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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) |
|---|
| 40 |
File Download
| Trade Date | Download Link | File Creation Timestamp |
|---|---|---|
| Thursday, April 17, 2025 | Download | 4/17/2025 11:00:06 PM |
Threshold Security List
| Symbol | Security Name | Market Category | Reg SHO Threshold Flag | Rule 3210 |
|---|---|---|---|---|
| AAPU | DIREXION SHS ETF TR DAILY AAPL | G | Y | N |
| AREB | AMERICAN REBEL HLDGS INC COM N | S | Y | N |
| BFRG | BULLFROG AI HLDGS INC COM | S | Y | N |
| BHAT | BLUE HAT INTERACTIVE ENTMT TEC | S | Y | N |
| BJDX | BLUEJAY DIAGNOSTICS INC COM PA | S | Y | N |
| BLIV | BELIVE HLDG ORD SHS (CYM) | S | Y | N |
| BNZI | BANZAI INTL INC CL A COM NEW | S | Y | N |
| BON | BON NAT LIFE LTD USD CL A SHS | S | Y | N |
| BTOG | BIT ORIGIN LTD SHS NEW (CYM) | S | Y | N |
| CDT | CONDUIT PHARMACEUTICALS INC CO | G | Y | N |
| DMN | DAMON INC. COMMON STOCK (CAN) | G | Y | N |
| EPSM | EPSIUM ENTERPRISE LTD USD ORD | S | Y | N |
| FMTO | FEMTO TECHNOLOGIES INC COM NEW | S | Y | N |
| HEPA | HEPION PHARMACEUTICALS INC COM | S | Y | N |
| HOOG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| ICCT | ICORECONNECT INC COM NEW | S | Y | N |
| INTW | GRANITESHARES ETF TR 2X LONG I | G | Y | N |
| JNVR | JANOVER INC COM NEW COM PAR $0 | S | Y | N |
| LGMK | LOGICMARK INC COM PAR $ NEW 20 | S | Y | N |
| MCSE | FRANKLIN TEMPLETON ETF TR MART | G | Y | N |
| METU | DIREXION SHS ETF TR DAILY META | G | Y | N |
| MQQQ | INVESTMENT MANAGERS SER TR II | G | Y | N |
| MULN | MULLEN AUTOMOTIVE INC COM NEW | S | Y | N |
| NAOV | NANOVIBRONIX INC COM PAR $0.00 | S | Y | N |
| NVDD | DIREXION SHS ETF TR DAILY NVDA | G | Y | N |
| NWTG | NEWTON GOLF COMPANY, INC. COMM | S | Y | N |
| PHIO | PHIO PHARMACEUTICALS CORP COM | S | Y | N |
| PSTV | PLUS THERAPEUTICS INC COM PAR | S | Y | N |
| QABA | FIRST TRUST NASDAQ ABA COMMUNI | G | Y | N |
| RSLS | RESHAPE LIFESCIENCES INC NEW C | S | Y | N |
| SMCX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SMST | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SOLT | VOLATILITY SHS TR 2X SOLANA ET | G | Y | N |
| STSS | SHARPS TECHNOLOGY INC COM NEW | S | Y | N |
| SUNE | SUNATION ENERGY, INC. COMMON S | S | Y | N |
| SXTP | 60 DEGREES PHARMACEUTICALS INC | S | Y | N |
| TNFA | TNF PHARMACEUTICALS, INC. COMM | S | Y | N |
| TXUE | THORNBURG ETF TR INTL EQUITY E | G | Y | N |
| WINT | WINDTREE THERAPEUTICS INC COM | S | Y | N |
| ZCAR | ZOOMCAR HLDGS INCCOM PAR $ | G | 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.
