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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) |
|---|
| 81 |
File Download
| Trade Date | Download Link | File Creation Timestamp |
|---|---|---|
| Friday, June 5, 2026 | Download | 6/5/2026 11:00:18 PM |
Threshold Security List
| Symbol | Security Name | Market Category | Reg SHO Threshold Flag | Rule 3210 |
|---|---|---|---|---|
| AAPD | DIREXION SHS ETF TR DAILY AAPL | G | Y | N |
| ADTX | ADITXT INC COM NEW APRIL 2026 | S | Y | N |
| AKTX | AKARI THERAPEUTICS PLC SPONSOR | S | Y | N |
| AMDD | DIREXION SHS ETF TR DAILY AMD | G | Y | N |
| AMST | AMESITE INC NEW | S | Y | N |
| AMZD | DIREXION SHS ETF TR DAILY AMZN | G | Y | N |
| ASTC | ASTROTECH CORP COM PAR $ | S | Y | N |
| AVGG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| AVGX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| AVL | DIREXION SHS ETF TR DAILY AVGO | G | Y | N |
| AVS | DIREXION SHS ETF TR DAILY AVGO | G | Y | N |
| AVXX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| BMNG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| BNRG | BRENMILLER ENERGY LTD ORD SHS | S | Y | N |
| BNZI | BANZAI INTL INC COM PAR CL A $ | S | Y | N |
| CAIIU | COLLECTIVE ACQ CORP II USD 1 C | G | Y | N |
| CMMB | CHEMOMAB THERAPEUTICS LTD SPON | S | Y | N |
| CMND | CLEARMIND MEDICINE INC COM NO | S | Y | N |
| CODX | CO-DIAGNOSTICS INC COM NEW | S | Y | N |
| COTG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| CREG | SMART PWR CORP COM PAR $0.001 | S | Y | N |
| CRMG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| DEVS | DEVVSTREAM CORP COM NEW (CAN) | S | Y | N |
| FABC | FABRIC.AI, INC. COMMON STOCK | S | Y | N |
| GGLS | DIREXION SHS ETF TR DAILY GOOG | G | Y | N |
| GOVX | GEOVAX LABS INC COM PAR $0.001 | S | Y | N |
| HCWB | HCW BIOLOGICS INC COM NEW | S | Y | N |
| HUBC | HUB CYBER SEC LTD SHS NEW (ISR | S | Y | N |
| IALT | BLACKROCK ETF TR ISHARES SYSTE | G | Y | N |
| IONZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| JFB | JFB CONSTR HLDGS CL A | S | Y | N |
| KITT | NAUTICUS ROBOTICS, INC. COM PA | S | Y | N |
| LGHL | LION GROUP HLDG LTD ADR NEW 20 | S | Y | N |
| MNTS | MOMENTUS INC CL A PAR $0.00001 | S | Y | N |
| MPG | THEMES ETF TR LEVERAGE SHARES | G | Y | N |
| MSFD | DIREXION SHS ETF TR DAILY MSFT | G | Y | N |
| MSTX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| NCI | NEO-CONCEPT INTL GRP HLDGS LTD | S | Y | N |
| NCPL | NETCAPITAL INC COM NEW (UT) | S | Y | N |
| NEOV | NEOVOLTA INC | S | Y | N |
| NIVF | NEWGENIVF GROUP LIMITED SHS NE | S | Y | N |
| NOWL | GRANITESHARES ETF TR 2X LONG N | G | Y | N |
| NUCLW | EAGLE NUCLEAR ENERGY CORP WT E | S | Y | N |
| NVD | GRANITESHARES ETF TR 2X SHORT | G | Y | N |
| OCTV | OCTAVE INTELLIGENCE PLC CL B | Q | Y | N |
| OKLL | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| ONCO | ONCONETIX INC COM PAR $0.00001 | S | Y | N |
| ONDS | ONDAS INC COM NEW | S | Y | N |
| PALU | DIREXION SHS ETF TR DAILY PAN | G | Y | N |
| PATN | PACER FDS TR NASDAQ INTL PATEN | G | Y | N |
| PCLA | PICOCELA INC ADS NEW (JPN) | S | Y | N |
| PLTZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| PUSA | AUREUS GREENWAY HLDGS INC COM | S | Y | N |
| QBTZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| QUCY | QUANTUM CYBER N.V. ORDINARY SH | S | Y | N |
| RCAX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| RGTIW | RIGETTI COMPUTING INC WT EXP ( | S | Y | N |
| RGTX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| RGTZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| RKDA | ARCADIA BIOSCIENCES INC COM PA | S | Y | N |
| RKLX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| RKLZ | TIDAL TR II DEFIANCE DILY TARG | G | Y | N |
| SLXN | SILEXION THERAPEUTICS CORP ORD | S | Y | N |
| SMCX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SMCZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SMST | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SNGX | SOLIGENIX INC COM PAR $.001 NE | S | Y | N |
| SOFX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SOUX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SPPL | SIMPPLE LTD SHS NEW US$0.0008 | S | Y | N |
| SPWR | SUNPOWER INC COM (DE) | G | Y | N |
| THYP | 21SHARES HYPERLIQUID ETF SHS B | G | Y | N |
| TSDD | GRANITESHARES ETF TR 2X SHORT | G | Y | N |
| TSLG | THEMES ETF TR LEVERAGE SHARES | G | Y | N |
| VCIG | VCI GLOBAL LTD COM DECEMBER (V | S | Y | N |
| VRAX | VIRAX BIOLABS GROUP LTD SHS NE | S | Y | N |
| WOK | WORK MED TECHNOLOGY GROUP LTD | S | Y | N |
| YMAT | J-STAR HLDG CO LTD USD CL A OR | S | Y | N |
| YMT | YIMUTIAN INC SPONSORED ADR (CY | G | Y | N |
| YYGH | YY GROUP HOLDING LIMITED CLASS | S | Y | N |
| ZCMD | ZHONGCHAO INC. CL A ORD SHS NE | 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.
