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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) |
|---|
| 37 |
File Download
| Trade Date | Download Link | File Creation Timestamp |
|---|---|---|
| Friday, February 14, 2025 | Download | 2/14/2025 11:00:07 PM |
Threshold Security List
| Symbol | Security Name | Market Category | Reg SHO Threshold Flag | Rule 3210 |
|---|---|---|---|---|
| ADGM | ADAGIO MED INC COM (DE) | S | Y | N |
| ARMG | THEMES ETF LEVERAGE SHARES 2X | G | Y | N |
| BNZI | BANZAI INTL INC CL A COM NEW | S | Y | N |
| CDT | CONDUIT PHARMACEUTICALS INC CO | G | Y | N |
| CYN | CYNGN INC COM NEW | S | Y | N |
| DGLY | DIGITAL ALLY INC NEW COM NEW | S | Y | N |
| DMAAU | DRUGS MADE IN AMER ACQ UNIT 1 | G | Y | N |
| DWTX | DOGWOOD THERAPEUTICS INC COM N | S | Y | N |
| GGLL | DIREXION SHS ETF TR DAILY GOOG | G | Y | N |
| GHRS | GH RESH PLC SHS (IRL) | G | Y | N |
| GQQQ | EA SER TR ASTORIA US QUALITY G | G | Y | N |
| ICON | ICON ENERGY CORP COM (MHL) | S | Y | N |
| LAES | SEALSQ CORP ORD SHS (VGB) | S | Y | N |
| LAZR | LUMINAR TECHNOLOGIES INC. COM | Q | Y | N |
| LGHL | LION GROUP HLDG LTD ADR (CYM) | S | Y | N |
| LTRY | LOTTERY COM INC COM NEW (DE) | G | Y | N |
| MBIO | MUSTANG BIO INC COM PAR $0.000 | S | Y | N |
| METD | DIREXION SHS ETF TR DAILY META | G | Y | N |
| MGOL | MGO GLOBAL INC COM NEW (DE) | S | Y | N |
| NVDD | DIREXION SHS ETF TR DAILY NVDA | G | Y | N |
| NVX | NOVONIX LTD SPONSORED ADS (AUS | G | Y | N |
| NXU | NXU INC CL A NEW | S | Y | N |
| PWM | PRESTIGE WEALTH INC. USD CL A | S | Y | N |
| QNTM | QUANTUM BIOPHARMA LTD CL B SUB | S | Y | N |
| REBN | REBORN COFFEE INC COM (DE) | S | Y | N |
| RNAZ | TRANSCODE THERAPEUTICS INC COM | S | Y | N |
| SMCL | GRANITESHS ETF TR 2X LONG SMCI | G | Y | N |
| SMCX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SMST | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SOPA | SOCIETY PASS INC COM NEW | S | Y | N |
| SPCB | SUPERCOM LTD NEW ORD SH PAR VA | S | Y | N |
| SPGC | SACKS PARENTE GOLF INC COM NEW | S | Y | N |
| SXTP | 60 DEGREES PHARMACEUTICALS INC | S | Y | N |
| TARA | PROTARA THERAPEUTICS INC | G | Y | N |
| TSDD | GRANITESHARES ETF TR 2X SHORT | G | Y | N |
| VCIG | VCI GLOBAL LTD SHS NEW (VGB) | S | Y | N |
| VMAR | VISION MARINE TECHNOLOGIES INC | 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.
