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

NASDAQ (Q,G,S)
15

File Download

Trade Date Download Link File Creation Timestamp
Monday, April 20, 2015 Download 4/20/2015 11:00:11 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
BIS PROSHARES TR ULTRASHORT NASDAQ G Y N
CCD CALAMOS DYNAMIC CONV & INCOME Q Y N
CIZ COMPASS EMP FDS TR INTL 500 EN G Y N
DXJS WISDOMTREE TR JAPAN SMALLCAP H G Y N
GBSN GREAT BASIN SCIENTIFIC INC COM S Y N
GENE GENETIC TECHS LTD SPONSORED AD S Y N
IFV FIRST TRUST DORSEY WRIGHT INTE G Y N
KONE KINGTONE WIRELESSINFO SOLUTION S Y N
NVGN NOVOGEN LTD SPONSORED ADR S Y N
PPHMP PEREGRINE PHARMACEUTICALS INC S Y N
RIBT RICEBRAN TECHNOLOGIES COMMON S S Y N
SYRX SYSOREX GLOBAL HLDGS CORP COM S Y N
TVIX CREDIT SUISSE NASSAU VS BRH EX G Y N
VGIT VANGUARD INTERMEDIATE-TERM GOV G Y N
VGLT VANGUARD LG-TRM GOVT BD ETF G Y N