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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) |
|---|
| 35 |
File Download
| Trade Date | Download Link | File Creation Timestamp |
|---|---|---|
| Friday, August 15, 2025 | Download | 8/15/2025 11:00:05 PM |
Threshold Security List
| Symbol | Security Name | Market Category | Reg SHO Threshold Flag | Rule 3210 |
|---|---|---|---|---|
| AIMD | AINOS INC COM PAR $0.01 NEW | S | Y | N |
| ASST | ASSET ENTITIES INC CL B NEW | S | Y | N |
| BINI | BOLLINGER INNOVATIONS INC COM | S | Y | N |
| BNC | CEA IND INC COM NEW PAR $0.000 | S | Y | N |
| BNZI | BANZAI INTL INC CL A COM PAR $ | S | Y | N |
| CREG | SMART PWR CORP COM PAR $0.001 | S | Y | N |
| CRWV | COREWEAVE INC COM CL A | Q | Y | N |
| ETHZ | 180 LIFE SCIENCES CORP COM PAR | S | Y | N |
| FGNX | FUNDAMENTAL GLOBAL INC COM NEW | G | Y | N |
| FLYE | FLY-E GROUP, INC. COMMON NEW | S | Y | N |
| HIMZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| IONZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| IVF | INVO FERTILITY INC COM PAR $0. | S | Y | N |
| LGHL | LION GROUP HLDG LTD ADS RESTRI | S | Y | N |
| MEIP | MEI PHARMA INC COM PAR $ (DE) | S | Y | N |
| NCIQ | HASHDEX NASDAQ CRYPTO INDEX US | G | Y | N |
| NCNA | NUCANA PLC SPONSORED ADR NEW 2 | S | Y | N |
| OBIO | ORCHESTRA BIOMED HOLDINGS, INC | G | Y | N |
| OP | OCEANPAL INC COM PAR $0.01 (MH | S | Y | N |
| ORIS | ORIENTAL RISE HLDGS LTD USD OR | S | Y | N |
| PLTZ | TIDAL TR II DEFIANCE DAILY TA | G | Y | N |
| QH | QUHUO LTD ADR NEW (CYM) | G | Y | N |
| QMMM | QMMM HLDGS LTD SHS NEW US$0.00 | S | Y | N |
| SMCX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SMCZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SMX | SMX SEC MATTERS PLC SHS CL A J | S | Y | N |
| SNGX | SOLIGENIX INC COM PAR $.001 NE | S | Y | N |
| TNFA | TNF PHARMACEUTICALS, INC. COMM | S | Y | N |
| TNON | TENON MED INC COM COM PAR $ | S | Y | N |
| UPXI | UPEXI INC COM NEW | S | Y | N |
| VERB | VERB TECHNOLOGY CO INC COM PAR | S | Y | N |
| WKHS | WORKHORSE GROUP INC COM PAR$0. | S | Y | N |
| XRPT | VOLATILITY SHS TR 2X XRP ETF | G | Y | N |
| XXII | 22ND CENTY GROUP INC COM NEW 2 | 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.
