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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) |
|---|
| 68 |
File Download
| Trade Date | Download Link | File Creation Timestamp |
|---|---|---|
| Monday, July 13, 2026 | Download | 7/13/2026 11:00:04 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 |
| AAPG | ASCENTAGE PHARMA GROUP INTL AD | G | Y | N |
| ALOY | REALLOYS INC COM | S | Y | N |
| AMDD | DIREXION SHS ETF TR DAILY AMD | G | Y | N |
| AMGR | AMANA MUT FDS TR GROWTH ETF | G | Y | N |
| AMZD | DIREXION SHS ETF TR DAILY AMZN | G | Y | N |
| AVS | DIREXION SHS ETF TR DAILY AVGO | G | Y | N |
| AVXX | TIDAL TR II DEFIANCE DAILY TAR | 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 COM PAR CL A $ | S | Y | N |
| BTOG | BIT ORIGIN LTD SHS NEW US$0.00 | S | Y | N |
| BYAH | PARK HA BIOLOGICAL TECH CO. LT | S | Y | N |
| CLRO | CLEARONE INC COM NEW | S | Y | N |
| COSM | COSMOS HEALTH INC. COM | S | Y | N |
| CRML | CRITICAL METALS CORP. USD PUBC | G | Y | N |
| CRVO | CERVOMED INC COM | S | Y | N |
| FAAR | FIRST TRUST VII ALTERNATIVE AB | G | Y | N |
| FABC | FABRIC.AI, INC. COMMON STOCK | S | Y | N |
| FAMI | FARMMI INC USD CL A ORD SHS(CY | S | Y | N |
| GGLS | DIREXION SHS ETF TR DAILY GOOG | G | Y | N |
| HKIT | HITEK GLOBAL INC CL A ORD SHS | S | Y | N |
| INHD | INNO HLDGS INC COM NO PAR NEW | S | Y | N |
| IONZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| IVF | INVO FERTILITY INC COM PAR $0. | S | Y | N |
| JEM | 707 CAYMAN HLDGS LTD CL A ORD | S | Y | N |
| JZ | JIANZHI ED TECHNOLOGY GRP CO L | S | Y | N |
| LFS | LEIFRAS CO LTD ADS REPSTG ORD | S | Y | N |
| LGHL | LION GROUP HLDG LTD ADR NEW 20 | S | Y | N |
| LHSW | LIANHE SOWELL INTL GROUP LTD | S | Y | N |
| LIMN | LIMINATUS PHARMA INC CL A (DE) | G | Y | N |
| LUCY | INNOVATIVE EYEWEAR INC COM NEW | S | Y | N |
| LWAY | LIFEWAY FOODS INC | G | Y | N |
| MPG | THEMES ETF TR LEVERAGE SHARES | G | Y | N |
| MSTX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| MUD | DIREXION SHS ETF TR DAILY MU B | G | Y | N |
| NVCT | NUVECTIS PHARMA INC | S | Y | N |
| NVD | GRANITESHARES ETF TR 2X SHORT | G | Y | N |
| NVVE | NUVVE HLDG CORP COM PAR $0.000 | S | Y | N |
| OKLL | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| ONCO | ONCONETIX INC COM PAR $0.00001 | S | Y | N |
| ORCU | DIREXION SHS ETF TR DAILY ORCL | G | Y | N |
| PCLA | PICOCELA INC ADS NEW (JPN) | S | Y | N |
| PECEW | EACE ACQUISITION CORP USD WTS | S | Y | N |
| QBTZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| QTEX | QTREX QUANTUM LTD SHS (ISR) | S | Y | N |
| RCAX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| RCKTW | ROCKET PHARMACEUTICALS INC WT | S | 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 |
| RKLZ | TIDAL TR II DEFIANCE DILY TARG | G | Y | N |
| SATA | STRIVE INC PERP PFD SER A VAR | G | Y | N |
| SKYQ | SKY QUARRY INC COM NEW $0.0001 | 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 |
| SPWR | SUNPOWER INC COM (DE) | G | Y | N |
| TC | TOKEN CAT LIMITED AMERICAN DEP | S | Y | N |
| TDTH | TRIDENT DIGITAL TECH HLDGS LTD | S | Y | N |
| TISC | THRIVENT ETF TR INTL SMALL CAP | G | Y | N |
| TSDD | GRANITESHARES ETF TR 2X SHORT | G | Y | N |
| TSLR | GRANITESHARES ETF TR 2X LONG T | G | Y | N |
| USDE | STABLECOINX INC CL A | S | Y | N |
| WHLR | WHEELER REAL ESTATE INVT TR IN | S | Y | N |
| WYHG | WING YIP FOOD HLDGS GROUP LTD | S | Y | N |
| YHC | LQR HSE INC COM PAR $0.0001 (N | S | Y | N |
| ZCMD | ZHONGCHAO INC. CL A ORD SHS US | 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.
