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Nasdaq Regulation SHO Short Sale Threshold List June 2017

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Nasdaq Regulation SHO Short Sale Threshold List June 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 06/01/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AEZS) AETERNA ZENTARIS INC COM STK ( S Y N
(BEBE) BEBE STORES INC COM NEW S Y N
(BIOC) BIOCEPT INC COM NEW S Y N
(BMLP) BANK MONTREAL QUE BMO ELKHORN G Y N
(BVXV) BIONDVAX PHARMACEUTICALS LTD. S Y N
(CLNT) CLEANTECH SOLUTIONS INTL INC C S Y N
(DRYS) DRYSHIPS INC COM STK NEW (MHL) S Y N
(DSLV) VELOCITYSHS 3X INVERSE SILVER G Y N
(FBZ) FIRST TRUST BRAZIL ALPHADEX FU G Y N
(FINX) GLOBAL X FDS FINTECH ETF (DE) G Y N
(IMMY) IMPRIMIS PHARMACEUTICALS, INC. S Y N
(MNKD) MANNKIND CORP G Y N
(MTBC) MEDICAL TRANSCRIPTION BILLING S Y N
(PGJ) POWERSHARES GOLDEN DRAGON CHI G Y N
(PULM) PULMATRIX INC COM G Y N
(RFDI) FIRST TRUST ETF III RIVERFRONT G Y N
(ROSG) ROSETTA GENOMICS LTD ORD SHS N S Y N
(SKLN) SKYLINE MEDICAL INC. COM PAR $ S Y N
(UGLD) VELOCITYSHARES 3X LONG GOLD ET G Y N

Date processed on 06/02/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AEZS) AETERNA ZENTARIS INC COM STK ( S Y N
(BEBE) BEBE STORES INC COM NEW S Y N
(BIOC) BIOCEPT INC COM NEW S Y N
(BMLP) BANK MONTREAL QUE BMO ELKHORN G Y N
(BVXV) BIONDVAX PHARMACEUTICALS LTD. S Y N
(CLNT) CLEANTECH SOLUTIONS INTL INC C S Y N
(DRYS) DRYSHIPS INC COM STK NEW (MHL) S Y N
(DSLV) VELOCITYSHS 3X INVERSE SILVER G Y N
(FBZ) FIRST TRUST BRAZIL ALPHADEX FU G Y N
(FINX) GLOBAL X FDS FINTECH ETF (DE) G Y N
(IDXG) INTERPACE DIAGNOSTICS GROUP IN S Y N
(IMMY) IMPRIMIS PHARMACEUTICALS, INC. S Y N
(MNKD) MANNKIND CORP G Y N
(MTBC) MEDICAL TRANSCRIPTION BILLING S Y N
(NXTDW) NXT-ID INC WT EXP 02/09/2019 S Y N
(PGJ) POWERSHARES GOLDEN DRAGON CHI G Y N
(PULM) PULMATRIX INC COM G Y N
(RFDI) FIRST TRUST ETF III RIVERFRONT G Y N
(ROSG) ROSETTA GENOMICS LTD ORD SHS N S Y N
(SKLN) SKYLINE MEDICAL INC. COM PAR $ S Y N

Date processed on 06/02/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(UGLD) VELOCITYSHARES 3X LONG GOLD ET G Y N
(XGTI) XG TECHNOLOGY INC COM PAR $.00 S Y N

Tickers: (UGLD), (XGTI)

