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Nasdaq Regulation SHO Short Sale Threshold List July 2017

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Nasdaq Regulation SHO Short Sale Threshold List July 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 07/03/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AAOI) APPLIED OPTOELECTRONICS INC CO G Y N
(AREX) APPROACH RES INC COM STK (DE) Q Y N
(BCACU) BISON CAP ACQUISITION CORP UNI S Y N
(CACG) LEGG MASON ETF INVT TR CLEARBR G Y N
(CLNT) CLEANTECH SOLUTIONS INTL INC C S Y N
(CLSN) CELSION CORP COM PAR NEW S Y N
(DRYS) DRYSHIPS INC COM STK NEW (MHL) S Y N
(DWLD) DAVIS FUNDAMENTAL ETF TR SELE G Y N
(EMCF) EMCLAIRE FINL CORP S Y N
(FCVT) FIRST TR EXCHANGE TRADED FD IV G Y N
(MBOT) MICROBOT MED INC COM (ISR) S Y N
(MNKD) MANNKIND CORP G Y N
(MOSY) MOSYS INC COM STK NEW (DE) S Y N
(RFEU) FIRST TRUST ETF III RIVERFRONT G Y N
(TOPS) TOP SHIPS INC SHS NEW JUNE 201 S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N

Date processed on 07/05/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AAOI) APPLIED OPTOELECTRONICS INC CO G Y N
(ADMP) ADAMIS PHARMACEUTICALS CORP CO S Y N
(AREX) APPROACH RES INC COM STK (DE) Q Y N
(BCACU) BISON CAP ACQUISITION CORP UNI S Y N
(CACG) LEGG MASON ETF INVT TR CLEARBR G Y N
(CLNT) CLEANTECH SOLUTIONS INTL INC C S Y N
(DRYS) DRYSHIPS INC COM STK NEW (MHL) S Y N
(DWLD) DAVIS FUNDAMENTAL ETF TR SELE G Y N
(EMCF) EMCLAIRE FINL CORP S Y N
(FCVT) FIRST TR EXCHANGE TRADED FD IV G Y N
(IEUS) ISHARES MSCI EUROPE SMALL-CAP G Y N
(MBOT) MICROBOT MED INC COM (ISR) S Y N
(MNKD) MANNKIND CORP G Y N
(MOSY) MOSYS INC COM STK NEW (DE) S Y N
(SCON) SUPERCONDUCTOR TECHS INC COM P S Y N
(TOPS) TOP SHIPS INC SHS NEW JUNE 201 S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N

Date processed on 07/06/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AAOI) APPLIED OPTOELECTRONICS INC CO G Y N
(ADMP) ADAMIS PHARMACEUTICALS CORP CO S Y N
(AREX) APPROACH RES INC COM STK (DE) Q Y N
(BCACU) BISON CAP ACQUISITION CORP UNI S Y N
(BLCM) BELLICUM PHARMACEUTICALS INC C G Y N
(CACG) LEGG MASON ETF INVT TR CLEARBR G Y N
(CLNT) CLEANTECH SOLUTIONS INTL INC C S Y N
(DRYS) DRYSHIPS INC COM STK NEW (MHL) S Y N
(DWLD) DAVIS FUNDAMENTAL ETF TR SELE G Y N
(EMCF) EMCLAIRE FINL CORP S Y N
(FCVT) FIRST TR EXCHANGE TRADED FD IV G Y N
(IEUS) ISHARES MSCI EUROPE SMALL-CAP G Y N
(INPX) INPIXON COMMON STOCK (NV) S Y N
(MBOT) MICROBOT MED INC COM (ISR) S Y N
(MNKD) MANNKIND CORP G Y N
(MOSY) MOSYS INC COM STK NEW (DE) S Y N
(SCON) SUPERCONDUCTOR TECHS INC COM P S Y N
(TOPS) TOP SHIPS INC SHS NEW JUNE 201 S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N

