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)
36

File Download

Trade Date Download Link File Creation Timestamp
Wednesday, February 24, 2021 Download 2/24/2021 11:00:03 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
AACG ATA CREATIVITY GLOBAL SPONSORE G Y N
ACTC ARCLIGHT CLEAN TRANSITION CORP S Y N
ALJJ ALJ Regional Holdings, Inc. Co G Y N
APOPW CELLECT BIOTECHNOLOGY LTD WT P S Y N
ASLE AERSALE CORP S Y N
ATNF 180 LIFE SCIENCES CORP COM S Y N
ATOS ATOSSA THERAPEUTICS, INC. COMM S Y N
AVDL AVADEL PHARMACEUTICALS PLC SPO G Y N
AZRX AZURRX BIOPHARMA INC COM S Y N
BHTG BIOHITECH GLOBAL INC S Y N
BSMN INVESCO BULLETSHARES 2023 MUN G Y N
CGIX CANCER GENETICS INC COM NEW S Y N
CHB GLOBAL X FDS CHINA BIOTECH INN G Y N
CLBS CALADRIUS BIOSCIENCES INC COM S Y N
CLVR CLEVER LEAVES HLDGS INC (CAN) S Y N
CUEN CUENTAS INC COM NEW S Y N
FUTU FUTU HLDGS LTD SPONSORED ADS G Y N
FYC FIRST TRUST SMALL CAP GROWTH A G Y N
GLAQ GLOBIS ACQUISITION CORP COM S Y N
GNFT GENFIT S A ADS (FRA) Q Y N
GOVX GEOVAX LABS INC COM PAR $.0001 S Y N
GRIL MUSCLE MAKER INC COM STK (CA) S Y N
HSTO HISTOGEN INC COM S Y N
KINZW KINS TECHNOLOGY GROUP INC WT E S Y N
KMPH KEMPHARM INC COM NEW S Y N
LEGR FIRST TR ETF INDXX INNOVATION G Y N
MFH MERCURITY FINTECH HLDG INC SPO S Y N
PHIO PHIO PHARMACEUTICALS CORP COM S Y N
POTX GLOBAL X FDS GLOBAL X CANNABIS G Y N
PPBT PURPLE BIOTECH LTD SPONSORED A S Y N
SDVY FIRST TR ETF VI SMID CAP RISIN G Y N
SIFY SIFY TECHNOLOGIES LTD ADS S Y N
SRAX SRAX INC CLASS A S Y N
SSNT SILVERSUN TECHNOLOGIES INC COM S Y N
THMO THERMOGENESIS HLDGS INC COM S Y N
USXF ISHARES ESG ADVANCED MSCI USA 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.