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

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Friday, April 12, 2024 Download 4/12/2024 11:00:05 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ABIO ARCA BIOPHARMA INC COM PAR $.0 S Y N
ACB AURORA CANNABIS INC COM NO PAR S Y N
ADTX ADITXT INC COM PAR $0.001 S Y N
AISP AIRSHIP AI HLDGS INC COM(DE) G Y N
AKAN AKANDA CORP COM NEW (CAN) S Y N
AMDL GRANITESHARES ETF TR GRANITE 2 G Y N
AMZZ GRANITESHARES ETF TR GRANITESH G Y N
AQST AQUESTIVE THERAPEUTICS INC COM G Y N
AVTX AVALO THERAPEUTICS INC COM PAR S Y N
BACK IMAC HLDGS INC COM NEW S Y N
BCAN BYND CANNASOFT ENTERPRISES INC S Y N
BFRG BULLFROG AI HLDGS INC COM S Y N
BSGM BIOSIG TECHNOLOGIES INC COM PA S Y N
CGC CANOPY GROWTH CORP COM NEW (CA Q Y N
DJT TRUMP MEDIA & TECHNOLOGY GROUP G Y N
FRGT FREIGHT TECHNOLOGIES INC SHS N S Y N
GOEV CANOO INC CL A COM NEW S Y N
GXAI GAXOS.AI INC COM PAR $0.0001 ( S Y N
IXHL INCANNEX HEALTHCARE INC COM G Y N
KAVL KAIVAL BRANDS INNOVATIONS GROU S Y N
LGVN LONGEVERON INC COM CL A NEW S Y N
LIFW MSP RECOVERY INC CL A NEW (DE) G Y N
MDIA MEDIACO HLDG INC CL A (IN) S Y N
MESO MESOBLAST LIMITED SPONSORED AD Q Y N
MSFD DIREXION SHS ETF TR DAILY MSFT G Y N
NVDS INVESTMENT MANAGERS SER TR II G Y N
NXL NEXALIN TECHNOLOGY INC COM NEW S Y N
PIK KIDPIK CORP COM NEW S Y N
RENT RENT THE RUNWAY INC NEW CL A S Y N
RNLX RENALYTIX PLC ADS (GBR) G Y N
TCBP TC BIOPHARM HLDGS PLC SPONSORE S Y N
TSLQ INVESTMENT MANAGERS SER TR II G Y N
VVPR VIVOPOWER INTL PLC SHS NEW (GB S Y N
XTLB XTL BIOPHARMACEUTICALS LTD. AM S Y N
XXII 22ND CENTY GROUP INC COM PAR $ 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.