StockSaints Logo 

Nasdaq Regulation SHO Short Sale Threshold List January 2017

  • Sharebar
41 posts / 0 new
Last post
Nasdaq Regulation SHO Short Sale Threshold List January 2017

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 01/03/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ACWX) ISHARES MSCI ACWI EX US ETF G Y N
(AIRR) FIRST TR VI RBA AMERN INDL REN G Y N
(BBH) VANECK VECTORS ETF TR BIOTECH G Y N
(BOTZ) GLOBAL X FDSROBOTICS & ARTIFIC G Y N
(CDC) VICTORY PORTFOLIOS II CEMP US G Y N
(CDL) VICTORY PORTFOLIOS II CEMP US G Y N
(CFA) VICTORY PORTFOLIOS II CEMP US G Y N
(CID) VICTORY PORTFOLIOS II CEMP INT G Y N
(EVGBC) EATON VANCE NEXTSHARES TR GLOB G Y N
(FDIV) FIRST TRUST STRATEGIC INCOME G Y N
(FLAG) EXCHANGE TRADED CONCEPTS TR WE G Y N
(FYT) FIRST TRUST SMALL CAP VALUE A G Y N
(GLBS) GLOBUS MARITIME LIMITED SHS NE S Y N
(IDXG) INTERPACE DIAGNOSTICS GROUP IN S Y N
(NURO) NEUROMETRIX INC COM STK NEW (D S Y N
(OPTT) OCEAN PWR TECHNOLOGIES INC COM S Y N
(OPXA) OPEXA THERAPEUTICS, INC. COM P S Y N
(PFI) POWERSHARES DWA FINANCIAL MOM G Y N
(PPH) VANECK VECTORS TR PHARMACEUTIC G Y N
(PRN) POWERSHARES DWA INDUSTRIALS M G Y N

Date processed on 01/03/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(PSCF) POWERSHARES S&P SMALLCAP FINAN G Y N
(PSCH) POWERSHARES S&P SMALLCAP HEALT G Y N
(PSCM) POWERSHARES S&P SMALLCAP MATER G Y N
(PXI) POWERSHARES DWA ENERGY MOMENTU G Y N
(QABA) FIRST TRUST NASDAQ ABA COMMUNI G Y N
(RDVY) FIRST TRUST RISING DIVIDEND AC G Y N
(RNVA) RENNOVA HEALTH INC COM S Y N
(SCON) SUPERCONDUCTOR TECHS INC COM P S Y N
(SINO) SINO-GLOBAL SHIPPING AMERICA.L S Y N
(SKLN) SKYLINE MEDICAL INC. COM PAR $ S Y N
(SNSR) GLOBAL X FDSINTERNET OF THINGS G Y N
(SP) SP PLUS CORP COM STK Q Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N
(VTWG) VANGUARD RUSSELL 2000 GROWTH E G Y N
(VTWO) VANGUARD RUSSELL 2000 ETF G Y N
(VYMI) VANGUARD WHITEHALL FDS INTL HI G Y N
(XGTI) XG TECHNOLOGY INC COM PAR $.00 S Y N

Date processed on 01/04/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AIRR) FIRST TR VI RBA AMERN INDL REN G Y N
(BBH) VANECK VECTORS ETF TR BIOTECH G Y N
(BOTZ) GLOBAL X FDSROBOTICS & ARTIFIC G Y N
(CDC) VICTORY PORTFOLIOS II CEMP US G Y N
(CDL) VICTORY PORTFOLIOS II CEMP US G Y N
(CFA) VICTORY PORTFOLIOS II CEMP US G Y N
(EVGBC) EATON VANCE NEXTSHARES TR GLOB G Y N
(FDIV) FIRST TRUST STRATEGIC INCOME G Y N
(FLAG) EXCHANGE TRADED CONCEPTS TR WE G Y N
(FYT) FIRST TRUST SMALL CAP VALUE A G Y N
(GLBS) GLOBUS MARITIME LIMITED SHS NE S Y N
(IDXG) INTERPACE DIAGNOSTICS GROUP IN S Y N
(NURO) NEUROMETRIX INC COM STK NEW (D S Y N
(OPXA) OPEXA THERAPEUTICS, INC. COM P S Y N
(PFI) POWERSHARES DWA FINANCIAL MOM G Y N
(PPH) VANECK VECTORS TR PHARMACEUTIC G Y N
(PSCF) POWERSHARES S&P SMALLCAP FINAN G Y N
(PSCH) POWERSHARES S&P SMALLCAP HEALT G Y N
(PSCM) POWERSHARES S&P SMALLCAP MATER G Y N
(QABA) FIRST TRUST NASDAQ ABA COMMUNI G Y N

Date processed on 01/04/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(RDVY) FIRST TRUST RISING DIVIDEND AC G Y N
(RNVA) RENNOVA HEALTH INC COM S Y N
(SCON) SUPERCONDUCTOR TECHS INC COM P S Y N
(SINO) SINO-GLOBAL SHIPPING AMERICA.L S Y N
(SNSR) GLOBAL X FDSINTERNET OF THINGS G Y N
(SP) SP PLUS CORP COM STK Q Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N
(VTWG) VANGUARD RUSSELL 2000 GROWTH E G Y N
(VTWO) VANGUARD RUSSELL 2000 ETF G Y N
(VYMI) VANGUARD WHITEHALL FDS INTL HI G Y N
(XGTI) XG TECHNOLOGY INC COM PAR $.00 S Y N

Date processed on 01/05/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AIRR) FIRST TR VI RBA AMERN INDL REN G Y N
(BBH) VANECK VECTORS ETF TR BIOTECH G Y N
(BOTZ) GLOBAL X FDSROBOTICS & ARTIFIC G Y N
(CDC) VICTORY PORTFOLIOS II CEMP US G Y N
(CDL) VICTORY PORTFOLIOS II CEMP US G Y N
(CFA) VICTORY PORTFOLIOS II CEMP US G Y N
(EVGBC) EATON VANCE NEXTSHARES TR GLOB G Y N
(FDIV) FIRST TRUST STRATEGIC INCOME G Y N
(FYT) FIRST TRUST SMALL CAP VALUE A G Y N
(GLBS) GLOBUS MARITIME LIMITED SHS NE S Y N
(IDXG) INTERPACE DIAGNOSTICS GROUP IN S Y N
(NURO) NEUROMETRIX INC COM STK NEW (D S Y N
(OPXA) OPEXA THERAPEUTICS, INC. COM P S Y N
(PFI) POWERSHARES DWA FINANCIAL MOM G Y N
(PPH) VANECK VECTORS TR PHARMACEUTIC G Y N
(PSCF) POWERSHARES S&P SMALLCAP FINAN G Y N
(PSCM) POWERSHARES S&P SMALLCAP MATER G Y N
(QABA) FIRST TRUST NASDAQ ABA COMMUNI G Y N
(RDVY) FIRST TRUST RISING DIVIDEND AC G Y N
(RNVA) RENNOVA HEALTH INC COM S Y N

Date processed on 01/05/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(SINO) SINO-GLOBAL SHIPPING AMERICA.L S Y N
(SNSR) GLOBAL X FDSINTERNET OF THINGS G Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N
(VTWO) VANGUARD RUSSELL 2000 ETF G Y N
(VYMI) VANGUARD WHITEHALL FDS INTL HI G Y N
(XGTI) XG TECHNOLOGY INC COM PAR $.00 S Y N

Pages