Date processed on 06/05/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AEZS) AETERNA ZENTARIS INC COM STK ( S Y N
(BEBE) BEBE STORES INC COM NEW S Y N
(BIOC) BIOCEPT INC COM NEW S Y N
(BMLP) BANK MONTREAL QUE BMO ELKHORN G Y N
(BVXV) BIONDVAX PHARMACEUTICALS LTD. S Y N
(CLNT) CLEANTECH SOLUTIONS INTL INC C S Y N
(DRYS) DRYSHIPS INC COM STK NEW (MHL) S Y N
(DSLV) VELOCITYSHS 3X INVERSE SILVER G Y N
(FINX) GLOBAL X FDS FINTECH ETF (DE) G Y N
(IDXG) INTERPACE DIAGNOSTICS GROUP IN S Y N
(IMMY) IMPRIMIS PHARMACEUTICALS, INC. S Y N
(MNKD) MANNKIND CORP G Y N
(MTBC) MEDICAL TRANSCRIPTION BILLING S Y N
(NXTDW) NXT-ID INC WT EXP 02/09/2019 S Y N
(PGJ) POWERSHARES GOLDEN DRAGON CHI G Y N
(RFDI) FIRST TRUST ETF III RIVERFRONT G Y N
(ROSG) ROSETTA GENOMICS LTD ORD SHS N S Y N
(SKLN) SKYLINE MEDICAL INC. COM PAR $ S Y N
(UGLD) VELOCITYSHARES 3X LONG GOLD ET G Y N
(XGTI) XG TECHNOLOGY INC COM PAR $.00 S Y N

Date processed on 06/06/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AEZS) AETERNA ZENTARIS INC COM STK ( S Y N
(BEBE) BEBE STORES INC COM NEW S Y N
(BIOC) BIOCEPT INC COM NEW S Y N
(CLNT) CLEANTECH SOLUTIONS INTL INC C S Y N
(DRYS) DRYSHIPS INC COM STK NEW (MHL) S Y N
(DSLV) VELOCITYSHS 3X INVERSE SILVER G Y N
(FINX) GLOBAL X FDS FINTECH ETF (DE) G Y N
(IDXG) INTERPACE DIAGNOSTICS GROUP IN S Y N
(IMMY) IMPRIMIS PHARMACEUTICALS, INC. S Y N
(MNKD) MANNKIND CORP G Y N
(MTBC) MEDICAL TRANSCRIPTION BILLING S Y N
(NXTDW) NXT-ID INC WT EXP 02/09/2019 S Y N
(PGJ) POWERSHARES GOLDEN DRAGON CHI G Y N
(RFDI) FIRST TRUST ETF III RIVERFRONT G Y N
(ROSG) ROSETTA GENOMICS LTD ORD SHS N S Y N
(SHIPW) SEANERGY MARITIME HOLDINGS CO S Y N
(SKLN) SKYLINE MEDICAL INC. COM PAR $ S Y N
(SPEX) SPHERIX INC COM STK NEW (DE) S Y N
(XGTI) XG TECHNOLOGY INC COM PAR $.00 S Y N

Date processed on 06/07/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AEZS) AETERNA ZENTARIS INC COM STK ( S Y N
(BEBE) BEBE STORES INC COM NEW S Y N
(BIOC) BIOCEPT INC COM NEW S Y N
(CLNT) CLEANTECH SOLUTIONS INTL INC C S Y N
(DRYS) DRYSHIPS INC COM STK NEW (MHL) S Y N
(DSLV) VELOCITYSHS 3X INVERSE SILVER G Y N
(FINX) GLOBAL X FDS FINTECH ETF (DE) G Y N
(HOTR) CHANTICLEER HLDGS INC COM PAR S Y N
(IDXG) INTERPACE DIAGNOSTICS GROUP IN S Y N
(IMMY) IMPRIMIS PHARMACEUTICALS, INC. S Y N
(MNKD) MANNKIND CORP G Y N
(MTBC) MEDICAL TRANSCRIPTION BILLING S Y N
(NXTDW) NXT-ID INC WT EXP 02/09/2019 S Y N
(RFAP) FIRST TRUST ETF III RIVERFRONT G Y N
(RFDI) FIRST TRUST ETF III RIVERFRONT G Y N
(SHIPW) SEANERGY MARITIME HOLDINGS CO S Y N
(SKLN) SKYLINE MEDICAL INC. COM PAR $ S Y N
(SPEX) SPHERIX INC COM STK NEW (DE) S Y N
(XGTI) XG TECHNOLOGY INC COM PAR $.00 S Y N

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