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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)
52

File Download

Trade Date Download Link File Creation Timestamp
Friday, October 24, 2025 Download 10/24/2025 11:00:06 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ACCL ACCO GROUP HLDGS LTD ORD SHS N S Y N
ADAP ADAPTIMMUNE THERAPEUTICS PLC S S Y N
AIPO TIDAL TR II DEFIANCE AI & PWR G Y N
AKAN AKANDA CORP COM PAR $ NEW 08/2 S Y N
APPX INVMENT MNGERS SER TR II TRADR G Y N
AREB AMERICAN REBEL HLDGS INC COM P S Y N
ASST STRIVE INC CL A COM (NV) G Y N
BIAF BIOAFFINITY TECHNOLOGIES INC C S Y N
BNC CEA IND INC COM NEW PAR $0.000 S Y N
BULG THEMES ETF TR LEVERAGE SHARES G Y N
BYND BEYOND MEAT INC COM (DE) Q Y N
CDT CDT EQUITY INC COM PAR $0.0001 S Y N
CERO CERO THERAPEUTICS HLDGS INC C S Y N
CRCG THEMES ETF TR LEVERAGE SHARES G Y N
DKNX TIDAL TR II DEFIANCE DAILY TAR G Y N
ELBM ELECTRA BATTERY MATLS CORP COM S Y N
FGI FGI INDS LTD SHS NEW (CYM) S Y N
FGNX FG NEXUS INC. COMMON STOCK (NV G Y N
HIMZ TIDAL TR II DEFIANCE DAILY TAR G Y N
HONDW HCM II ACQUISITION CORP WT EXP G Y N
HSDT SOLANA CO COM CL A NEW MAY 20 S Y N
IONZ TIDAL TR II DEFIANCE DAILY TAR G Y N
ISUL GRANITESHARES ETF TR GRANITESH G Y N
IVF INVO FERTILITY INC COM PAR $0. S Y N
LAWR ROBOT CONSULTING CO LTD SPONSO S Y N
LAZR LUMINAR TECHNOLOGIES INC. COM Q Y N
LFS LEIFRAS CO LTD ADS REPSTG ORD S Y N
LITM SNOW LAKE RES LTD COM NO PAR ( S Y N
LITS LITE STRATEGY INC COM PAR $ (D S Y N
LOTI TWO RDS SHARED TR LIBERTY ONE G Y N
MSTX TIDAL TR II DEFIANCE DAILY TAR G Y N
NBIL GRANITESHARES ETF TR GRANITESH G Y N
NVA NOVA MINERALS LIMITED AMERICAN S Y N
NVX NOVONIX LTD SPONSORED ADS (AUS G Y N
PFAI PINNACLE FOOD GROUP LTD SD CL S Y N
PLTZ TIDAL TR II DEFIANCE DAILY TA G Y N
PMAX POWELL MAX LIMITED CLASS A ORD S Y N
QCLS Q/C TECHNOLOGIES INC COM PAR $ S Y N
RKLX TIDAL TR II DEFIANCE DAILY TAR G Y N
RYOJ RYOJBABA CO LTD COM (JPN) S Y N
SGBX SAFE & GREEN HLDGS CORP COM PA S Y N
SLE SUPER LEAGUE ENTERPRISE, INC. S Y N
SLMT BRERA HLDGS PLC CL B NEW (IRL) S Y N
SLRX SALARIUS PHARMACEUTICALS INC C S Y N
SMCZ TIDAL TR II DEFIANCE DAILY TAR G Y N
SMST TIDAL TR II DEFIANCE DAILY TAR G Y N
SPRC SCISPARC LTD COM PAR $ (ISR) S Y N
TAOX TAO SYNERGIES INC COM PAR $0.0 S Y N
TSLG THEMES ETF TR LEVERAGE SHARES G Y N
TURB TURBO ENERGY S A SPONSORED ADR S Y N
WTO UTIME LTD SHS NEW US$0.001(CYM S Y N
YDKG YUEDA DIGITAL HOLDING CLASS A 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.