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Nasdaq Regulation SHO Short Sale Threshold List February 2017

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Nasdaq Regulation SHO Short Sale Threshold List February 2017

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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 02/01/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AIRR) FIRST TR VI RBA AMERN INDL REN G Y N
(BOTZ) GLOBAL X FDSROBOTICS & ARTIFIC G Y N
(BSPM) BIOSTAR PHARMACEUTICALS INC CO S Y N
(CATH) GLOBAL X FDS GLOBAL X S&P 500 G Y N
(CDL) VICTORY PORTF II SHS US LRG CA G Y N
(CIBR) FIRST TR FD II NASDAQ CYBERSEC G Y N
(DWAC) ELKHORN ETF TR COMMODITY ROTAT G Y N
(ETRM) ENTEROMEDICS INC COM PAR $.01 S Y N
(EVGBC) EATON VANCE NEXTSHARES TR GLOB G Y N
(FDIV) FIRST TRUST STRATEGIC INCOME G Y N
(FDT) FIRST TRUST DEVELOPED MARKETS G Y N
(FLN) FIRST TRUST LATIN AMERICA ALPH G Y N
(FNCX) FUNCTIONX INC NEW COM PAR$.001 S Y N
(FNK) FIRST TRUST MID CAP VALUE ALPH G Y N
(GEVO) GEVO INC COM PAR $.01 S Y N
(GLBS) GLOBUS MARITIME LIMITED SHS NE S Y N
(NAKD) NAKED BRAND GROUP INC COM NEW S Y N
(PIZ) POWERSHARES DWA DEV MKTS MOMEN G Y N
(PYZ) POWERSHARES DWA BASIC MATEIALS G Y N
(RDVY) FIRST TRUST RISING DIVIDEND AC G Y N

Date processed on 02/01/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(RGSE) REAL GOODS SOLAR INC CL A NEW S Y N
(ROBO) ROBO GLOBAL ROBOTICS AND AUTOM G Y N
(SKLN) SKYLINE MEDICAL INC. COM PAR $ S Y N
(SNSR) GLOBAL X FDSINTERNET OF THINGS G Y N
(SOCL) GLOBAL X SOCIAL MEDIA INDEX G Y N
(URRE) URANIUM RES INC COM STK (DE) S Y N
(VIIX) CREDIT SUISSE NASSAU BRH VS VI G Y N
(VTWO) VANGUARD RUSSELL 2000 ETF G Y N
(XGTI) XG TECHNOLOGY INC COM PAR $.00 S Y N

Date processed on 02/02/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AIRR) FIRST TR VI RBA AMERN INDL REN G Y N
(BOTZ) GLOBAL X FDSROBOTICS & ARTIFIC G Y N
(BSPM) BIOSTAR PHARMACEUTICALS INC CO S Y N
(CDL) VICTORY PORTF II SHS US LRG CA G Y N
(CFA) VICTORY PORTFOLIOS II SHS US 5 G Y N
(CIBR) FIRST TR FD II NASDAQ CYBERSEC G Y N
(DWAC) ELKHORN ETF TR COMMODITY ROTAT G Y N
(EVGBC) EATON VANCE NEXTSHARES TR GLOB G Y N
(FDIV) FIRST TRUST STRATEGIC INCOME G Y N
(FDT) FIRST TRUST DEVELOPED MARKETS G Y N
(FLN) FIRST TRUST LATIN AMERICA ALPH G Y N
(FNCX) FUNCTIONX INC NEW COM PAR$.001 S Y N
(FNK) FIRST TRUST MID CAP VALUE ALPH G Y N
(FTCS) FIRST TRUST CAPITAL STRENGTH E G Y N
(FTXO) FIRST TR ETF VI NASDAQ BK ETF G Y N
(GEVO) GEVO INC COM PAR $.01 S Y N
(GLBS) GLOBUS MARITIME LIMITED SHS NE S Y N
(GNVC) GENVEC INC COM STK (DE) S Y N
(NAKD) NAKED BRAND GROUP INC COM NEW S Y N
(PIZ) POWERSHARES DWA DEV MKTS MOMEN G Y N

