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)
25

File Download

Trade Date Download Link File Creation Timestamp
Thursday, December 8, 2022 Download 12/8/2022 11:00:07 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ACRV ACRIVON THERAPEUTICS INC COM G Y N
BYND BEYOND MEAT INC COM (DE) Q Y N
CIZ VICTORY PORTFOLIOS II SHS DEV G Y N
COSM COSMOS HLDGS INC COM NEW S Y N
DBGI DIGITAL BRANDS GROUP INC COM N S Y N
DWAC DIGITAL WORLD ACQUISITION CORP G Y N
ECOW PACER FDS TR EMERGING MARKETS G Y N
ENSC ENSYSCE BIOSCIENCES INC COM NE S Y N
FJP FIRST TRUST JAPAN ALPHADEX FUN G Y N
FUV ARCIMOTO INC COM NEW G Y N
GRID FIRST TR NASDAQ CLEAN EDGE SMA G Y N
GSEVW GORES HLDGS VII INC WT EXP 02/ S Y N
HCIIW HUDSON EXECUTIVE INVT CORP II S Y N
HERD PACER FDS TR CASH COWS FD FDS G Y N
HIIIW HUDSON EXECUTIVE INVT CORP III S Y N
JOET VIRTUS ETF TR II VIRTUS TERRAN G Y N
KTRA KINTARA THERAPEUTICS INC COM N S Y N
MSTR MICROSTRATEGY INC CL A NEW Q Y N
PAFO PACIFICO ACQUISITION CORP COM S Y N
RNWWW RENEW ENERGY GLOBAL PLC WT EXP Q Y N
SDIG STRONGHOLD DIGITAL MNG INC G Y N
SGIIW SEAPORT GLOBAL ACQ.II CORP WT G Y N
SNES SENESTECH INC COM PAR $0.001 S Y N
TBLAW TABOOLA COM LTD WT EXP (ISR) Q Y N
TOPS TOP SHIPS INC SHS NEW SEPT 202 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.