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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
Friday, January 9, 2026 Download 1/9/2026 11:00:06 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
AGPU AXE COMPUTE INC. COMMON STOCK S Y N
AIA ISHARES S&P ASIA 50 ETF G Y N
AKAN AKANDA CORP COM PAR $ NEW 08/2 S Y N
ARBE ARBE ROBOTICS LTD ORD SHS (ISR S Y N
ASTI ASCENT SOLAR TECHNOLOGIES INC S Y N
AZI AUTOZI INTERNET TECH GLOBAL LT G Y N
BCTX BRIACELL THERAPEUTICS CORP NEW S Y N
BMNG THEMES ETF TR LEVERAGE SHS 2X G Y N
BNAI BRAND ENGAGEMENT NETWORK INC C S Y N
CAIQ CALAMOS ETF TR NASDAQ AUTOCALL G Y N
CETX CEMTREX INC COM PAR $.001 NEW S Y N
CRCG THEMES ETF TR LEVERAGE SHARES G Y N
CRWG THEMES ETF TR LEVERAGE SHARES G Y N
CRWL GRANITESHS ETF TR 2X LONG CRW G Y N
DAIC CID HOLDCO INC COM G Y N
DFDV DEFI DEVELOPMENT CORP. COMMON S Y N
DRCT DIRECT DIGITAL HLDGS INC CL A S Y N
DRMA DERMATA THERAPEUTICS INC COM P S Y N
EASY TWO RDS SHARED TR LIBERTY ONE G Y N
ECDA ECD AUTOMOTIVE DESIGN INCCOM P S Y N
ELAB PMGC HLDGS INC COM PAR $0.0001 S Y N
EXUS NOMURA ETF TRUST NOMURA FOCUSE G Y N
GNLN GREENLANE HLDGS INC CL A NEW 2 S Y N
HCTI HEALTHCARE TRIANGLE INC COM PA S Y N
HIHO HIGHWAY HOLDINGS LTD S Y N
HIMZ TIDAL TR II DEFIANCE DAILY TAR G Y N
HUBC HUB CYBER SEC LTD SHS NO PAR N S Y N
INBS INTELLIGENT BIO SOLUTIONS INC S Y N
IONZ TIDAL TR II DEFIANCE DAILY TAR G Y N
IVP INSPIRE VETERINARY PARTNERS IN S Y N
KALA KALA BIO, INC. COMMON STOCK (D S Y N
KZIA KAZIA THERAPEUTICS LTD SPONSOR S Y N
LASE LASER PHOTONICS CORP COM (DE) S Y N
MNTS MOMENTUS INC CL A PAR $0.00001 S Y N
MSTP GRANITESHARES ETF TR 2X LONG M G Y N
MSTX TIDAL TR II DEFIANCE DAILY TAR G Y N
MUD DIREXION SHS ETF TR DAILY MU B G Y N
OKLL TIDAL TR II DEFIANCE DAILY TAR G Y N
PLTZ TIDAL TR II DEFIANCE DAILY TAR G Y N
QBTZ 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
RNWWW RENEW ENERGY GLOBAL PLC WT EXP Q Y N
RPGL REPUBLIC PWR GROUP LTD USD ORD S Y N
RUBI RUBICO INC COM NEW (MHL) S Y N
SDOT SADOT GROUP INC COM PAR $ S Y N
SIDU SIDUS SPACE INC CL A COM NEW S Y N
SLS SELLAS LIFE SCIENCES GROUP INC 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
SOBR SOBR SAFE INC COM PAR $0.00001 S Y N
SOPA SOCIETY PASS INC COM NEW S Y N
SPCT TWO RDS SHARED TR LIBERTY ONE G Y N
SUUN POWERBANK CORP COM(CAN) G Y N
WOK WORK MED TECHNOLOGY GROUP LTD 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.