Date processed on 02/02/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(PYZ) POWERSHARES DWA BASIC MATEIALS G Y N
(RDVY) FIRST TRUST RISING DIVIDEND AC G Y N
(RGSE) REAL GOODS SOLAR INC CL A NEW S Y N
(ROBO) ROBO GLOBAL ROBOTICS AND AUTOM G Y N
(SKLN) SKYLINE MEDICAL INC. COM PAR $ S Y N
(SNSR) GLOBAL X FDSINTERNET OF THINGS G Y N
(SOCL) GLOBAL X SOCIAL MEDIA INDEX G Y N
(URRE) URANIUM RES INC COM STK (DE) S Y N
(VIIX) CREDIT SUISSE NASSAU BRH VS VI G Y N
(VTWO) VANGUARD RUSSELL 2000 ETF G Y N
(XGTI) XG TECHNOLOGY INC COM PAR $.00 S Y N

Date processed on 02/03/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AIRR) FIRST TR VI RBA AMERN INDL REN G Y N
(BOTZ) GLOBAL X FDSROBOTICS & ARTIFIC G Y N
(BSPM) BIOSTAR PHARMACEUTICALS INC CO S Y N
(CDL) VICTORY PORTF II SHS US LRG CA G Y N
(CFA) VICTORY PORTFOLIOS II SHS US 5 G Y N
(CIBR) FIRST TR FD II NASDAQ CYBERSEC G Y N
(DWAC) ELKHORN ETF TR COMMODITY ROTAT G Y N
(EVGBC) EATON VANCE NEXTSHARES TR GLOB G Y N
(FAD) FIRST TR MULTI CAP GROWTH ALPH G Y N
(FCAN) FIRST TRUST CANADA ALPHADEX FU G Y N
(FDIV) FIRST TRUST STRATEGIC INCOME G Y N
(FDT) FIRST TRUST DEVELOPED MARKETS G Y N
(FGM) FIRST TRUST GERMANY ALPHADEX F G Y N
(FLN) FIRST TRUST LATIN AMERICA ALPH G Y N
(FNCX) FUNCTIONX INC NEW COM PAR$.001 S Y N
(FNK) FIRST TRUST MID CAP VALUE ALPH G Y N
(FTCS) FIRST TRUST CAPITAL STRENGTH E G Y N
(FTXO) FIRST TR ETF VI NASDAQ BK ETF G Y N
(GEVO) GEVO INC COM PAR $.01 S Y N
(GLBS) GLOBUS MARITIME LIMITED SHS NE S Y N

Date processed on 02/03/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(GNVC) GENVEC INC COM STK (DE) S Y N
(NAKD) NAKED BRAND GROUP INC COM NEW S Y N
(PIZ) POWERSHARES DWA DEV MKTS MOMEN G Y N
(PYZ) POWERSHARES DWA BASIC MATEIALS G Y N
(RDVY) FIRST TRUST RISING DIVIDEND AC G Y N
(RGSE) REAL GOODS SOLAR INC CL A NEW S Y N
(ROBO) ROBO GLOBAL ROBOTICS AND AUTOM G Y N
(SKLN) SKYLINE MEDICAL INC. COM PAR $ S Y N
(SNSR) GLOBAL X FDSINTERNET OF THINGS G Y N
(SOCL) GLOBAL X SOCIAL MEDIA INDEX G Y N
(URRE) URANIUM RES INC COM STK (DE) S Y N
(VIIX) CREDIT SUISSE NASSAU BRH VS VI G Y N
(VTWO) VANGUARD RUSSELL 2000 ETF G Y N
(XGTI) XG TECHNOLOGY INC COM PAR $.00 S Y N
(ZBIO) PROSHARES TR ULTRAPRO SHORT NA G Y N

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