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, October 21, 2016||Download||10/21/2016 11:00:21 PM|
Threshold Security List
|Symbol||Security Name||Market Category||Reg SHO Threshold Flag||Rule 3210|
|AIRR||FIRST TR VI RBA AMERN INDL REN||G||Y||N|
|BSPM||BIOSTAR PHARMACEUTICALS INC CO||S||Y||N|
|CDC||VICTORY PORTFOLIOS II CEMP US||G||Y||N|
|CFA||VICTORY PORTFOLIOS II CEMP US||G||Y||N|
|DRAM||DATARAM CORP COM PAR $ NEW 201||S||Y||N|
|DWAC||ELKHORN ETF TR COMMODITY ROTAT||G||Y||N|
|EKSO||EKSO BIONICS HLDGS INC COM NE||S||Y||N|
|FEM||FIRST TRUST EMERGING MARKETS A||G||Y||N|
|FYT||FIRST TRUST SMALL CAP VALUE A||G||Y||N|
|GLDI||CREDIT SUISSE X-LINKS GOLD SHS||G||Y||N|
|INVT||INVENTERGY GLOBAL INC NEW COM||S||Y||N|
|LVHD||LEGG MASON ETF EQUITY TR LOW V||G||Y||N|
|MCUR||MACROCURE LTD SHS (ISR)||G||Y||N|
|ONEQ||FIDELITY NASDAQ COMPOSITE INDE||G||Y||N|
|PPH||VANECK VECTORS TR PHARMACEUTIC||G||Y||N|
|QQEW||FIRST TR NASDAQ 100 EQUAL WEIG||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|
|SLVO||CREDIT SUISSE X-LINKS SILVER S||G||Y||N|
|SNSR||GLOBAL X FDSINTERNET OF THINGS||G||Y||N|
|SPU||SKYPEOPLE FRUIT JUICE INC COM||G||Y||N|
|TQQQ||PROSHARES ULTRAPRO QQQ||G||Y||N|
|TVIX||CREDIT SUISSE AG NASSAU BRH VE||G||Y||N|
|TWER||TOWERSTREAM CORPORATION COMMON||S||Y||N|
|UBIO||PROSHARES TR ULTRAPRO NASDAQ B||G||Y||N|
|VYMI||VANGUARD WHITEHALL FDS INTL HI||G||Y||N|