RSS Feeds
Product Login
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) |
|---|
| 61 |
File Download
| Trade Date | Download Link | File Creation Timestamp |
|---|---|---|
| Thursday, May 28, 2026 | Download | 5/28/2026 11:00:17 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 |
| ADTX | ADITXT INC COM NEW APRIL 2026 | S | Y | N |
| AMDD | DIREXION SHS ETF TR DAILY AMD | G | Y | N |
| AMST | AMESITE INC NEW | S | Y | N |
| AMZD | DIREXION SHS ETF TR DAILY AMZN | G | Y | N |
| BMNG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| BNZI | BANZAI INTL INC COM PAR CL A $ | S | Y | N |
| CAIIU | COLLECTIVE ACQ CORP II USD 1 C | G | Y | N |
| CMMB | CHEMOMAB THERAPEUTICS LTD SPON | S | Y | N |
| CODX | CO-DIAGNOSTICS INC COM NEW | S | Y | N |
| CREG | SMART PWR CORP COM PAR $0.001 | S | Y | N |
| EDBL | EDIBLE GARDEN AG INC COM PAR $ | S | Y | N |
| ELPW | ELONG PWR HLDG LTD SHS CL A PA | S | Y | N |
| FABC | FABRIC.AI, INC. COMMON STOCK | S | Y | N |
| FCXG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| FMACR | FUTURE MONEY ACQUISITION CORP | G | Y | N |
| GGLS | DIREXION SHS ETF TR DAILY GOOG | G | Y | N |
| GOVX | GEOVAX LABS INC COM PAR $0.001 | S | Y | N |
| HCWB | HCW BIOLOGICS INC COM NEW | S | Y | N |
| HUBC | HUB CYBER SEC LTD SHS NEW (ISR | S | Y | N |
| IONZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| LGHL | LION GROUP HLDG LTD ADR NEW 20 | S | Y | N |
| MNTS | MOMENTUS INC CL A PAR $0.00001 | S | Y | N |
| MPG | THEMES ETF TR LEVERAGE SHARES | G | Y | N |
| MSFD | DIREXION SHS ETF TR DAILY MSFT | G | Y | N |
| MSTX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| MWC | MICWARE CO LTD ADS (JPN) | G | Y | N |
| NCI | NEO-CONCEPT INTL GRP HLDGS LTD | S | Y | N |
| NCPL | NETCAPITAL INC COM NEW (UT) | S | Y | N |
| NOWL | GRANITESHARES ETF TR 2X LONG N | G | Y | N |
| NUCLW | EAGLE NUCLEAR ENERGY CORP WT E | S | Y | N |
| NVDG | THEMES ETF TR LEVERAGE SHARES | G | Y | N |
| OKLL | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| PATN | PACER FDS TR NASDAQ INTL PATEN | G | Y | N |
| PLTZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| PMAX | POWELL MAX LTD CL A ORD SHS US | S | Y | N |
| QBTZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| QUCY | QUANTUM CYBER N.V. ORDINARY SH | S | Y | N |
| RCAX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| RDTL | GRANITESHARES ETF TR 2X LONG | G | Y | N |
| RGTX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| RGTZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| RKDA | ARCADIA BIOSCIENCES INC COM PA | S | Y | N |
| RKLX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| RKLZ | TIDAL TR II DEFIANCE DILY TARG | G | Y | N |
| RPGL | REPUBLIC PWR GROUP LTD CL A SH | S | Y | N |
| SKYQ | SKY QUARRY INC COM NEW $0.0001 | S | Y | N |
| SLXN | SILEXION THERAPEUTICS CORP ORD | 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 |
| SOFX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SPPL | SIMPPLE LTD SHS NEW US$0.0008 | S | Y | N |
| THYP | 21SHARES HYPERLIQUID ETF SHS B | G | Y | N |
| TRNR | INTERACTIVE STRENGTH INC COM P | S | Y | N |
| TSDD | GRANITESHARES ETF TR 2X SHORT | G | Y | N |
| TSLG | THEMES ETF TR LEVERAGE SHARES | G | Y | N |
| VRAX | VIRAX BIOLABS GROUP LTD SHS NE | S | Y | N |
| WOK | WORK MED TECHNOLOGY GROUP LTD | S | Y | N |
| XNDU | XANADU QUANTUM TECHNOLOGIES LI | G | Y | N |
| YMAT | J-STAR HLDG CO LTD USD CL A OR | 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.
