StockSaints Logo 

Nasdaq Regulation SHO Short Sale Threshold List December 2016

  • Sharebar
54 posts / 0 new
Last post
Nasdaq Regulation SHO Short Sale Threshold List December 2016

Pages


There are several ways to view the REG SHO list. One way is to consider the stocks as possible short squeezes. The other school of thought is a lot of smart money is better on the price moving lower.

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.

Date processed on 12/01/2016

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AIRR) FIRST TR VI RBA AMERN INDL REN G Y N
(BIS) PROSHARES TR ULTRASHORT NASDAQ G Y N
(BSPM) BIOSTAR PHARMACEUTICALS INC CO S Y N
(CATH) GLOBAL X FDS GLOBAL X S&P 500 G Y N
(CDC) VICTORY PORTFOLIOS II CEMP US G Y N
(CFA) VICTORY PORTFOLIOS II CEMP US G Y N
(CFO) VICTORY PORTFOLIOS II CEMP US G Y N
(CIBR) FIRST TR FD II NASDAQ CYBERSEC G Y N
(CID) VICTORY PORTFOLIOS II CEMP INT G Y N
(CLRB) CELLECTAR BIOSCIENCES INC COM S Y N
(DGRE) WISDOMTREE TR EMERGING MKTS QU G Y N
(DRYS) DRYSHIPS INC COM PAR$0.1 (MHL) S Y N
(DWIN) POWERSHARES ETF R II DWA TACTI G Y N
(DXJS) WISDOMTREE TR JAPAN SMALLCAP H G Y N
(EGLE) EAGLE BULK SHIPPING INC SHS NE Q Y N
(FCVT) FIRST TR EXCHANGE TRADED FD IV G Y N
(FDIV) FIRST TRUST STRATEGIC INCOME G Y N
(FLN) FIRST TRUST LATIN AMERICA ALPH G Y N
(FTXO) FIRST TR ETF VI NASDAQ BK ETF G Y N
(FYT) FIRST TRUST SMALL CAP VALUE A G Y N

Date processed on 12/01/2016

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(JSMD) JANUS DETROIT STR TR SMALL/MID G Y N
(KRNT) KORNIT DIGITAL LTD ORD SHS (IS Q Y N
(LMBS) FIRST TR ETF FD IV FIRST TR LO G Y N
(LVHD) LEGG MASON ETF EQUITY TR LOW V G Y N
(PSCE) POWERSHARES S&P SMALLCAP ENERG G Y N
(PSCM) POWERSHARES S&P SMALLCAP MATER G Y N
(QABA) FIRST TRUST NASDAQ ABA COMMUNI G Y N
(RDVY) FIRST TR ETF FIRST TR NASDAQ R G Y N
(SINO) SINO-GLOBAL SHIPPING AMERICA.L S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N
(VGLT) VANGUARD LG-TRM GOVT BD ETF G Y N
(VIGI) VANGUARD WHITEHALL FDS INTL DI G Y N
(VRNS) VARONIS SYS INC COM STK (DE) Q Y N

Date processed on 12/02/2016

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AIRR) FIRST TR VI RBA AMERN INDL REN G Y N
(BIS) PROSHARES TR ULTRASHORT NASDAQ G Y N
(BSPM) BIOSTAR PHARMACEUTICALS INC CO S Y N
(CATH) GLOBAL X FDS GLOBAL X S&P 500 G Y N
(CDC) VICTORY PORTFOLIOS II CEMP US G Y N
(CFA) VICTORY PORTFOLIOS II CEMP US G Y N
(CFO) VICTORY PORTFOLIOS II CEMP US G Y N
(CIBR) FIRST TR FD II NASDAQ CYBERSEC G Y N
(CID) VICTORY PORTFOLIOS II CEMP INT G Y N
(CLRB) CELLECTAR BIOSCIENCES INC COM S Y N
(DGRE) WISDOMTREE TR EMERGING MKTS QU G Y N
(DRYS) DRYSHIPS INC COM PAR$0.1 (MHL) S Y N
(DWIN) POWERSHARES ETF R II DWA TACTI G Y N
(DXJS) WISDOMTREE TR JAPAN SMALLCAP H G Y N
(EGLE) EAGLE BULK SHIPPING INC SHS NE Q Y N
(FCVT) FIRST TR EXCHANGE TRADED FD IV G Y N
(FDIV) FIRST TRUST STRATEGIC INCOME G Y N
(FLN) FIRST TRUST LATIN AMERICA ALPH G Y N
(FTXO) FIRST TR ETF VI NASDAQ BK ETF G Y N
(FYT) FIRST TRUST SMALL CAP VALUE A G Y N

