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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)
46

File Download

Trade Date Download Link File Creation Timestamp
Wednesday, January 22, 2025 Download 1/22/2025 11:00:08 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ACON ACLARION INC COM NEW S Y N
ADTX ADITXT INC COM PAR $0.001 NEW S Y N
AEMD AETHLON MED INC COM PAR $0.001 S Y N
AIFF FIREFLY NEUROSCIENCE INC COM S Y N
BNZI BANZAI INTL INC CL A COM NEW S Y N
BTOG BIT ORIGIN LTD SHS NEW (CYM) S Y N
CANC TEMA ETF TR ONCOLOGY ETF G Y N
CISO CISO GLOBAL INC COM NEW S Y N
COEP COEPTIS THERAPEUTICS HLDGS INC S Y N
CYN CYNGN INC COM NEW S Y N
GCTK GLUCO TRACK INC COM PAR $0.00 S Y N
GOEV CANOO INC COM PAR $0.0001 S Y N
GQQQ EA SER TR ASTORIA US QUALITY G G Y N
GTI GRAPHJET TECHNOLOGY CLASS A OR G Y N
GXAI GAXOS.AI INC COM PAR $0.0001 ( S Y N
HSDT HELIUS MED TECHNOLOGIES INC CO S Y N
INTZ INTRUSION INC COM PAR $0.01 S Y N
KITT NAUTICUS ROBOTICS INC COM NEW S Y N
MGOL MGO GLOBAL INC COM NEW (DE) S Y N
MULN MULLEN AUTOMOTIVE INC COM PAR S Y N
NAOV NANOVIBRONIX INC COM NEW S Y N
NIVF NEWGENIVF GROUP LIMITED CL A G Y N
NVDD DIREXION SHS ETF TR DAILY NVDA G Y N
ONCO ONCONETIX, INC. COMMON STOCK S Y N
QSI QUANTUM-SI INC CL A (DE) G Y N
QUBT QUANTUM COMPUTING INC COM S Y N
RIME ALGORHYTHM HLDGS INC COM PAR $ S Y N
SILO SILO PHARMA INC COM NEW(NV) S Y N
SLRX SALARIUS PHARMACEUTICALS INC C S Y N
SMCX 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 $0.001 S Y N
SPCB SUPERCOM LTD NEW ORD SH PAR VA S Y N
TARA PROTARA THERAPEUTICS INC G Y N
TSDD GRANITESHARES ETF TR 2X SHORT G Y N
TSLG THEMES ETF TR LEVERAGE SHARES G Y N
VCIG VCI GLOBAL LTD SHS NEW (VGB) S Y N
VMAR VISION MARINE TECHNOLOGIES INC S Y N
VOLT TEMA ETF TR ELECTRIFICATION ET G Y N
VRME VERIFYME INC COM NEW S Y N
WINT WINDTREE THERAPEUTICS INC COM S Y N
WKEY WISEKEY INTL HLDGS S A SPONSOR G Y N
XPON EXPION360 INC COM NEW S Y N
XTIA XTI AEROSPACE INC COM COM NEW S Y N
XXII 22ND CENTY GROUP INC COM PAR $ S Y N
ZAPP ZAPP ELEC VEHS GROUP LTD ORD S 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.