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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) |
|---|
| 65 |
File Download
| Trade Date | Download Link | File Creation Timestamp |
|---|---|---|
| Wednesday, October 1, 2025 | Download | 10/1/2025 11:00:18 PM |
Threshold Security List
| Symbol | Security Name | Market Category | Reg SHO Threshold Flag | Rule 3210 |
|---|---|---|---|---|
| AGMH | AGM GROUP HLDGS INC USD CL A O | S | Y | N |
| AGRI | AGRIFORCE GROWING SYS LTD COM | S | Y | N |
| APVO | APTEVO THERAPEUTICS INC COM PA | S | Y | N |
| AVGX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| BAIG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| BIAF | BIOAFFINITY TECHNOLOGIES INC C | S | Y | N |
| BINI | BOLLINGER INNOVATIONS INC COM | S | Y | N |
| BOXL | BOXLIGHT CORP COM CL A PAR $0. | S | Y | N |
| BREA | BRERA HLDGS PLC CL B NEW (IRL) | S | Y | N |
| BRKU | DIREXION SHS ETF TR DAILY BRK/ | G | Y | N |
| BSLK | BOLT PROJS HLDGS INC COM NEW | G | Y | N |
| BTM | BITCOIN DEPOT INC COM | S | Y | N |
| BULG | THEMES ETF TR LEVERAGE SHARES | G | Y | N |
| CERO | CERO THERAPEUTICS HLDGS INC C | S | Y | N |
| CJET | CHIJET MTR CO INC. USD ORD SHS | S | Y | N |
| CONL | GRANITESHARES ETF TR 2X LONG | G | Y | N |
| COTG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| COYY | GRANITESHARES ETF TR YIELDBOOS | G | Y | N |
| CRCG | THEMES ETF TR LEVERAGE SHARES | G | Y | N |
| DBGI | DIGITAL BRANDS GROUP INC COM N | S | Y | N |
| DFDV | DEFI DEVELOPMENT CORP. COMMON | S | Y | N |
| DPRO | DRAGANFLY INC (CANADA) | S | Y | N |
| ECDA | ECD AUTOMOTIVE DESIGN INC COM | S | Y | N |
| ELBM | ELECTRA BATTERY MATLS CORP COM | S | Y | N |
| FFAI | FARADAY FUTURE INTELLIGENT ELE | S | Y | N |
| FORD | FORWARD INDUSTRIES INC NY COM | S | Y | N |
| HIMZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| INDP | INDAPTUS THERAPEUTICS INC COM | S | Y | N |
| INTW | GRANITESHARES ETF TR 2X LONG I | G | Y | N |
| IONZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| IPDN | PROFESSIONAL DIVERSITY NETWORK | S | Y | N |
| IPST | HERITAGE DISTILLING HLDG CO IN | S | Y | N |
| IQST | IQSTEL INC COM NEW | S | Y | N |
| ISPC | ISPECIMEN INC COM NEW (DE) | S | Y | N |
| LAWR | ROBOT CONSULTING CO LTD SPONSO | S | Y | N |
| LITM | SNOW LAKE RES LTD COM NO PAR ( | S | Y | N |
| LITS | LITE STRATEGY INC COM PAR $ (D | S | Y | N |
| MOB | MOBILICOM LTD ADS (AUS) | S | Y | N |
| MSTX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| MUU | DIREXION SHS ETF TR DAILY MU B | G | Y | N |
| NAKA | KINDLY MD INC COM(UT) | G | Y | N |
| NFE | NEW FORTRESS ENERGY INC. CLASS | Q | Y | N |
| NUAI | NEW ERA ENERGY & DIGITAL, INC. | G | Y | N |
| ORCX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| PLTS | PLATINUM ANALYTICS CAYMAN LT U | S | Y | N |
| PLTZ | TIDAL TR II DEFIANCE DAILY TA | G | Y | N |
| QCLS | Q/C TECHNOLOGIES INC COM PAR $ | S | Y | N |
| RDTL | GRANITESHARES ETF TR 2X LONG | G | Y | N |
| RKLX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| RZLV | REZOLVE AI PLC ORD SHS (GBR) | G | Y | N |
| SLE | SUPER LEAGUE ENTERPRISE, INC. | S | Y | N |
| SLNH | SOLUNA HOLDINGS INC COM NEW | S | Y | N |
| SMCX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SMCZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SPAI | SAFE PRO GROUP INC COM | S | Y | N |
| SPRC | SCISPARC LTD COM PAR $ (ISR) | S | Y | N |
| STI | SOLIDION TECHNOLOGY INC COM NE | G | Y | N |
| STKE | SOL STRATEGIES INC COM NEW(CAN | Q | Y | N |
| STSS | SHARPS TECHNOLOGY INC COM PAR | S | Y | N |
| UPXI | UPEXI INC COM NEW | S | Y | N |
| WHLR | WHEELER REAL ESTATE INVT TR IN | S | Y | N |
| WKSP | WORKSPORT LTD COM PAR $0.0001 | S | Y | N |
| YAAS | YOUXIN TECHNOLOGY LTD USD CL A | S | Y | N |
| ZGM | ZENTA GROUP CO LTD ORD SHS (CY | S | Y | N |
| ZOOZ | ZOOZ PWR LTD CL A (ISR) | 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.
