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Nasdaq Regulation SHO Short Sale Threshold List April 2017

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Nasdaq Regulation SHO Short Sale Threshold List April 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 04/03/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ACIA) ACACIA COMMUNICATIONS INC COM Q Y N
(APTI) APPTIO INC CL A G Y N
(ASPS) ALTISOURCE PORTFOLIO SOLUTIONS Q Y N
(ATOS) ATOSSA GENETICS INC COM NEW S Y N
(BOTZ) GLOBAL X FDSROBOTICS & ARTIFIC G Y N
(CFA) VICTORY PORTFOLIOS II SHS US 5 G Y N
(DCIX) DIANA CONTAINERSHIPS INC SHS N Q Y N
(DFNL) DAVIS FUNDAMENTAL ETF TR SELE G Y N
(DRAM) DATARAM CORP COM PAR $ NEW 201 S Y N
(FDT) FIRST TRUST DEVELOPED MARKETS 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
(FMB) FIRST TR EXCHANGE-TRADED FD II G Y N
(FSZ) FIRST TRUST SWITZERLAND ALPHAD G Y N
(FTXO) FIRST TR ETF VI NASDAQ BK ETF G Y N
(IDXG) INTERPACE DIAGNOSTICS GROUP IN S Y N
(MCEF) FIRST TR ETF VIII MUNICIPAL CE G Y N
(MDGS) MEDIGUS LTD SPONSORED ADR NEW S Y N
(MOFG) MIDWESTONE FINANCIAL GP COM Q Y N

Date processed on 04/03/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(MYOS) MYOS RENS TECHNOLOGY INC COM S S Y N
(RDVY) FIRST TRUST RISING DIVIDEND AC G Y N
(RFDI) FIRST TRUST ETF III RIVERFRONT G Y N
(RFEU) FIRST TRUST ETF III RIVERFRONT G Y N
(RNVA) RENNOVA HEALTH INC NEW COM (DE S Y N
(SKLN) SKYLINE MEDICAL INC. COM PAR $ S Y N
(SNSR) GLOBAL X FDS INTERNET OF THING G Y N
(TOPS) TOP SHIPS INC COM STK NEW 2016 S Y N
(TROVW) TROVAGENE INC WT PUR COM EXP 5 S Y N
(VYMI) VANGUARD WHITEHALL FDS INTL HI G Y N

Date processed on 04/04/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ACIA) ACACIA COMMUNICATIONS INC COM Q Y N
(APTI) APPTIO INC CL A G Y N
(ASPS) ALTISOURCE PORTFOLIO SOLUTIONS Q Y N
(ATOS) ATOSSA GENETICS INC COM NEW S Y N
(BOTZ) GLOBAL X FDS ROBOTICS & ARTIF G Y N
(CFA) VICTORY PORTFOLIOS II SHS US 5 G Y N
(DCIX) DIANA CONTAINERSHIPS INC SHS N Q Y N
(DFNL) DAVIS FUNDAMENTAL ETF TR SELE G Y N
(DRAM) DATARAM CORP COM PAR $ NEW 201 S Y N
(FDT) FIRST TRUST DEVELOPED MARKETS 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
(FMB) FIRST TR EXCHANGE-TRADED FD II G Y N
(FSZ) FIRST TRUST SWITZERLAND ALPHAD G Y N
(FTXO) FIRST TR ETF VI NASDAQ BK ETF G Y N
(IDXG) INTERPACE DIAGNOSTICS GROUP IN S Y N
(MCEF) FIRST TR ETF VIII MUNICIPAL CE G Y N
(MDGS) MEDIGUS LTD SPONSORED ADR NEW S Y N
(MOFG) MIDWESTONE FINANCIAL GP COM Q Y N

Date processed on 04/04/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(MYOS) MYOS RENS TECHNOLOGY INC COM S S Y N
(RDVY) FIRST TRUST RISING DIVIDEND AC G Y N
(RFDI) FIRST TRUST ETF III RIVERFRONT G Y N
(RFEU) FIRST TRUST ETF III RIVERFRONT G Y N
(RNVA) RENNOVA HEALTH INC NEW COM (DE S Y N
(SKLN) SKYLINE MEDICAL INC. COM PAR $ S Y N
(SNSR) GLOBAL X FDS INTERNET OF THING G Y N
(TOPS) TOP SHIPS INC COM STK NEW 2016 S Y N
(TROVW) TROVAGENE INC WT PUR COM EXP 5 S Y N
(VTHR) VANGUARD RUSSELL 3000 ETF G Y N
(VYMI) VANGUARD WHITEHALL FDS INTL HI G Y N

Date processed on 04/05/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ACIA) ACACIA COMMUNICATIONS INC COM Q Y N
(APTI) APPTIO INC CL A G Y N
(ASPS) ALTISOURCE PORTFOLIO SOLUTIONS Q Y N
(ATOS) ATOSSA GENETICS INC COM NEW S Y N
(BOTZ) GLOBAL X FDS ROBOTICS & ARTIF G Y N
(CFA) VICTORY PORTFOLIOS II SHS US 5 G Y N
(DCIX) DIANA CONTAINERSHIPS INC SHS N Q Y N
(DFNL) DAVIS FUNDAMENTAL ETF TR SELE 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
(FDT) FIRST TRUST DEVELOPED MARKETS G Y N
(FEM) FIRST TRUST EMERGING MARKETS A G Y N
(FLN) FIRST TRUST LATIN AMERICA ALPH G Y N
(FMB) FIRST TR EXCHANGE-TRADED FD II G Y N
(FTXO) FIRST TR ETF VI NASDAQ BK ETF G Y N
(IDXG) INTERPACE DIAGNOSTICS GROUP IN S Y N
(MCEF) FIRST TR ETF VIII MUNICIPAL CE G Y N
(MDGS) MEDIGUS LTD SPONSORED ADR NEW S Y N
(RDVY) FIRST TRUST RISING DIVIDEND AC G Y N

Date processed on 04/05/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(RFDI) FIRST TRUST ETF III RIVERFRONT G Y N
(SHLD) SEARS HOLDINGS CORP Q Y N
(SKLN) SKYLINE MEDICAL INC. COM PAR $ S Y N
(SNSR) GLOBAL X FDS INTERNET OF THING G Y N
(TOPS) TOP SHIPS INC COM STK NEW 2016 S Y N
(TROVW) TROVAGENE INC WT PUR COM EXP 5 S Y N
(VTHR) VANGUARD RUSSELL 3000 ETF G Y N
(VYMI) VANGUARD WHITEHALL FDS INTL HI G Y N

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