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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
Monday, November 3, 2025 Download 11/3/2025 11:00:18 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
AGCC AGENCIA COML SPIRITS LTD USD C S Y N
AREB AMERICAN REBEL HLDGS INC COM P S Y N
ASST STRIVE INC CL A COM (NV) G Y N
BMNG THEMES ETF TR LEVERAGE SHS 2X G Y N
BNZI BANZAI INTL INC CL A COM PAR $ S Y N
BYND BEYOND MEAT INC COM (DE) Q Y N
CRCG THEMES ETF TR LEVERAGE SHARES G Y N
DKNX TIDAL TR II DEFIANCE DAILY TAR G Y N
EASY TWO RDS SHARED TR LIBERTY ONE G Y N
ELBM ELECTRA BATTERY MATLS CORP COM S Y N
ETHZ ETHZILLA CORPORATION COMMON ST S Y N
FGI FGI INDS LTD SHS NEW (CYM) S Y N
FGNX FG NEXUS INC. COMMON STOCK (NV G Y N
FRGT FREIGHT TECHNOLOGIES INC SHS N S Y N
GNLN GREENLANE HLDGS INC CL A NEW 2 S Y N
GNPX GENPREX INC COM NEW PAR $0.001 S Y N
HIMZ TIDAL TR II DEFIANCE DAILY TAR G Y N
HSDT SOLANA CO COM CL A NEW MAY 20 S Y N
IONX TIDAL TR II DEFIANCE DAILY TAR G Y N
IONZ TIDAL TR II DEFIANCE DAILY TAR G 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
NCEL NEWCELX LTD SHS (CHE) S Y N
NVA NOVA MINERALS LIMITED AMERICAN S Y N
NVX NOVONIX LTD SPONSORED ADS (AUS G Y N
OKLL TIDAL TR II DEFIANCE DAILY TAR G Y N
PLTZ TIDAL TR II DEFIANCE DAILY TA G Y N
POM POMDOCTOR LTD ADS (CYM) G Y N
PQOC PGIM ROCK ETF TR NASDAQ-100 BU G Y N
QBTZ TIDAL TR II DEFIANCE DAILY TAR G Y N
RAPT RAPT THERAPEUTICS INC COM NEW G Y N
RKLX TIDAL TR II DEFIANCE DAILY TAR G Y N
SGBX SAFE & GREEN HLDGS CORP COM PA S Y N
SLE SUPER LEAGUE ENTERPRISE, INC. S Y N
SLRX SALARIUS PHARMACEUTICALS INC C 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
SPCT TWO RDS SHARED TR LIBERTY ONE G Y N
TAOX TAO SYNERGIES INC COM PAR $0.0 S Y N
TSLR GRANITESHARES ETF TR 2X LONG T G Y N
VSEE VSEE HEALTH, INC. COMMON STOCK S Y N
WKEY WISEKEY INTL HLDGS S A SPONSOR G Y N
WTO UTIME LTD SHS NEW CL A US$0.00 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.