Date processed on 07/07/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AAOI) APPLIED OPTOELECTRONICS INC CO G Y N
(ADMP) ADAMIS PHARMACEUTICALS CORP CO S Y N
(AREX) APPROACH RES INC COM STK (DE) Q Y N
(BLCM) BELLICUM PHARMACEUTICALS INC C G Y N
(CLNT) CLEANTECH SOLUTIONS INTL INC C S Y N
(DRYS) DRYSHIPS INC COM STK NEW (MHL) S Y N
(DWLD) DAVIS FUNDAMENTAL ETF TR SELE G Y N
(EMCF) EMCLAIRE FINL CORP S Y N
(FCVT) FIRST TR EXCHANGE TRADED FD IV G Y N
(FPA) FIRST TRUST ASIA PACIFIC EX-JA G Y N
(IEUS) ISHARES MSCI EUROPE SMALL-CAP G Y N
(INPX) INPIXON COMMON STOCK (NV) S Y N
(MBOT) MICROBOT MED INC COM (ISR) S Y N
(MOSY) MOSYS INC COM STK NEW (DE) S Y N
(RFDI) FIRST TRUST ETF III RIVERFRONT G Y N
(SCON) SUPERCONDUCTOR TECHS INC COM P S Y N
(SPEX) SPHERIX INC COM STK NEW (DE) S Y N
(TOPS) TOP SHIPS INC SHS NEW JUNE 201 S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N

Date processed on 07/10/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AAOI) APPLIED OPTOELECTRONICS INC CO G Y N
(ADMP) ADAMIS PHARMACEUTICALS CORP CO S Y N
(AREX) APPROACH RES INC COM STK (DE) Q Y N
(BLCM) BELLICUM PHARMACEUTICALS INC C G Y N
(DRYS) DRYSHIPS INC COM STK NEW (MHL) S Y N
(DWLD) DAVIS FUNDAMENTAL ETF TR SELE G Y N
(ESQ) ESQUIRE FINL HLDGS INC COM S Y N
(FCVT) FIRST TR EXCHANGE TRADED FD IV G Y N
(FPA) FIRST TRUST ASIA PACIFIC EX-JA G Y N
(IEUS) ISHARES MSCI EUROPE SMALL-CAP G Y N
(INPX) INPIXON COMMON STOCK (NV) S Y N
(MBOT) MICROBOT MED INC COM (ISR) S Y N
(MOSY) MOSYS INC COM STK NEW (DE) S Y N
(RFDI) FIRST TRUST ETF III RIVERFRONT G Y N
(SCON) SUPERCONDUCTOR TECHS INC COM P S Y N
(SPEX) SPHERIX INC COM STK NEW (DE) S Y N
(TOPS) TOP SHIPS INC SHS NEW JUNE 201 S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N
(YLCO) GLOBAL X FDS YIELDCO INDEX ETF G Y N

Date processed on 07/11/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AAOI) APPLIED OPTOELECTRONICS INC CO G Y N
(ADMP) ADAMIS PHARMACEUTICALS CORP CO S Y N
(BLCM) BELLICUM PHARMACEUTICALS INC C G Y N
(DRYS) DRYSHIPS INC COM STK NEW (MHL) S Y N
(DWLD) DAVIS FUNDAMENTAL ETF TR SELE G Y N
(ESQ) ESQUIRE FINL HLDGS INC COM S Y N
(FPA) FIRST TRUST ASIA PACIFIC EX-JA G Y N
(IEUS) ISHARES MSCI EUROPE SMALL-CAP G Y N
(INPX) INPIXON COMMON STOCK (NV) S Y N
(MBOT) MICROBOT MED INC COM (ISR) S Y N
(MOSY) MOSYS INC COM STK NEW (DE) S Y N
(RFDI) FIRST TRUST ETF III RIVERFRONT G Y N
(SCON) SUPERCONDUCTOR TECHS INC COM P S Y N
(SGBX) SG BLOCKS INC COM PAR $0.01 S Y N
(SPEX) SPHERIX INC COM STK NEW (DE) S Y N
(TOPS) TOP SHIPS INC SHS NEW JUNE 201 S 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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