Reg SHO Threshold List
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.
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
|Trade Date||Download Link||File Creation Timestamp|
|Friday, December 19, 2014||Download||12/19/2014 11:00:03 PM|
Threshold Security List
|Symbol||Security Name||Market Category||Reg SHO Threshold Flag||Rule 3210|
|AMDA||AMEDICA CORP COM STK (DE)||S||Y||N|
|APDNW||APPLIED DNA SCIENCES INC WT||S||Y||N|
|CFO||COMPASS EMP FDS TR U S 500 ENH||G||Y||N|
|DGLY||DIGITAL ALLY INC COM STK NEW (||S||Y||N|
|DGRW||WISDOMTREE TR US DIVID GROWTH||G||Y||N|
|DXGE||WISDOMTREE GERMANY HEDGED EQUI||G||Y||N|
|DXJS||WISDOMTREE TR JAPAN SMALLCAP H||G||Y||N|
|DXKW||WISDOMTREE KOREA HEDGED EQUITY||G||Y||N|
|EEMA||ISHARES MSCI EMERGING MARKETS||G||Y||N|
|FTCS||FIRST TRUST CAPITAL STRENGTH E||G||Y||N|
|IFV||FIRST TRUST DORSEY WRIGHT INTE||G||Y||N|
|PSCT||POWERSHARES S&P SMALLCAP INFOR||G||Y||N|
|RDVY||FIRST TR ETF FIRST TR NASDAQ R||G||Y||N|
|SHLDW||SEARS HOLDINGS CORPORATION WAR||Q||Y||N|
|SOXX||ISHARES PHLX SEMICONDUCTOR ETF||G||Y||N|
|SZYM||SOLAZYME INC COM STK (DE)||Q||Y||N|
|VBND||ETF SER SOLUTIONS VIDENT CORE||G||Y||N|
|VGSH||VANGUARD SHT-TRM GOVT BD ETF||G||Y||N|
|VONE||VANGUARD RUSSELL 1000 ETF||G||Y||N|
|VYFC||VALLEY FINL CORP (VA)||S||Y||N|