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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) |
|---|
| 80 |
File Download
| Trade Date | Download Link | File Creation Timestamp |
|---|---|---|
| Tuesday, October 20, 2026 | Download | 10/20/2026 11:00:25 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 |
| AMGR | AMANA MUT FDS TR GROWTH ETF | G | Y | N |
| AMOD | ALPHA MODUS HLDGS INC CL A NEW | S | Y | N |
| AMZD | DIREXION SHS ETF TR DAILY AMZN | 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 |
| BSCA | INV EXCH-TRADED SELF-INDEXED F | G | Y | N |
| BSGT | INV EXCH-TRADED SELF-INDEXED F | G | Y | N |
| CHWM | CHILWA MINERALS LTD ADS (AUS) | S | Y | N |
| CIFG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| CONL | GRANITESHARES ETF TR 2X LONG | G | Y | N |
| CRWG | THEMES ETF TR LEVERAGE SHARES | G | Y | N |
| DAIC | CID HOLDCO INC COM NEW | G | Y | N |
| DKI | DARKIRIS INC. CL A ORD SHS USD | S | Y | N |
| FAAA | FIDELITY MERRIMACK STR TR AAA | G | Y | N |
| FLYE | FLY-E GROUP INC COM PAR $0.01 | S | Y | N |
| FRGT | FREIGHT TECH INC USD ORD SHS N | S | Y | N |
| FUTG | THEMES ETF TR LEVERAGE SHS 2X | 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 |
| IPW | IPOWER INC COM PAR $0.001 NEW | S | Y | N |
| IQGR | EA SER TR ASTORIA INTL QUALITY | G | Y | N |
| JAGX | JAGUAR HEALTH INC COM PAR $0.0 | S | Y | N |
| JBDI | JBDI HLDGS LTD ORD SHS NEW ( | S | Y | N |
| JZ | JIANZHI ED TECHNOLOGY GRP CO L | 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 |
| MVIS | MICROVISION INC DEL COM PAR | S | Y | N |
| NBIL | GRANITESHARES ETF TR GRANITESH | G | 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 |
| QNRX | QUOIN PHARMACEUTICALS LTD SPON | S | 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 |
| TCRT | ALAUNOS THERAPEUTICS INC COM N | S | Y | N |
| TGL | TREASURE GLOBAL INC COM PAR $0 | S | Y | N |
| TNONW | TENON MED INC WT EXP PUR 1 SH | S | Y | N |
| TSDD | GRANITESHARES ETF TR 2X SHORT | 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 |
| WFF | WF HLDG LTD ORD SHS US$0.00025 | S | Y | N |
| WHLR | WHEELER REAL ESTATE INVT TR IN | S | Y | N |
| XHLD | TEN HLDGS INC COM NEW | S | Y | N |
| XRPN | EVERNORTH HLDGS INC CL A | G | 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.
