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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)
57

File Download

Trade Date Download Link File Creation Timestamp
Wednesday, December 10, 2025 Download 12/10/2025 11:00:06 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ABTC AMERICAN BITCOIN CORP COM CL A S Y N
ADTX ADITXT INC COM PAR $0.001 NEW S Y N
AEHL ANTELOPE ENTERPRISE HLDGS LTD S Y N
AMDD DIREXION SHS ETF TR DAILY AMD G Y N
AMZD DIREXION SHS ETF TR DAILY AMZN G Y N
AREB AMERICAN REBEL HLDGS INC COM P S Y N
ARTL ARTELO BIOSCIENCES INC COM PAR S Y N
AVL DIREXION SHS ETF TR DAILY AVGO G Y N
BAIG THEMES ETF TR LEVERAGE SHS 2X G Y N
BJDX BLUEJAY DIAGNOSTICS INC COM PA S Y N
BMNG THEMES ETF TR LEVERAGE SHS 2X G Y N
BNZI BANZAI INTL INC CL A COM PAR $ S Y N
CAPR CAPRICOR THERAPEUTICS INC COM S Y N
CDT CDT EQUITY INC COM PAR $0.0001 S Y N
CMCT CREATIVE MEDIA & CMNTY TR CORP S Y N
CMND CLEARMIND MEDICINE INC COM NEW S Y N
CRCG THEMES ETF TR LEVERAGE SHARES G Y N
CRWG THEMES ETF TR LEVERAGE SHARES G Y N
DFDVW DEFI DEV CORP WT EXP 01/21/202 S Y N
DRCT DIRECT DIGITAL HLDGS INC CL A S Y N
DRNZ REX ETF TR REX DRONE ETF G Y N
ECDA ECD AUTOMOTIVE DESIGN INC COM S Y N
GGLS DIREXION SHS ETF TR DAILY GOOG G Y N
HBR CANARY HBAR ETF SHS BEN INT G Y N
HIMZ TIDAL TR II DEFIANCE DAILY TAR G Y N
IONX TIDAL TR II DEFIANCE DAILY TAR G Y N
IONZ TIDAL TR II DEFIANCE DAILY TAR G Y N
IRBT IROBOT CORPORATION Q Y N
IVF INVO FERTILITY INC COM PAR $0. S Y N
IVP INSPIRE VETERINARY PARTNERS IN S Y N
KALA KALA BIO, INC. COMMON STOCK (D S Y N
KTTA PASITHEA THERAPEUTICS CORP COM S Y N
KZIA KAZIA THERAPEUTICS LTD SPONSOR S Y N
LAES SEALSQ CORP ORD SHS (VGB) Q Y N
LOT LOTUS TECHNOLOGY INC SPONSORED Q Y N
MNDR MOBILE-HEALTH NET SOLNS CL A O S Y N
MSTX TIDAL TR II DEFIANCE DAILY TAR G Y N
NBIL GRANITESHARES ETF TR GRANITESH G Y N
NFXL DIREXION SHS ETF TR DAILY NFLX G Y N
OKLL TIDAL TR II DEFIANCE DAILY TAR G Y N
PLRZ POLYRIZON LTD SHS NEW 2025 (IS S Y N
POM POMDOCTOR LTD ADS (CYM) G Y N
QBTZ TIDAL TR II DEFIANCE DAILY TAR G 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
RUBI RUBICO INC COM NEW (MHL) 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
SMX SMX SEC MATTERS PLC ORD SHS NE S Y N
SOFX TIDAL TR II DEFIANCE DAILY TAR G Y N
SPRB SPRUCE BIOSCIENCES INC COM NE S Y N
TSLL DIREXION SHS ETF TR DAILY TSLA G Y N
VCIG VCI GLOBAL LTD COM PAR $ NEW ( S Y N
VSA VISIONSYS AI INC ADS RATIO 1:2 S Y N
YGMZ MINGZHU LOGISTICS HLDGS LTD OR 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.