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Nasdaq Regulation SHO Short Sale Threshold List March 2017

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Nasdaq Regulation SHO Short Sale Threshold List March 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 03/01/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AIRR) FIRST TR VI RBA AMERN INDL REN G Y N
(APOP) CELLECT BIOTECHNOLOGY LTD SPON S Y N
(BIOC) BIOCEPT INC COM NEW S Y N
(BIS) PROSHARES TR ULTRASHORT NASDAQ G Y N
(BNTC) BENITEC BIOPHARMA LT (AUSTRALI S Y N
(CIBR) FIRST TR FD II NASDAQ CYBERSEC G Y N
(DGRE) WISDOMTREE TR EMERGING MKTS QU G Y N
(DRAM) DATARAM CORP COM PAR $ NEW 201 S Y N
(DSLV) VELOCITYSHS 3X INVERSE SILVER G Y N
(DUSA) DAVIS FUNDAMENTAL ETF TR SELE G Y N
(ESEA) EUROSEAS LTD SHS (MHL) S Y N
(EVGBC) EATON VANCE NEXTSHARES TR GLOB G Y N
(EWZS) ISHARES MSCI BRAZIL SMALL CAP G Y N
(FEM) FIRST TRUST EMERGING MARKETS A 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
(FTXO) FIRST TR ETF VI NASDAQ BK ETF G Y N
(IDXG) INTERPACE DIAGNOSTICS GROUP IN S Y N
(NAKD) NAKED BRAND GROUP INC COM NEW S Y N

Date processed on 03/01/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ONEQ) FIDELITY NASDAQ COMPOSITE INDE G Y N
(PSIX) POWER SOLUTIONS INTERNATIONAL, S Y N
(PULM) PULMATRIX INC COM G Y N
(RDVY) FIRST TRUST RISING DIVIDEND AC G Y N
(ROBO) ROBO GLOBAL ROBOTICS AND AUTOM G Y N
(SGLB) SIGMA LABS INC 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
(SRET) GLOBAL X FDS SUPERDIVIDEND REI G Y N
(TOPS) TOP SHIPS INC COM STK NEW 2016 S Y N
(URRE) URANIUM RES INC COM STK (DE) S Y N
(VIGI) VANGUARD WHITEHALL FDS INTL DI G Y N
(VIIX) CREDIT SUISSE NASSAU BRH VS VI G Y N
(XGTI) XG TECHNOLOGY INC COM PAR $.00 S Y N

Date processed on 03/02/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ALTY) GLOBAL X FDS SUPERDIVIDEND ALT G Y N
(APOP) CELLECT BIOTECHNOLOGY LTD SPON S Y N
(BIOC) BIOCEPT INC COM NEW S Y N
(BIS) PROSHARES TR ULTRASHORT NASDAQ G Y N
(BNTC) BENITEC BIOPHARMA LT (AUSTRALI S Y N
(CIBR) FIRST TR FD II NASDAQ CYBERSEC G Y N
(DGRE) WISDOMTREE TR EMERGING MKTS QU G Y N
(DRAM) DATARAM CORP COM PAR $ NEW 201 S Y N
(DRYS) DRYSHIPS INC COM STK (MHL) S Y N
(DSLV) VELOCITYSHS 3X INVERSE SILVER G Y N
(DUSA) DAVIS FUNDAMENTAL ETF TR SELE G Y N
(DWLD) DAVIS FUNDAMENTAL ETF TR SELE G Y N
(ESEA) EUROSEAS LTD SHS (MHL) S Y N
(EVGBC) EATON VANCE NEXTSHARES TR GLOB G Y N
(EWZS) ISHARES MSCI BRAZIL SMALL CAP 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
(FTXO) FIRST TR ETF VI NASDAQ BK ETF G Y N

