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)
0 23 9

File Download

Trade Date Download Link File Creation Timestamp
Friday, August 22, 2014 Download 8/22/2014 11:00:03 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ATCH AIRTOUCH COMMUNICATIONS INC DE u Y N
AVTO Avantogen Oncology, Inc. Commo u Y N
AXCG EYES ON THE GO, INC. COMMON S u Y N
CBMX COMBIMATRIX CORP COM NEW S Y N
CDID QUAD ENERGY CORP. COMMON STOCK u Y N
CFRXU CONTRAFECT CORPORATION UNIT S Y N
DGLY DIGITAL ALLY INC COM STK NEW ( S Y N
DLIA DELIA*S INC G Y N
ECIFY Electricite de France SA Unspo u N Y
EGFEY E F G EUROBANK ERGASIAS SA NEW u N Y
FCGD FIRST COLOMBIA GOLD CORP COM S u Y N
FIATY FIAT SPA NEW ADS REP 1 ORD SH u Y N
FLST FUELSTREAM INC COM STK (DE) u Y N
GMXAY GENMAB A/S ADS (SPONSORED) (DN u N Y
GPRO GOPRO INC CL A COM STK (DE) Q Y N
HCMLY Holcim Limited Unsponsored ADR u N Y
ICLN ISHARES GLOBAL CLEAN ENERGY E G Y N
INNL INNOCOLL AG AMERICAN DEPO SHS G Y N
JBAXY JULIUS BAER GROUP LTD UNSPONSO u N Y
KWEB KRANESHARES TR CSI CHINA INTER G Y N
LNCGY Linc Energy Limited Sponsored u N Y
LOXO LOXO ONCOLOGY INC COM STK G Y N
MHCC MILLENNIUM HEALTHCARE, INC COM u N Y
OGZPY GAZPROM;ADR REP 4 ORD RUB5 REG u N Y
PATCA PATRIOT COAL CORP CLASS A (DE) u N Y
PBSFY ProsiebenSat.1 Media AG Muench u N Y
SAFRY SAFRAN S A SPONSORED ADR (FRAN u N Y
SBRCY SBERBANK RUSSIA SPONSORED AME u N Y
SLTD SOLAR3D INC COM STK (DE) u Y N
TRTC TERRA TECH CORP. COMMON u Y N
VLOWY VALLOUREC S.A. SPONSORED ADR ( u N Y
VSTAD VISTAGEN THERAPEUTICS, INC. CO u Y N