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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 | 26 | 18 |
File Download
| Trade Date | Download Link | File Creation Timestamp |
|---|---|---|
| Monday, May 20, 2013 | Download | 5/20/2013 11:00:01 PM |
Threshold Security List
| Symbol | Security Name | Market Category | Reg SHO Threshold Flag | Rule 3210 |
|---|---|---|---|---|
| ACUR | Acura Pharmaceuticals, Inc. Ne | S | Y | N |
| AFFY | AFFYMAX INC COM | Q | Y | N |
| APPA | AP PHARMA INC COM STK (DE) | U | Y | N |
| BPFHP | BOSTON PRIVATE FINL HLDGS INC | Q | Y | N |
| CBMX | COMBIMATRIX CORP COM NEW | S | Y | N |
| CDID | QUAD ENERGY CORP. COMMON STOCK | u | Y | N |
| DBOEY | Deutsche Boerse Ag Unsponsored | u | N | Y |
| ENSV | ENSERVCO CORPORATION COMMON ST | U | Y | N |
| EUFN | ISHARES MSCI EUROPE FINANCIALS | G | Y | N |
| EVSV | ENVIRO-SERV, INC. COMMON STOCK | u | Y | N |
| FANDY | Firstrand Ltd Unsponsored ADR | u | N | Y |
| FSGI | FIRST SECURITY GROUP, INC. | S | Y | N |
| FUJHY | FUJI HEAVY INDS LTD ADR | u | N | Y |
| GBSX | GBS ENTERPRISES INCORPORATED C | U | Y | N |
| HRTPY | HRT PARTICIPACOES EM PETROLEO | u | N | Y |
| INVA | INOVA TECHNOLOGY INC COM STK N | u | Y | N |
| LNCGY | Linc Energy Limited Sponsored | u | N | Y |
| LOTE | LOT78, INC. COM STK | u | Y | N |
| LPTH | LIGHTPATH TECHNOLOGIES INC | S | Y | N |
| LVMUY | LVMH MOET HENNESSY LOUIS VUITT | u | Y | N |
| MARA | MARATHON PATENT GROUP, INC. CO | U | Y | N |
| MDABY | MEDA AB UNSPONSORED ADR (SWEDE | u | N | Y |
| MDIV | FIRST TRUST MULTI-ASSET DIVERS | G | Y | N |
| MTNOY | MTN GROUP LTD SPONS ADR | u | N | Y |
| ODMTY | OLD MUTUAL PLC NEW UNSPONSORED | u | Y | N |
| PDRDY | PERNOD RICARD SA SPON ADR | u | N | Y |
| PMCM | PRIMCO MANAGEMENT, INC. COMMON | U | Y | N |
| PNPFF | PINETREE CAPITAL LTD | u | N | Y |
| QCLN | FIRST TR NASDAQ CLEAN EDGE GRE | G | Y | N |
| RVXCF | RESVERLOGIX CORP | u | N | Y |
| SAPXD | SEVEN ARTS ENTERTAINMENT, INC. | u | Y | N |
| SCON | SUPERCONDUCTOR TECHS INC | S | Y | N |
| SFES | Safestitch Medical, Inc. Commo | U | Y | N |
| SGLB | SIGMA LABS, INC. COMMON STOCK | u | Y | N |
| SOXX | ISHARES PHLX SOX SEMICONDUCTOR | G | Y | N |
| SQQQ | PROSHARES ULTRAPRO SHORT QQQ N | G | Y | N |
| SUPN | SUPERNUS PHARMACEUTICALS INC C | G | Y | N |
| TAGG | TAGLIKEME CORP COMMON STOCK (N | u | Y | N |
| TCEHY | Tencent Holdings Limited Unspo | u | N | Y |
| TDIV | FIRST TRUST NASDAQ TECHNOLOGY | G | Y | N |
| TELNY | TELENOR ASA | u | N | Y |
| TMKXY | TMK OAO SPONSORED ADR (RU) | u | N | Y |
| TNIB | TNI BIOTECH, INC. COMMON STOCK | u | N | Y |
| TRMD | TORM A/S AMERICAN DEPOSITARY S | S | Y | N |
| UOMO | UOMO MEDIA INC NEW COM STK (NV | u | Y | N |
| VCIT | VANGUARD INTERMEDIATE-TERM COR | G | Y | N |
| VCSH | VANGUARD SHT-TERM CORP BD ETF | G | Y | N |
| VNDB | VENDUM BATTERIES INC. COMMON | u | Y | N |
| VTIP | VANGUARD SHT TRM INFLT-PROT FD | G | Y | N |
| YTRV | YATERRA VENTURES CORP COM STK | u | Y | N |