Date processed on 03/02/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(IDXG) INTERPACE DIAGNOSTICS GROUP IN S Y N
(ONEQ) FIDELITY NASDAQ COMPOSITE INDE G Y N
(PSIX) POWER SOLUTIONS INTERNATIONAL, S Y N
(PULM) PULMATRIX INC COM G Y N
(RDVY) FIRST TRUST RISING DIVIDEND AC G Y N
(ROBO) ROBO GLOBAL ROBOTICS AND AUTOM G Y N
(SGLB) SIGMA LABS INC S Y N
(SGLBW) SIGMA LABS INC (NV) S Y N
(SKLN) SKYLINE MEDICAL INC. COM PAR $ S Y N
(SNSR) GLOBAL X FDSINTERNET OF THINGS G Y N
(SRET) GLOBAL X FDS SUPERDIVIDEND REI G Y N
(TOPS) TOP SHIPS INC COM STK NEW 2016 S Y N
(URRE) URANIUM RES INC COM STK (DE) S Y N
(VIGI) VANGUARD WHITEHALL FDS INTL DI G Y N
(VIIX) CREDIT SUISSE NASSAU BRH VS VI G Y N
(XGTI) XG TECHNOLOGY INC COM PAR $.00 S Y N

Date processed on 03/03/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ALTY) GLOBAL X FDS SUPERDIVIDEND ALT G Y N
(APOP) CELLECT BIOTECHNOLOGY LTD SPON S Y N
(BIOC) BIOCEPT INC COM NEW S Y N
(BIS) PROSHARES TR ULTRASHORT NASDAQ G Y N
(BNTC) BENITEC BIOPHARMA LT (AUSTRALI S Y N
(CIBR) FIRST TR FD II NASDAQ CYBERSEC G Y N
(DFNL) DAVIS FUNDAMENTAL ETF TR SELE G Y N
(DGRE) WISDOMTREE TR EMERGING MKTS QU G Y N
(DRAM) DATARAM CORP COM PAR $ NEW 201 S Y N
(DRYS) DRYSHIPS INC COM STK (MHL) S Y N
(DSLV) VELOCITYSHS 3X INVERSE SILVER G Y N
(DUSA) DAVIS FUNDAMENTAL ETF TR SELE G Y N
(DWAS) POWERSHARES ETF TRII DWA SMALL G Y N
(DWLD) DAVIS FUNDAMENTAL ETF TR SELE G Y N
(ESEA) EUROSEAS LTD SHS (MHL) S Y N
(EWZS) ISHARES MSCI BRAZIL SMALL CAP 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

Date processed on 03/03/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(FTXO) FIRST TR ETF VI NASDAQ BK ETF G Y N
(IDXG) INTERPACE DIAGNOSTICS GROUP IN S Y N
(ONEQ) FIDELITY NASDAQ COMPOSITE INDE G Y N
(PSCF) POWERSHARES S&P SMALLCAP FINAN G Y N
(PSIX) POWER SOLUTIONS INTERNATIONAL, S Y N
(PULM) PULMATRIX INC COM G Y N
(RDVY) FIRST TRUST RISING DIVIDEND AC G Y N
(SGLB) SIGMA LABS INC S Y N
(SGLBW) SIGMA LABS INC (NV) S Y N
(SKLN) SKYLINE MEDICAL INC. COM PAR $ S Y N
(SNSR) GLOBAL X FDSINTERNET OF THINGS G Y N
(SRET) GLOBAL X FDS SUPERDIVIDEND REI G Y N
(TOPS) TOP SHIPS INC COM STK NEW 2016 S Y N
(URRE) URANIUM RES INC COM STK (DE) S Y N
(VIGI) VANGUARD WHITEHALL FDS INTL DI G Y N
(VIIX) CREDIT SUISSE NASSAU BRH VS VI G Y N
(VYMI) VANGUARD WHITEHALL FDS INTL HI G Y N
(XGTI) XG TECHNOLOGY INC COM PAR $.00 S Y N

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