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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 |
|---|---|---|
| Thursday, March 26, 2026 | Download | 3/26/2026 11:00:06 PM |
Threshold Security List
| Symbol | Security Name | Market Category | Reg SHO Threshold Flag | Rule 3210 |
|---|---|---|---|---|
| ACWX | ISHARES MSCI ACWI EX US ETF | G | Y | N |
| ACXP | ACURX PHARMACEUTICALS INC COM | S | Y | N |
| AMDD | DIREXION SHS ETF TR DAILY AMD | G | Y | N |
| AMZD | DIREXION SHS ETF TR DAILY AMZN | G | Y | N |
| ANY | SPHERE 3D CORP NEW COM NEW 202 | S | Y | N |
| ARTL | ARTELO BIOSCIENCES INC COM NEW | S | Y | N |
| BAIG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| BIAF | BIOAFFINITY TECHNOLOGIES INC C | S | Y | N |
| BMNG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| BNAI | BRAND ENGAGEMENT NETWORK INC C | S | Y | N |
| BRTX | BIORESTORATIVE THERAPIES INC.C | S | Y | N |
| CHNR | CHINA NAT RES INC SHS NEW COM | S | Y | N |
| CMCT | CREATIVE MEDIA & CMNTY TR CORP | S | Y | N |
| CXAI | CXAPP INC CL A | S | Y | N |
| DXST | DECENT HLDG INC USD CL A NEW P | S | Y | N |
| EDSA | EDESA BIOTECH INC COM NEW (C | S | Y | N |
| ETHB | ISHARES STAKED ETHEREUM TR ETF | G | Y | N |
| FFAI | FARADAY FUTURE INTELLIGENT ELE | S | Y | N |
| FIGG | THEMES ETF TR LEVERAGE SHS 2X | G | Y | N |
| GGLS | DIREXION SHS ETF TR DAILY GOOG | G | Y | N |
| GV | VISIONARY HLDGS INC COM NEW ( | S | Y | N |
| HCWB | HCW BIOLOGICS INC COM NEW | S | Y | N |
| HIMZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| HUBC | HUB CYBER SEC LTD ORD SHS NO P | S | Y | N |
| IBG | INNOVATION BEVERAGE GROUP LTD | S | Y | N |
| IONZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| ISPC | ISPECIMEN INC COM NEW (DE) | S | Y | N |
| KC | KINGSOFT CLOUD HLDGS LTD ADR ( | Q | Y | N |
| LFS | LEIFRAS CO LTD ADS REPSTG ORD | S | Y | N |
| LGVN | LONGEVERON INC COM CL A NEW | S | Y | N |
| LNAI | LUNAI BIOWORKS INC COM NEW | S | Y | N |
| LNKS | LINKERS INDS LTD ORD SHS CL A | S | Y | N |
| MOBX | MOBIX LABS INC COM CL A(DE) | S | Y | N |
| MSTX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| MYCH | SSGA ACTIVE TRUST STATE STREET | G | Y | N |
| NFXL | DIREXION SHS ETF TR DAILY NFLX | G | Y | N |
| NNE | NANO NUCLEAR ENERGY INC. COMMO | S | Y | N |
| NOWL | GRANITESHARES ETF TR 2X LONG N | G | Y | N |
| OKLL | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| ORCX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| PLTZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| QBTZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| RGTX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| RGTZ | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| RKLZ | TIDAL TR II DEFIANCE DILY TARG | G | Y | N |
| SKRE | ETF OPPORTUNITIES TR ETF OPPOR | G | Y | N |
| SMCL | GRANITESHS ETF TR 2X LONG SMCI | G | Y | N |
| SMCX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SMST | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SMX | SMX SEC MATTERS PLC ORD SHS NE | S | Y | N |
| SOLT | VOLATILITY SHS TR 2X SOLANA ET | G | Y | N |
| SOUX | TIDAL TR II DEFIANCE DAILY TAR | G | Y | N |
| SUNE | SUNATION ENERGY INC COM PAR $0 | S | Y | N |
| SVRN | OCEANPAL INC COM PAR $0.01 NEW | S | Y | N |
| TURB | TURBO ENERGY S A SPONSORED ADR | S | Y | N |
| UCAR | U PWR LTD USD CL A ORD SHS (CY | S | Y | N |
| VEEE | TWIN VEE POWERCATS CO COM NEW | S | Y | N |
| YMT | YIMUTIAN INC ADR | G | 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.
