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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) |
|---|
| 58 |
File Download
| Trade Date | Download Link | File Creation Timestamp |
|---|---|---|
| Monday, January 26, 2026 | Download | 1/26/2026 11:00:13 PM |
Threshold Security List
| Symbol | Security Name | Market Category | Reg SHO Threshold Flag | Rule 3210 |
|---|---|---|---|---|
| AKAN | AKANDA CORP COM PAR $ NEW DECE | S | Y | N |
| AREB | AMERICAN REBEL HLDGS INC COM P | S | Y | N |
| ARTCU | ART TECHNOLOGY ACQ CORP.USD UN | G | Y | N |
| ASTI | ASCENT SOLAR TECHNOLOGIES INC | S | Y | N |
| BCTX | BRIACELL THERAPEUTICS CORP NEW | S | Y | N |
| BMNG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| BNAI | BRAND ENGAGEMENT NETWORK INC C | S | Y | N |
| BOXL | BOXLIGHT CORP COM CL A PAR NEW | S | Y | N |
| CHPS | DBX ETF TR XTRACKERS SEMICONDU | G | Y | N |
| CRCG | THEMES ETF TR LEVERAGE SHARES | G | Y | N |
| DRCT | DIRECT DIGITAL HLDGS INC CL A | S | Y | N |
| DRMA | DERMATA THERAPEUTICS INC COM P | S | Y | N |
| EASY | TWO RDS SHARED TR LIBERTY ONE | G | Y | N |
| EVTV | ENVIROTECH VEHS INC COM PAR $0 | S | Y | N |
| GNLN | GREENLANE HLDGS INC CL A NEW 2 | S | Y | N |
| HCTI | HEALTHCARE TRIANGLE INC COM PA | S | Y | N |
| HIMZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| INBS | INTELLIGENT BIO SOLUTIONS INC | S | Y | N |
| IONZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| JTAI | JET AI INC COM NEW | S | Y | N |
| KZIA | KAZIA THERAPEUTICS LTD SPONSOR | S | Y | N |
| LCFY | LOCAFY LTD SHS NEW(AUS) | S | Y | N |
| LIND | LINDBLAD EXPEDITIONS HLDGS INC | S | Y | N |
| MLEC | MOOLEC SCIENCE SA ORD SHS NEW | S | Y | N |
| MNTS | MOMENTUS INC CL A PAR $0.00001 | S | Y | N |
| MSFU | DIREXION SHS ETF TR DAILY MSFT | G | Y | N |
| MST | TIDAL TR II DEFIANCE LEVERAGED | G | Y | N |
| MSTP | GRANITESHARES ETF TR 2X LONG M | G | Y | N |
| MSTX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| MUD | DIREXION SHS ETF TR DAILY MU B | G | Y | N |
| NFXL | DIREXION SHS ETF TR DAILY NFLX | G | Y | N |
| NOWL | GRANITESHARES ETF TR 2X LONG N | G | Y | N |
| OKLL | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| OLOX | OLENOX INDS INC COM PAR $0.01 | S | Y | N |
| PBPH | TIDAL ETF TR IV PORT BLDG BLOC | G | Y | N |
| PLTU | DIREXION SHS ETF TR DAILY PLTR | G | Y | N |
| PLTZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| QBTZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| RGS | REGIS CORP MINN COM NEW | G | 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 |
| SDOT | SADOT GROUP INC COM PAR $ | S | Y | N |
| SEGG | LOTTERY.COM, INC. COMMON STOCK | G | Y | N |
| SHPH | SHUTTLE PHARMACEUTICALS HLDGS | S | Y | N |
| SIDU | SIDUS SPACE INC CL A COM NEW | S | Y | N |
| SMCX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SMST | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SOBR | SOBR SAFE INC COM PAR $0.00001 | S | Y | N |
| SOPA | SOCIETY PASS INC COM NEW | S | Y | N |
| SOUX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SPCT | TWO RDS SHARED TR LIBERTY ONE | G | Y | N |
| SPHL | SPRINGVIEW HLDGS LTD USD CL A | S | Y | N |
| STSS | SHARPS TECHNOLOGY INC COM PAR | S | Y | N |
| VOLT | TEMA ETF TR ELECTRIFICATION ET | G | Y | N |
| WCLD | WISDOMTREE TR CLOUD COMPUTING | G | Y | N |
| WHLR | WHEELER REAL ESTATE INVT TR IN | 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.
