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)
23

File Download

Trade Date Download Link File Creation Timestamp
Wednesday, July 15, 2020 Download 7/15/2020 11:00:32 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
AAXJ ISHARES MSCI ALL COUNTRY ASIA G Y N
APEX APEX GLOBAL BRANDS INC COM NEW S Y N
BIOL BIOLASE INC COM STK NEW S Y N
CTRM CASTOR MARITIME INC SHS (MHL) S Y N
DWEQ ADVISORSHARES TR DORSEY WRIGHT G Y N
DWUS ADVISORSHARES TR DORSEY WRIGHT G Y N
FRAN FRANCESCAS HLDGS CORP COM NEW Q Y N
GLBS GLOBUS MARITIME LIMITED COM (M S Y N
GNUS GENIUS BRANDS INTL INC COM S Y N
HEWG ISHARES CURRENCY HEDGED MSCI G G Y N
HUGE FSD PHARMA INC CL B SUB VTG SH S Y N
KBWB INVESCO ETF TR II KBW BANK ETF G Y N
LLIT LIANLUO SMART LTD CL A (VGB) S Y N
NKLA NIKOLA CORP COM Q Y N
NURO NEUROMETRIX INC COM PAR $.0001 S Y N
PECK THE PECK COMPANY HOLDINGS, INC S Y N
PIE INVESCO EXCHANGE-TRADED FD TR G Y N
ROSEU ROSEHILL RES INC UNIT 1 CL A S Y N
ROSEW ROSEHILL RES INC WT EXP 09/16/ S Y N
UMRX UNUM THERAPEUTICS INC COM Q Y N
UONE URBAN ONE INC CL A S Y N
WCLD WISDOMTREE TR CLOUD COMPUTING G Y N
ZYNE ZYNERBA PHARMACEUTICALS INC CO 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.