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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) |
|---|
| 77 |
File Download
| Trade Date | Download Link | File Creation Timestamp |
|---|---|---|
| Wednesday, October 14, 2026 | Download | 10/14/2026 11:00:06 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 |
| AIXI | XIAO-I CORP ADR NEW AUGUST 202 | G | Y | N |
| AMDG | THEMES ETF LEVERAGE SHARES 2X | G | Y | N |
| AMOD | ALPHA MODUS HLDGS INC CL A NEW | S | Y | N |
| AMZD | DIREXION SHS ETF TR DAILY AMZN | G | Y | N |
| APPX | INVESTMENT MANAGERS SER TR II | G | Y | N |
| ARMG | THEMES ETF LEVERAGE SHARES 2X | G | Y | N |
| AVGG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| BMNG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| BOEG | THEMES ETF TR LEVERAGE SHARES | G | Y | N |
| BSCA | INV EXCH-TRADED SELF-INDEXED F | G | Y | N |
| CHIP | REX ETF TR AI CHIPMAKING ETF | G | Y | N |
| CHWM | CHILWA MINERALS LTD ADS (AUS) | S | Y | N |
| CIFG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| CLRO | CLEARONE INC COM NEW | S | Y | N |
| CONL | GRANITESHARES ETF TR 2X LONG | G | Y | N |
| DKI | DARKIRIS INC. CL A ORD SHS USD | S | Y | N |
| FIMU | FIDELITY SCH STR TR INTERMEDIA | G | Y | N |
| FRGT | FREIGHT TECHNOLOGIES INC ORD S | S | Y | N |
| FUTG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| GLGG | THEMES ETF TR LEVERAGE SHARES | G | Y | N |
| GOU | GRANITESHARES ETF TR 2X LONG G | G | Y | N |
| HIMZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| HIS | EA SER TR HUMILIS US FOCUSED O | G | Y | N |
| HOOG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| INTW | GRANITESHARES ETF TR 2X LONG I | G | Y | N |
| IONX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| IONZ | TIDAL TR II DEFIANCE DAILY TA | G | Y | N |
| IQGR | EA SER TR ASTORIA INTL QUALITY | G | Y | N |
| JAGX | JAGUAR HEALTH INC COM PAR $0.0 | S | Y | N |
| LGHL | LION GROUP HLDG LTD ADR NEW SE | S | Y | N |
| MEDS | DATAMEDS AI, INC. COMMON STOCK | S | Y | N |
| MSFL | GRANITESHARES ETF TR GRANITESH | G | Y | N |
| MSTX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| MULL | GRANITESHS ETF TR 2X LONG MU D | G | Y | N |
| NBIL | GRANITESHARES ETF TR GRANITESH | G | Y | N |
| NCI | NEO-CONCEPT INTL GRP HLDGS LTD | S | Y | N |
| NCPL | NETCAPITAL INC COM NEW (UT) | S | Y | N |
| NIVF | NEWGENIVF GROUP LIMITED SHS NE | S | Y | N |
| NVD | GRANITESHARES ETF TR 2X SHORT | G | Y | N |
| NXAT | NEXUS ADVANCED TECHNOLOGIES IN | S | Y | N |
| OKLL | TIDAL TR II DEFIANCE DAILY TA | G | Y | N |
| OLB | OLB GROUP INC COM PAR $0.0001 | S | Y | N |
| ONCO | ONCONETIX INC COM PAR $0.00001 | S | Y | N |
| PLTZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| PONY | PONY AI INC SPONSORED ADS(CYM) | Q | Y | N |
| PUR | 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 |
| RKLX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| RKLZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SAIQ | WISESAT SPACE HLDGS CORP USD O | S | Y | N |
| SBFM | SUNSHINE BIOPHARMA INC COM PAR | S | Y | N |
| SDST | STARDUST PWR INC COM NEW | S | Y | N |
| SGRX | SANGRIX INC SHS NEW $0.00006 U | S | Y | N |
| SHFS | SHF HLDGS INC CL A NEW 2026 | S | Y | N |
| SKDD | GRANITESHARES ETF TR 2X SHORT | G | 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 |
| SOFX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SOUX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SXTC | CHINA SXT PHARMACEUTICALS INC | S | Y | N |
| TAXT | NORTHERN FDS NORTHERN TR TAX E | G | Y | N |
| TNONW | TENON MED INC WT EXP PUR 1 SH | S | Y | N |
| TSDD | GRANITESHARES ETF TR 2X SHORT | G | Y | N |
| UBRL | GRANITESHARES ETF TR 2X LONG | G | Y | N |
| UUUG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| VBCA | VANGUARD WELLESLEY INCOME FD T | G | Y | N |
| VCIG | VCI GLOBAL LTD COM DECEMBER (V | S | Y | N |
| VEEA | VEEA INC COM NEW | S | Y | N |
| VSTL | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| WHLR | WHEELER REAL ESTATE INVT TR IN | S | Y | N |
| WVVIP | WILLAMETTE VY VINEYARD INC R | S | Y | N |
| XHLD | TEN HLDGS INC COM NEW | S | Y | N |
| YMT | YIMUTIAN INC SPONSORED ADR NEW | 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.
