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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)
49

File Download

Trade Date Download Link File Creation Timestamp
Wednesday, November 20, 2024 Download 11/20/2024 11:00:05 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ADTX ADITXT INC COM PAR $0.001 NEW S Y N
ALBT AVALON GLOBOCARE CORP COM PAR S Y N
AMIX AUTONOMIX MED INC COM NEW S Y N
ANTX AN2 THERAPEUTICS INC COM Q Y N
BNZI BANZAI INTL INC CL A COM NEW S Y N
BTCT BTC DIGITAL LTD ORD SHS NEW US S Y N
BTM BITCOIN DEPOT INC COM S Y N
CLSKW CLEANSPARK INC WT EXP 12/29/28 S Y N
CONL GRANITESHARES ETF TR 2X LONG G Y N
DBGI DIGITAL BRANDS GROUP INC COM P S Y N
DEVS DEVVSTREAM CORP COM (CAN) S Y N
DUO FANGDD NETWORK GROUP LTD SH NE S Y N
ELAB ELEVAI LABS INC COM S Y N
ENSC ENSYSCE BIOSCIENCES INC COM PA S Y N
FCEL FUELCELL ENERGY INC COM NEW G Y N
FTXO FIRST TR ETF VI NASDAQ BK ETF G Y N
GCTK GLUCO TRACK INC COM PAR $0.00 S Y N
GV VISIONARY HLDGS INC COM NEW ( S Y N
IVP INSPIRE VETERINARY PARTNERS IN S Y N
JTAI JET AI INC COM NEW S Y N
KXIN KAIXIN HLDGS ORD SHS NEW US$0. S Y N
KZR KEZAR LIFE SCIENCES INC COM NE S Y N
LIXT LIXTE BIOTECHNOLOGY HLDGS INC S Y N
MDJH MDJM LTD SHS (CYM) S Y N
MGRX MANGOCEUTICALS INC COM NEW (TX S Y N
MULN MULLEN AUTOMOTIVE INC COM PAR S Y N
MYNZ MAINZ BIOMED N V SHS USD (NLD) S Y N
NA NANO LABS LTD SHS NEW US$0.00 G Y N
NCNA NUCANA PLC SPONSORED ADR NEW S Y N
NCTY THE9 LTD SPONSORED ADS NEW 202 S Y N
NKLA NIKOLA CORP COM NEW Q Y N
NMHI NATURES MIRACLE HLDG INC COM G Y N
NUKK NUKKLEUS INC NEW COM NEW G Y N
NUWE NUWELLIS INC COM PAR $0.0001 S Y N
NVDD DIREXION SHS ETF TR DAILY NVDA G Y N
NVDS INVESTMENT MANAGERS SER TR II G Y N
NXL NEXALIN TECHNOLOGY INC COM NEW S Y N
RGTI RIGETTI COMPUTING INC COM (DE) S Y N
SIDU SIDUS SPACE INC CL A COM NEW S Y N
SMX SMX SEC MATTERS PLC SHS CL A N S Y N
STSS SHARPS TECHNOLOGY INC COM NEW S Y N
TRNR INTERACTIVE STRENGTH INC COM P S Y N
TSL GRANITESHARES ETF TR 1.25X LON G Y N
TSLZ ETF OPPORTUNITIES TR T-REX 2X G Y N
UPXI UPEXI INC COM NEW S Y N
VERB VERB TECHNOLOGY CO INC COM PAR S Y N
VLCN VOLCON INC COM PAR $0.00001 NE S Y N
XAIX DBX ETF TR XTRACKERS ARTIFICIA G Y N
ZCAR ZOOMCAR HLDGS INC COM COM NEW G 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.