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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)
50

File Download

Trade Date Download Link File Creation Timestamp
Tuesday, September 16, 2025 Download 9/16/2025 11:00:05 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
AAPU DIREXION SHS ETF TR DAILY AAPL G Y N
ADBG THEMES ETF TR LEVERAGE SHS 2X G Y N
ADNWW ADVENT TECHNOLOGIES HOLDINGS, S Y N
AEMD AETHLON MED INC COM PAR $0.001 S Y N
ASST STRIVE INC CL A COM (NV) G Y N
AVGX TIDAL TR II DEFIANCE DAILY TAR G Y N
BAIG THEMES ETF TR LEVERAGE SHS 2X G Y N
BINI BOLLINGER INNOVATIONS INC COM S Y N
BSLK BOLT PROJS HLDGS INC COM NEW G Y N
CRCG THEMES ETF TR LEVERAGE SHARES G Y N
CURX CURANEX PHARMACEUTICALS INC CO S Y N
DFDV DEFI DEVELOPMENT CORP. COMMON S Y N
DPRO DRAGANFLY INC (CANADA) S Y N
ETHZ ETHZILLA CORPORATION COMMON ST S Y N
FGNX FG NEXUS INC. COMMON STOCK (NV G Y N
FMFC KANDAL M VENTURE LTD CL A ORD S Y N
HIMZ TIDAL TR II DEFIANCE DAILY TAR G Y N
HWH HWH INTL INC COM NEW S Y N
INDP INDAPTUS THERAPEUTICS INC COM S Y N
IONZ TIDAL TR II DEFIANCE DAILY TAR G Y N
IPDN PROFESSIONAL DIVERSITY NETWORK S Y N
ISPC ISPECIMEN INC COM NEW (DE) S Y N
LAWR ROBOT CONSULTING CO LTD SPONSO S Y N
LITS LITE STRATEGY INC COM PAR $ (D S Y N
MOB MOBILICOM LTD ADS (AUS) S Y N
MYMF SSGA ACTIVE TR SPDR SSGA MY202 G Y N
NUKK NUKKLEUS INC NEW COM NEW G Y N
NVDD DIREXION SHS ETF TR DAILY NVDA G Y N
ORBS EIGHTCO HLDGS INC COM PAR $.00 S Y N
ORCX TIDAL TR II DEFIANCE DAILY TAR G Y N
OTLK OUTLOOK THERAPEUTICS INC COM P S Y N
PLTZ TIDAL TR II DEFIANCE DAILY TA G Y N
QMMM QMMM HLDGS LTD SHS NEW US$0.00 S Y N
SINT SINTX TECHNOLOGIES INC COM PAR S Y N
SMCZ TIDAL TR II DEFIANCE DAILY TAR G Y N
SMX SMX SEC MATTERS PLC SHS CL A J S Y N
STI SOLIDION TECHNOLOGY INC COM NE G Y N
STKE SOL STRATEGIES INC COM NEW(CAN Q Y N
STSS SHARPS TECHNOLOGY INC COM PAR S Y N
THAR THARIMMUNE INC COM PAR S Y N
TNFA TNF PHARMACEUTICALS, INC. COM S Y N
WHLR WHEELER REAL ESTATE INVT TR IN S Y N
WKSP WORKSPORT LTD COM PAR $0.0001 S Y N
WLDS WEARABLE DEVICES LTD SHS PAR $ S Y N
XHG XCHANGE TEC INC SPONSORED ADS S Y N
XTKG X3 HOLDINGS CO LTD SHS NEW US$ S Y N
YAAS YOUXIN TECHNOLOGY LTD USD CL A S Y N
ZNB ZETA NETWORK GROUP CL A ORD SH S Y N
ZOOZ ZOOZ PWR LTD CL A (ISR) 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.