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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)
54

File Download

Trade Date Download Link File Creation Timestamp
Monday, March 9, 2026 Download 3/9/2026 11:00:13 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
ACAAU AVERIN CAP ACQ CP USD UTS CONS G Y N
AMZD DIREXION SHS ETF TR DAILY AMZN G Y N
BHAT BLUE HAT INTERACTIVE ENTMT TEC S Y N
BNAI BRAND ENGAGEMENT NETWORK INC C S Y N
BRTX BIORESTORATIVE THERAPIES INC.C S Y N
CDIO CARDIO DIAGNOSTICS HLDGS INC C S Y N
CISS C3IS INC COM NEW JAN 2026 (MHL S Y N
CMMB CHEMOMAB THERAPEUTICS LTD SPON S Y N
DUOG THEMES ETF TR LEVERAGE SHS 2X G Y N
EDSA EDESA BIOTECH INC COM NEW (C S Y N
ELPW ELONG PWR HLDG LTD SHS CL A (N G Y N
FFAI FARADAY FUTURE INTELLIGENT ELE S Y N
FGNX FG NEXUS INC. COM PAR $ G Y N
FRGT FREIGHT TECHNOLOGIES INC ORD S S Y N
GGLS DIREXION SHS ETF TR DAILY GOOG G Y N
GNLN GREENLANE HLDGS INC CL A NEW 2 S Y N
GV VISIONARY HLDGS INC COM NEW ( S Y N
HBR CANARY HBAR ETF SHS BEN INT G Y N
HIMZ TIDAL TR II DEFIANCE DAILY TAR G Y N
HOOX TIDAL TR II DEFIANCE DAILY TAR G Y N
IONZ TIDAL TR II DEFIANCE DAILY TAR G Y N
LFS LEIFRAS CO LTD ADS REPSTG ORD S Y N
LGHL LION GROUP HLDG LTD ADR NEW 20 S Y N
MSTX TIDAL TR II DEFIANCE DAILY TAR G Y N
MUD DIREXION SHS ETF TR DAILY MU B G Y N
MYCH SSGA ACTIVE TRUST STATE STREET G Y N
NFXL DIREXION SHS ETF TR DAILY NFLX G Y N
NOWL GRANITESHARES ETF TR 2X LONG N G Y N
NVDL GRANITESHARES ETF TR 2X LONG N G Y N
OKLL TIDAL TR II DEFIANCE DAILY TAR G Y N
PLTZ TIDAL TR II DEFIANCE DAILY TAR G Y N
QBTZ TIDAL TR II DEFIANCE DAILY TAR G Y N
RETO RETO ECO-SOLUTIONS INC SHS NEW S Y N
RGTX TIDAL TR II DEFIANCE DAILY TAR G Y N
RGTZ TIDAL TR II DEFIANCE DAILY TAR G Y N
RKLZ TIDAL TR II DEFIANCE DILY TARG G Y N
RUBI RUBICO INC COM PAR $ (MHL) S Y N
RVSN RAIL VISION LTD SHS NEW SHS N S Y N
SEV APTERA MTRS CORP COM CL B S Y N
SMCL GRANITESHS ETF TR 2X LONG SMCI G Y N
SMCX TIDAL TR II DEFIANCE DAILY TAR G Y N
SMST TIDAL TR II DEFIANCE DAILY TAR G Y N
SOUX TIDAL TR II DEFIANCE DAILY TAR G Y N
STAK STAK INC ORD USD CL A ORD SHS S Y N
SVRN OCEANPAL INC COM PAR $0.01 NEW S Y N
TSLS DIREXION SHS ETF TR DAILY TSLA G Y N
TURB TURBO ENERGY S A SPONSORED ADR S Y N
UOKA MDJM LTD USD CL A ORD SHS (CYM S Y N
VEEE TWIN VEE POWERCATS CO COM NEW S Y N
WHLR WHEELER REAL ESTATE INVT TR IN S Y N
XTIA XTI AEROSPACE INC COM COM NEW S Y N
XTKG X3 HOLDINGS CO LTD CL A ORD SH S Y N
XWEL XWELL INC COM PAR $0.01 NEW 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.