Regulation SHO Pilot List Data Fields & Definitions

File Format - Download and FTP Files

The file format for both the Download and FTP file is as follows:

Symbol | Security Name | Market Category | Reg SHO Threshold Flag | Rule 3210 | Filler

  • File Name: nasdaqplayyyymmdd.txt, where yyyymmdd reflects the trade date the data is based on.
  • Timestamp: The end of the data file will contain a timestamp row yyyymmddhhmmss, indicating when the file was created. This timestamp will indicate that the file is complete.

Definitions and Data Fields - Download and FTP Files

Column Heading Definition
Symbol The four or five character identifier for each NASDAQ Security
Security Name The firm name for the security in the NASDAQ system.
Market Category The market category of the issue.

The allowed values for the Market Category are as follows:

  • Q - The NASDAQ Stock Market, Inc.
  • U - OTC Bulletin Board (OTCBB)
  • u - Other-OTC
Time Stamp Row at end of the file The end of the data file will contain a time stamp row in the following format: YYYYMMDDHHMMSS. The timestamp represents when the file is created and it could indicate a different date if posted after midnight of the settlement date.

Additional Information