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)
32

File Download

Trade Date Download Link File Creation Timestamp
Friday, May 16, 2025 Download 5/16/2025 11:00:20 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
AAPU DIREXION SHS ETF TR DAILY AAPL G Y N
AREB AMERICAN REBEL HLDGS INC COM N S Y N
BNZI BANZAI INTL INC CL A COM NEW S Y N
BON BON NAT LIFE LTD USD CL A SHS S Y N
CAN CANAAN INC SPONSORED ADR (CYM) G Y N
CASK HERITAGE DISTILLING HLDG CO IN S Y N
CISO CISO GLOBAL INC COM NEW S Y N
CONI GRANITESHARES ETF TR 2X SHORT G Y N
DEVS DEVVSTREAM CORP COM (CAN) S Y N
DGLY DIGITAL ALLY INC NEW COM PAR $ S Y N
FRGT FREIGHT TECHNOLOGIES INC SHS N S Y N
FTXH FIRST TR ETF VI NASDAQ PHARMAC G Y N
GNLN GREENLANE HLDGS INC CL A PAR V S Y N
HCTI HEALTHCARE TRIANGLE INC COM NE S Y N
ICCT ICORECONNECT INC COM NEW S Y N
IONX TIDAL TR II DEFIANCE DAILY TAR G Y N
IVF INVO FERTILITY, INC. COMMON ST S Y N
MNDR MOBILE-HEALTH NETWORK SOLUTION S Y N
MULN MULLEN AUTOMOTIVE INC COM NEW S Y N
NAOV NANOVIBRONIX INC COM PAR $0.00 S Y N
NCNA NUCANA PLC SPONSORED ADR NEW S Y N
NIVF NEWGENIVF GROUP LIM USD CL A O S Y N
PLRZ POLYRIZON LTD SHS (ISR) S Y N
PONY PONY AI INC SPONSORED ADS(CYM) Q Y N
PSTV PLUS THERAPEUTICS INC COM PAR S Y N
PTIX PROTAGENIC THERAPEUTICS INC CO S Y N
PTPI PETROS PHARMACEUTICALS INC COM S Y N
SYTA SIYATA MOBILE INC COM NO PAR 2 S Y N
TAOP TAOPING INC SHS NEW USD NO PAR S Y N
TNFA TNF PHARMACEUTICALS, INC. COMM S Y N
UPXI UPEXI INC COM NEW S Y N
WBUY WEBUY GLOBAL LTD. CLASS A ORDI 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.