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
Friday, December 06, 2019 Download 12/6/2019 11:00:28 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ASLN ASLAN PHARMACEUTICALS LTD ADS G Y N
CAN CANAAN INC SPONSORED ADR (CYM) G Y N
CGIX CANCER GENETICS INC COM NEW S Y N
CLVS CLOVIS ONCOLOGY INC COM STK (D Q Y N
DALI FIRST TR ETF VI DORSEYWRIGHT D G Y N
DRNA DICERNA PHARMACEUTICALS INC CO Q Y N
DWPP FIRST TRUST ETF DORSEY WRIGHT G Y N
EBIZ GLOBAL X FDS E-COMM ETF (DE) G Y N
ESTR ESTRE AMBIENTAL IN SHS (CYM) G Y N
HEPA HEPION PHARMACEUTICALS INC S Y N
KERN AKERNA CORP COM S Y N
NPAWW NEW PROVIDENCE ACQUISITION COR S Y N
ONTX ONCONOVA THERAPEUTICS INC COM S Y N
PNRL PARINGA RES LTD SPONSORED ADR S Y N
POTX GLOBAL X FDS GLOBAL X CANNABIS G Y N
SES SYNTHESIS ENERGY SYSTEMS, INC S Y N
SNOAW SONOMA PHARMACEUTICALS INC WT S Y N
SUNW SUNWORKS INC COM STK (DE) S Y N
SUSB ISHARES TR ESG 1-5 YR USD CORP G Y N
SUSC ISHARES TR ESG USD CORPORATE B G Y N
TMDI TITAN MED INC (CANADA) S Y N
VSTM VERASTEM, INC. COMMON STOCK G Y N
YVR LIQUID MEDIA GROUP LTD NEW COM 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.