Search:
   

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)
55

File Download

Trade Date Download Link File Creation Timestamp
Thursday, July 23, 2026 Download 7/23/2026 11:00:15 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
AMDD DIREXION SHS ETF TR DAILY AMD G Y N
AMZD DIREXION SHS ETF TR DAILY AMZN G Y N
ANEL TIDAL TR II DEFIANCE DAILY TAR G Y N
ARMG THEMES ETF LEVERAGE SHARES 2X G Y N
AVS DIREXION SHS ETF TR DAILY AVGO G Y N
AVXX TIDAL TR II DEFIANCE DAILY TAR G Y N
BIYA BAIYA INTL GROUP INC CL A ORD S Y N
BMNG THEMES ETF TR LEVERAGE SHS 2X G Y N
CJMB CALLAN JMB INC COM S Y N
CLRO CLEARONE INC COM NEW S Y N
FABC FABRIC.AI, INC. COMMON STOCK S Y N
FREI FIDELITY SECS FD REAL ESTATE I G Y N
GCTK GLUCO TRACK INC COM NEW 2025 S Y N
GDC GD CULTURE GROUP LTD COM PAR $ S Y N
GGLS DIREXION SHS ETF TR DAILY GOOG G Y N
INHD INNO HLDGS INC COM NO PAR NEW S Y N
IONZ TIDAL TR II DEFIANCE DAILY TAR G Y N
IQQ ISHARES TR ISHARES NASDAQ 100 G Y N
JZ JIANZHI ED TECHNOLOGY GRP CO L S Y N
KITT NAUTICUS ROBOTICS, INC. COM PA S Y N
LCID LUCID GROUP INC COM NEW Q Y N
LFS LEIFRAS CO LTD ADS REPSTG ORD S Y N
MPG THEMES ETF TR LEVERAGE SHARES G Y N
MSTX TIDAL TR II DEFIANCE DAILY TAR G Y N
MVLL GRANITESHARES ETF TR 2X LONG M G Y N
NGHT TIDAL TR II NICHOLAS BITCOIN & G Y N
NVCT NUVECTIS PHARMA INC S Y N
NVD GRANITESHARES ETF TR 2X SHORT G Y N
OKLL TIDAL TR II DEFIANCE DAILY TAR G Y N
ONCO ONCONETIX INC COM PAR $0.00001 S Y N
PCLA PICOCELA INC ADS NEW (JPN) S Y N
PMN PROMIS NEUROSCIENCES INC COM N S Y N
PYPG THEMES ETF TR LEVERAGE SHS 2X G Y N
QBTZ TIDAL TR II DEFIANCE DAILY TAR G Y N
RCAX TIDAL TR II DEFIANCE DAILY TAR G Y N
RCKTW ROCKET PHARMACEUTICALS INC WT 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 DILY TARG G Y N
SKDD GRANITESHARES ETF TR 2X SHORT G Y N
SKYQ SKY QUARRY INC COM NEW $0.0001 S 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
SOBR SOBR SAFE INC COM PAR $0.00001 S Y N
TC TOKEN CAT LIMITED AMERICAN DEP S Y N
TDTH TRIDENT DIGITAL TECH HLDGS LTD S Y N
TSDD GRANITESHARES ETF TR 2X SHORT G Y N
TSLL DIREXION SHS ETF TR DAILY TSLA G Y N
TSLR GRANITESHARES ETF TR 2X LONG T G Y N
VEEE TWIN VEE POWERCATS CO COM PAR S Y N
VIVS VIVOSIM LABS, INC. COMMON STOC S Y N
WYHG WING YIP FOOD HLDGS GROUP LTD 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.