timestamp |
|---|---|---|
| Tuesday, September 17, 2024 | Download | 9/17/2024 11:00:05 PM |
Threshold Security List
| Symbol | Security Name | Market Category | Reg SHO Threshold Flag | Rule 3210 |
|---|---|---|---|---|
| APDN | APPLIED DNA SCIENCES INC COM P | S | Y | N |
| ASST | ASSET ENTITIES INC CL B NEW | S | Y | N |
| BKYI | BIO-KEY INTL INC COM PAR $0.00 | S | Y | N |
| BLMZ | BLOOMZ INC. ORD SHS NEW US$0.0 | S | Y | N |
| BOF | BRANCHOUT FOOD INC COM | S | Y | N |
| EJH | E-HOME HOUSEHOLD SVC HLDGS LTD | S | Y | N |
| ETHA | ISHARES ETHEREUM TR ETF SHS | G | Y | N |
| FFIE | FARADAY FUTURE INTELLIGENT ELE | S | Y | N |
| FRGT | FREIGHT TECHNOLOGIES INC SHS N | S | Y | N |
| GLMD | GALMED PHARMACEUTICALS LTD SHS | S | Y | N |
| INBS | INTELLIGENT BIO SOLUTIONS INC | S | Y | N |
| IVP | INSPIRE VETERINARY PARTNERS IN | S | Y | N |
| LASE | LASER PHOTONICS CORP COM (DE) | S | Y | N |
| MULN | MULLEN AUTOMOTIVE INC COM PAR | S | Y | N |
| OBLG | OBLONG INC COM PAR $0.0001 (D | S | Y | N |
| PEGY | PINEAPPLE ENERGY INC COM NEW | S | Y | N |
| SARK | INVESTMENT MANAGERS SER TR II | G | Y | N |
| SMX | SMX SEC MATTERS PLC SHS CL A N | S | Y | N |
| SPCB | SUPERCOM LTD NEW ORD SH PAR VA | S | Y | N |
| TANH | TANTECH HLDGS LTD SHS NEW US$0 | S | Y | N |
| TCBP | TC BIOPHARM HLDGS PLC SPONSORE | 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 |
| WINT | WINDTREE THERAPEUTICS INC COM | S | Y | N |
| WISA | WISA TECHNOLOGIES INC COM NEW | S | Y | N |
| XRTX | XORTX THERAPEUTICS INC COM PAR | 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.
