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.

Note: The list below contains securities from OTCBB, Other OTC and NASDAQ markets. The totals below reflects the number of securities from each marketplace that are included in the list. Please review the "Market Category" field for the specific listing market for each security.

Market Category Counts

OTCBB (U) Other OTC (u) NASDAQ (Q,G,S)
6 23 21

File Download

Trade Date Download Link File Creation Timestamp
Wednesday, October 29, 2014 Download 10/29/2014 11:00:04 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
AGND WISDOMTREE TR BARCLAYS US AGGR G Y N
AKBTY AKBANK TURK ANONIM SIRKETI ADR u N Y
AMSE AMERICAN SANDS ENERGY CORP COM U Y N
AVTO Avantogen Oncology, Inc. Commo u Y N
CDID QUAD ENERGY CORP. COMMON STOCK u Y N
CEGX CARDINAL ENERGY GROUP, INC. CO U Y N
CFRUY Compagnie Financiere Richemont u N Y
COCO CORINTHIAN COLLEGES INC Q Y N
COVS COVISINT CORP COM Q Y N
CRMBQ CRUMBS BAKE SHOP INC u N Y
DBOEY Deutsche Boerse Ag Unsponsored u N Y
DGLY DIGITAL ALLY INC COM STK NEW ( S Y N
DGRW WISDOMTREE TR US DIVID GROWTH G Y N
DRGDF DETOUR GOLD CORP COM (CANADA) u N Y
DROP FUSE SCIENCE, INC. COMMON STOC u Y N
FTHI FIRST TRUST HIGH INCOME ETF G Y N
FV FIRST TRUST DORSEY WRIGHT FOCU G Y N
GDFZY GDF SUEZ SPONSORED ADR (FRANCE u N Y
GPRO GOPRO INC CL A COM STK (DE) Q Y N
GRBK GREEN BRICK PARTNERS INC COMMO S Y N
HJOE HANGOVER JOE'S HOLDING CORPORA U Y N
IVWFF IVERNIA INC u N Y
JALA BE ACTIVE HOLDINGS, INC. COMMO u Y N
KNDI KANDI TECHNOLGIES,GROUP COMMON Q Y N
LAKE LAKELAND INDUSTRIES INC G Y N
ONEQ FIDELITY NASDAQ COMPOSITE INDE G Y N
ORKLY ORKLA AS SPON ADR (REP-A) u N Y
PBSFY ProsiebenSat.1 Media AG Muench u N Y
PLRM PILGRIM BANCSHARES, INC. COMMO U Y N
PSCC POWERSHARES S&P SMALLCAP CONSU G Y N
QASP QUASAR AEROSPACE INDUSTRIES, I u Y N
QCLN FIRST TR NASDAQ CLEAN EDGE GRE G Y N
RGDX RESPONSE GENETICS, INC COMMON S Y N
SBGSY SCHNEIDER ELECTRIC SE UNSPONSO u N Y
SNET SOURCINGLINK NET INC COM STK ( u Y N
SNWV SANUWAVE HEALTH INC COM STK (N U Y N
SOXX ISHARES PHLX SEMICONDUCTOR ETF G Y N
TSCDY TESCO PLC SPONS ADR u N Y
TUWOY TULLOW OIL PLC UNSPONSORED ADR u N Y
UAMM UA MULTIMEDIA INC COM STK NEW u Y N
UOVEY UNITED OVERSEAS BANK SPONS ADR u N Y
VGLT VANGUARD LG-TRM GOVT BD ETF G Y N
VIVMF VIVEVE MEDICAL, INC. COMMON ST u Y N
VLYWW VALLEY NATIONAL BANCORP WTS S Y N
VOIL VIRTUS OIL AND GAS CORP. COMMO U Y N
VTAE VITAE PHARMACEUTICALS INC COMM G Y N
VTEQ VERITEQ CORPORATION COMMON STO u Y N
VTWG VANGUARD RUSSELL 2000 GROWTH E G Y N
XONE EXONE CO COM (THE) Q Y N
XTRN LAS VEGAS RAILWAY EXPRESS. COM u Y N