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Nasdaq Regulation SHO Short Sale Threshold List May 2017

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Nasdaq Regulation SHO Short Sale Threshold List May 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 05/01/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ASPS) ALTISOURCE PORTFOLIO SOLUTIONS Q Y N
(CBIO) CATALYST BIOSCIENCES INC COM N S Y N
(CBLI) CLEVELAND BIOLABS INC COM STK S Y N
(DCIX) DIANA CONTAINERSHIPS INC SHS N Q Y N
(DSLV) VELOCITYSHS 3X INVERSE SILVER G Y N
(FEMB) FIRST TR ETF EMERGING MARKETS G Y N
(GLBS) GLOBUS MARITIME LIMITED SHS NE S Y N
(IDXG) INTERPACE DIAGNOSTICS GROUP IN S Y N
(IMNP) IMMUNE PHARMACEUTICALS INC COM S Y N
(JSMD) JANUS DETROIT STR TR SMALL/MID G Y N
(MOGLC) GABELLI NEXTSHARES TR GABELLI G Y N
(MTFB) MOTIF BIO PLC SPONSORED ADR S Y N
(POLA) POLAR PWR INC. COM S Y N
(SNGX) SOLIGENIX INC COM PAR $.001 S Y N
(SSH) SUNSHINE HEART INC COMMON STO S Y N
(TOPS) TOP SHIPS INC COM STK NEW 2016 S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N
(UGLD) VELOCITYSHARES 3X LONG GOLD ET G Y N

Date processed on 05/02/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ASPS) ALTISOURCE PORTFOLIO SOLUTIONS Q Y N
(CBIO) CATALYST BIOSCIENCES INC COM N S Y N
(CBLI) CLEVELAND BIOLABS INC COM STK S Y N
(CIZ) VICTORY PORTFOLIOS II SHS DEV G Y N
(DSLV) VELOCITYSHS 3X INVERSE SILVER G Y N
(FCEF) FIRST TR ETF VIII CEF INCOME O G Y N
(FEMB) FIRST TR ETF EMERGING MARKETS G Y N
(GLBS) GLOBUS MARITIME LIMITED SHS NE S Y N
(IDXG) INTERPACE DIAGNOSTICS GROUP IN S Y N
(IMNP) IMMUNE PHARMACEUTICALS INC COM S Y N
(JSMD) JANUS DETROIT STR TR SMALL/MID G Y N
(MTFB) MOTIF BIO PLC SPONSORED ADR S Y N
(POLA) POLAR PWR INC. COM S Y N
(SNGX) SOLIGENIX INC COM PAR $.001 S Y N
(SSH) SUNSHINE HEART INC COMMON STO S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N
(UGLD) VELOCITYSHARES 3X LONG GOLD ET G Y N

Date processed on 05/03/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(CBIO) CATALYST BIOSCIENCES INC COM N S Y N
(CBLI) CLEVELAND BIOLABS INC COM STK S Y N
(CIZ) VICTORY PORTFOLIOS II SHS DEV G Y N
(DSLV) VELOCITYSHS 3X INVERSE SILVER G Y N
(FCEF) FIRST TR ETF VIII CEF INCOME O G Y N
(FEMB) FIRST TR ETF EMERGING MARKETS G Y N
(GLBS) GLOBUS MARITIME LIMITED SHS NE S Y N
(IDXG) INTERPACE DIAGNOSTICS GROUP IN S Y N
(IMNP) IMMUNE PHARMACEUTICALS INC COM S Y N
(JSMD) JANUS DETROIT STR TR SMALL/MID G Y N
(MTFB) MOTIF BIO PLC SPONSORED ADR S Y N
(POLA) POLAR PWR INC. COM S Y N
(SNGX) SOLIGENIX INC COM PAR $.001 S Y N
(SSH) SUNSHINE HEART INC COMMON STO S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N

Date processed on 05/04/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(CBIO) CATALYST BIOSCIENCES INC COM N S Y N
(CBLI) CLEVELAND BIOLABS INC COM STK S Y N
(CIZ) VICTORY PORTFOLIOS II SHS DEV G Y N
(DGLD) VELOCITYSHS 3X INVERSE GOLD ET G Y N
(FBZ) FIRST TRUST BRAZIL ALPHADEX FU G Y N
(FCEF) FIRST TR ETF VIII CEF INCOME O G Y N
(FEMB) FIRST TR ETF EMERGING MARKETS G Y N
(FONE) FIRST TRUST NASDAQ CEA SMARTPH G Y N
(GLBS) GLOBUS MARITIME LIMITED SHS NE S Y N
(IDXG) INTERPACE DIAGNOSTICS GROUP IN S Y N
(IMNP) IMMUNE PHARMACEUTICALS INC COM S Y N
(JSMD) JANUS DETROIT STR TR SMALL/MID G Y N
(MTFB) MOTIF BIO PLC SPONSORED ADR S Y N
(POLA) POLAR PWR INC. COM S Y N
(SNGX) SOLIGENIX INC COM PAR $.001 S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N

Date processed on 05/05/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(CBIO) CATALYST BIOSCIENCES INC COM N S Y N
(CBLI) CLEVELAND BIOLABS INC COM STK S Y N
(CIZ) VICTORY PORTFOLIOS II SHS DEV G Y N
(DGLD) VELOCITYSHS 3X INVERSE GOLD ET G Y N
(FBZ) FIRST TRUST BRAZIL ALPHADEX FU G Y N
(FCEF) FIRST TR ETF VIII CEF INCOME O G Y N
(FEMB) FIRST TR ETF EMERGING MARKETS G Y N
(FONE) FIRST TRUST NASDAQ CEA SMARTPH G Y N
(GLBS) GLOBUS MARITIME LIMITED SHS NE S Y N
(IDXG) INTERPACE DIAGNOSTICS GROUP IN S Y N
(IMNP) IMMUNE PHARMACEUTICALS INC COM S Y N
(JSMD) JANUS DETROIT STR TR SMALL/MID G Y N
(MTFB) MOTIF BIO PLC SPONSORED ADR S Y N
(ONTX) ONCONOVA THERAPEUTICS INC COM S Y N
(POLA) POLAR PWR INC. COM S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N

Date processed on 05/08/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(APPS) DIGITAL TURBINE INC COM NEW S Y N
(CBIO) CATALYST BIOSCIENCES INC COM N S Y N
(CIZ) VICTORY PORTFOLIOS II SHS DEV G Y N
(DGLD) VELOCITYSHS 3X INVERSE GOLD ET G Y N
(FBZ) FIRST TRUST BRAZIL ALPHADEX FU G Y N
(FCEF) FIRST TR ETF VIII CEF INCOME O G Y N
(FONE) FIRST TRUST NASDAQ CEA SMARTPH G Y N
(GLBS) GLOBUS MARITIME LIMITED SHS NE S Y N
(IDXG) INTERPACE DIAGNOSTICS GROUP IN S Y N
(IMNP) IMMUNE PHARMACEUTICALS INC COM S Y N
(JSMD) JANUS DETROIT STR TR SMALL/MID G Y N
(MTFB) MOTIF BIO PLC SPONSORED ADR S Y N
(ONTX) ONCONOVA THERAPEUTICS INC COM S Y N
(POLA) POLAR PWR INC. COM S Y N
(PVAC) PENN VA CORP NEW COM STK (VA) Q Y N
(SRET) GLOBAL X FDS SUPERDIVIDEND REI G Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N
(YLCO) GLOBAL X FDS YIELDCO INDEX ETF G Y N

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