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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)
55

File Download

Trade Date Download Link File Creation Timestamp
Wednesday, December 31, 2025 Download 12/31/2025 11:00:05 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ADTX ADITXT INC COM PAR $0.001 NEW S Y N
AGPU AXE COMPUTE INC. COMMON STOCK S Y N
AIA ISHARES S&P ASIA 50 ETF G Y N
AKAN AKANDA CORP COM PAR $ NEW 08/2 S Y N
ASTI ASCENT SOLAR TECHNOLOGIES INC S Y N
ATMC ALPHATIME ACQUISITION CORP ORD S Y N
AZI AUTOZI INTERNET TECH GLOBAL LT G Y N
BBNX BETA BIONICS INC COM G Y N
BMNG THEMES ETF TR LEVERAGE SHS 2X G Y N
BNRG BRENMILLER ENERGY LTD SHS NO P S Y N
BRKU DIREXION SHS ETF TR DAILY BRK/ G Y N
CAIQ CALAMOS ETF TR NASDAQ AUTOCALL G Y N
CETX CEMTREX INC COM PAR $.001 NEW S Y N
CRCG THEMES ETF TR LEVERAGE SHARES G Y N
CRWG THEMES ETF TR LEVERAGE SHARES G Y N
DFDV DEFI DEVELOPMENT CORP. COMMON S Y N
EASY TWO RDS SHARED TR LIBERTY ONE G Y N
ECDA ECD AUTOMOTIVE DESIGN INCCOM P S Y N
ELAB PMGC HLDGS INC COM PAR $0.0001 S Y N
HCTI HEALTHCARE TRIANGLE INC COM PA S Y N
HIHO HIGHWAY HOLDINGS LTD S Y N
HIMZ TIDAL TR II DEFIANCE DAILY TAR G Y N
HUBC HUB CYBER SEC LTD SHS NO PAR N S Y N
INHD INNO HLDGS INC COM NO PAR S Y N
IONX TIDAL TR II DEFIANCE DAILY TAR G Y N
IONZ TIDAL TR II DEFIANCE DAILY TAR G Y N
IVP INSPIRE VETERINARY PARTNERS IN S Y N
KALA KALA BIO, INC. COMMON STOCK (D S Y N
KITT NAUTICUS ROBOTICS, INC. COM PA S Y N
LGHL LION GROUP HLDG LTD ADR NEW 20 S 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
OKLL TIDAL TR II DEFIANCE DAILY TAR G Y N
PCSA PROCESSA PHARMACEUTICALS INC S Y N
PLTZ TIDAL TR II DEFIANCE DAILY TAR G Y N
QBTZ TIDAL TR II DEFIANCE DAILY TAR G Y N
RADX RADIOPHARM THERANOSTICS LTD S S Y N
RGTX TIDAL TR II DEFIANCE DAILY TAR G Y N
RGTZ TIDAL TR II DEFIANCE DAILY TAR G Y N
RNWWW RENEW ENERGY GLOBAL PLC WT EXP Q Y N
RUBI RUBICO INC COM NEW (MHL) S Y N
SIDU SIDUS SPACE INC CL A COM NEW S Y N
SLS SELLAS LIFE SCIENCES GROUP INC 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
SOPA SOCIETY PASS INC COM NEW S Y N
SPCT TWO RDS SHARED TR LIBERTY ONE G Y N
SUGP SU GROUP HLDGS LTD USD CL A SH S Y N
SUUN POWERBANK CORP COM(CAN) G Y N
SVRN OCEANPAL INC COM PAR $0.01 NEW S Y N
VCIG VCI GLOBAL LTD COM PAR $ NEW ( S Y N
VMAR VISION MARINE TECHNOLOGIES INC S Y N
WOK WORK MED TECHNOLOGY GROUP LTD 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.