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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)
56

File Download

Trade Date Download Link File Creation Timestamp
Tuesday, March 31, 2026 Download 3/31/2026 11:00:05 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
AMDD DIREXION SHS ETF TR DAILY AMD G Y N
AMZD DIREXION SHS ETF TR DAILY AMZN G Y N
ARTL ARTELO BIOSCIENCES INC COM NEW S Y N
BAIG THEMES ETF TR LEVERAGE SHS 2X G Y N
BIAF BIOAFFINITY TECHNOLOGIES INC C S Y N
BMNG THEMES ETF TR LEVERAGE SHS 2X G Y N
BNAI BRAND ENGAGEMENT NETWORK INC C S Y N
BRTX BIORESTORATIVE THERAPIES INC.C S Y N
CHNR CHINA NAT RES INC SHS NEW COM S Y N
CTXR CITIUS PHARMACEUTICALS INC CO S Y N
DXST DECENT HLDG INC USD CL A NEW P S Y N
EDSA EDESA BIOTECH INC COM NEW (C S Y N
ETHB ISHARES STAKED ETHEREUM TR ETF G Y N
FCHL FITNESS CHAMPS HLDGS LTD CL A S Y N
FEED ENVUE MEDICAL, INC. COMMON STO S Y N
FFAI FARADAY FUTURE INTELLIGENT ELE S Y N
FIGG THEMES ETF TR LEVERAGE SHS 2X G Y N
GGLS DIREXION SHS ETF TR DAILY GOOG G Y N
GV VISIONARY HLDGS INC COM NEW ( S Y N
HIMZ TIDAL TR II DEFIANCE DAILY TAR G Y N
HUBC HUB CYBER SEC LTD ORD SHS NO P S Y N
IBG INNOVATION BEVERAGE GROUP LTD S Y N
IONZ TIDAL TR II DEFIANCE DAILY TAR G Y N
ISPC ISPECIMEN INC COM NEW (DE) S Y N
KC KINGSOFT CLOUD HLDGS LTD ADR ( Q Y N
LFS LEIFRAS CO LTD ADS REPSTG ORD S Y N
LNAI LUNAI BIOWORKS INC COM NEW S Y N
LNKS LINKERS INDS LTD ORD SHS CL A S Y N
MSFD DIREXION SHS ETF TR DAILY MSFT G Y N
MSTX TIDAL TR II DEFIANCE DAILY TAR G Y N
MYCH SSGA ACTIVE TRUST STATE STREET G Y N
NCI NEO-CONCEPT INTL GRP HLDNGS LT S Y N
NFXL DIREXION SHS ETF TR DAILY NFLX G Y N
NNE NANO NUCLEAR ENERGY INC. COMMO S Y N
NOWL GRANITESHARES ETF TR 2X LONG N G Y N
OKLL TIDAL TR II DEFIANCE DAILY TAR G Y N
ORCX TIDAL TR II DEFIANCE DAILY TAR G Y N
PAVS PARANOVUS ENTMT TECHNOLOGY LTD S Y N
PLTZ TIDAL TR II DEFIANCE DAILY TAR G Y N
RGTX TIDAL TR II DEFIANCE DAILY TAR G Y N
RGTZ TIDAL TR II DEFIANCE DAILY TAR G Y N
RKLZ TIDAL TR II DEFIANCE DILY TARG G Y N
SKRE ETF OPPORTUNITIES TR ETF OPPOR G Y N
SMCL GRANITESHS ETF TR 2X LONG SMCI G Y N
SMCX TIDAL TR II DEFIANCE DAILY TAR G Y N
SMST TIDAL TR II DEFIANCE DAILY TAR G Y N
SMX SMX SEC MATTERS PLC ORD SHS NE S Y N
SOLT VOLATILITY SHS TR 2X SOLANA ET G Y N
SUNE SUNATION ENERGY INC COM PAR $0 S Y N
SVRN OCEANPAL INC COM PAR $0.01 MAR S Y N
TSLQ INVT MNRG SR TR II TRDR 2X SHO G Y N
TURB TURBO ENERGY S A SPONSORED ADR S Y N
UCAR U PWR LTD USD CL A ORD SHS (CY S Y N
UGRO URBAN-GRO INC COM PAR $ S Y N
VEEE TWIN VEE POWERCATS CO COM NEW S Y N
YMT YIMUTIAN INC ADR 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.