Date processed on 12/02/2016

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(JSMD) JANUS DETROIT STR TR SMALL/MID G Y N
(KRNT) KORNIT DIGITAL LTD ORD SHS (IS Q Y N
(LVHD) LEGG MASON ETF EQUITY TR LOW V G Y N
(PSCM) POWERSHARES S&P SMALLCAP MATER G Y N
(QABA) FIRST TRUST NASDAQ ABA COMMUNI G Y N
(RDVY) FIRST TR ETF FIRST TR NASDAQ R G Y N
(SCON) SUPERCONDUCTOR TECHS INC COM P S Y N
(SINO) SINO-GLOBAL SHIPPING AMERICA.L S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N
(VGLT) VANGUARD LG-TRM GOVT BD ETF G Y N
(VIGI) VANGUARD WHITEHALL FDS INTL DI G Y N
(VRNS) VARONIS SYS INC COM STK (DE) Q Y N
(VYMI) VANGUARD WHITEHALL FDS INTL HI G Y N

Date processed on 12/05/2016

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
(CATH) GLOBAL X FDS GLOBAL X S&P 500 G Y N
(CDC) VICTORY PORTFOLIOS II CEMP US G Y N
(CFA) VICTORY PORTFOLIOS II CEMP US G Y N
(CFO) VICTORY PORTFOLIOS II CEMP US G Y N
(CIBR) FIRST TR FD II NASDAQ CYBERSEC G Y N
(CID) VICTORY PORTFOLIOS II CEMP INT G Y N
(CLRB) CELLECTAR BIOSCIENCES INC COM S Y N
(DRYS) DRYSHIPS INC COM PAR$0.1 (MHL) S Y N
(DWIN) POWERSHARES ETF R II DWA TACTI G Y N
(DXJS) WISDOMTREE TR JAPAN SMALLCAP H G Y N
(EVGBC) EATON VANCE NEXTSHARES TR GLOB G Y N
(FCVT) FIRST TR EXCHANGE TRADED FD IV G Y N
(FDIV) FIRST TRUST STRATEGIC INCOME G Y N
(FLN) FIRST TRUST LATIN AMERICA ALPH G Y N
(FNX) FIRST TR MID CAP CORE ALPHADEX G Y N
(FTXO) FIRST TR ETF VI NASDAQ BK ETF G Y N
(FYC) FIRST TRUST SMALL CAP GROWTH A G Y N
(FYT) FIRST TRUST SMALL CAP VALUE A G Y N

Date processed on 12/05/2016

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(JSMD) JANUS DETROIT STR TR SMALL/MID G Y N
(KRNT) KORNIT DIGITAL LTD ORD SHS (IS Q Y N
(LVHD) LEGG MASON ETF EQUITY TR LOW V G Y N
(PSCM) POWERSHARES S&P SMALLCAP MATER G Y N
(QABA) FIRST TRUST NASDAQ ABA COMMUNI G Y N
(RDVY) FIRST TR ETF FIRST TR NASDAQ R G Y N
(SCON) SUPERCONDUCTOR TECHS INC COM P S Y N
(SINO) SINO-GLOBAL SHIPPING AMERICA.L S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N
(USLB) POWERSHARES RUSSELL 1000 LOW B G Y N
(VGLT) VANGUARD LG-TRM GOVT BD ETF G Y N
(VIGI) VANGUARD WHITEHALL FDS INTL DI G Y N
(VRNS) VARONIS SYS INC COM STK (DE) Q Y N
(VYMI) VANGUARD WHITEHALL FDS INTL HI G Y N

Pages