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)
25

File Download

Trade Date Download Link File Creation Timestamp
Friday, September 23, 2016 Download 9/23/2016 11:00:21 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ADMP ADAMIS PHARMACEUTICALS CORP CO S Y N
AIRR FIRST TR VI RBA AMERN INDL REN G Y N
CDC VICTORY PORTFOLIOS II CEMP US G Y N
CFA VICTORY PORTFOLIOS II CEMP US G Y N
CSBR CHAMPIONS ONCOLOGY INC COM NEW S Y N
DGRS WISDOMTREE TR US SMALL CAP QUA G Y N
DRYS DRYSHIPS INC COM PAR$0.1 (MHL) S Y N
FEM FIRST TRUST EMERGING MARKETS A G Y N
FNK FIRST TRUST MID CAP VALUE ALPH G Y N
GNMA ISHARES GNMA BOND ETF G Y N
LVHD LEGG MASON ETF EQUITY TR LOW V G Y N
MARA MARATHON PATENT GROUP INC COM S Y N
MBVX MABVAX THERAPEUTICS HOLDINGS, S Y N
MPCT ISHARES TRUST MSCI GLOBAL IMPA G Y N
RDVY FIRST TR ETF FIRST TR NASDAQ R G Y N
RGSE REAL GOODS SOLAR INC CL A NEW S Y N
SOCL GLOBAL X SOCIAL MEDIA INDEX G Y N
SOXX ISHARES PHLX SEMICONDUCTOR ETF G Y N
SPU SKYPEOPLE FRUIT JUICE INC COM G Y N
TQQQ PROSHARES ULTRAPRO QQQ G Y N
TUTT ETFIS SER TR I TUTTLE TACTICAL G Y N
TVIX CREDIT SUISSE AG NASSAU BRH VE G Y N
VGLT VANGUARD LG-TRM GOVT BD ETF G Y N
WATT ENERGOUS CORP COM STK S Y N
XCOM XTERA COMMUNICATIONS INC COM S G Y N