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Nasdaq Regulation SHO Short Sale Threshold List August 2017

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Nasdaq Regulation SHO Short Sale Threshold List August 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 08/01/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AEZS) AETERNA ZENTARIS INC COM STK ( S Y N
(ANY) SPHERE 3D CORP NEW COM SHS (CD S Y N
(BCACR) BISON CAP ACQUISITION CORP RTS S Y N
(BVXV) BIONDVAX PHARMACEUTICALS LTD. S Y N
(CYCC) CYCLACEL PHARMACEUTICALS INC C S Y N
(DCIX) DIANA CONTAINERSHIPS INC SHS P Q Y N
(DGLD) VELOCITYSHS 3X INVERSE GOLD ET G Y N
(DRYS) DRYSHIPS INC COM PAR NEW (MHL) S Y N
(DXTR) DEXTERA SURGICAL INC COM S Y N
(KTOV) KITOV PHARMACEUTICALS HLDGS LT S Y N
(MARA) MARATHON PATENT GROUP INC COM S Y N
(MBOT) MICROBOT MED INC COM (ISR) S Y N
(MBRX) MOLECULIN BIOTECH INC COM S Y N
(MBVX) MABVAX THERAPEUTICS HOLDINGS, S Y N
(QBAK) QUALSTAR CORP COM NEW S Y N
(SITO) SITO MOBILE LTD COM NEW S Y N
(SKLN) SKYLINE MEDICAL INC. COM PAR $ 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 08/01/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(USLV) VELOCITYSHS 3X LG SILVER ETN L G Y N
(VGLT) VANGUARD LG-TRM GOVT BD ETF G Y N
(XGTI) XG TECHNOLOGY INC COM PAR $.00 S Y N
(ZN) ZION OIL & GAS INC COM G Y N

Tickers: (USLV), (VGLT), (XGTI), (ZN)

Date processed on 08/02/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AEZS) AETERNA ZENTARIS INC COM STK ( S Y N
(ANY) SPHERE 3D CORP NEW COM SHS (CD S Y N
(BCACR) BISON CAP ACQUISITION CORP RTS S Y N
(BVXV) BIONDVAX PHARMACEUTICALS LTD. S Y N
(CYCC) CYCLACEL PHARMACEUTICALS INC C S Y N
(DCIX) DIANA CONTAINERSHIPS INC SHS P Q Y N
(DGLD) VELOCITYSHS 3X INVERSE GOLD ET G Y N
(DRYS) DRYSHIPS INC COM PAR NEW (MHL) S Y N
(DXTR) DEXTERA SURGICAL INC COM S Y N
(KTOV) KITOV PHARMACEUTICALS HLDGS LT S Y N
(MARA) MARATHON PATENT GROUP INC COM S Y N
(MBOT) MICROBOT MED INC COM (ISR) S Y N
(MBRX) MOLECULIN BIOTECH INC COM S Y N
(MBVX) MABVAX THERAPEUTICS HOLDINGS, S Y N
(PGJ) POWERSHARES GOLDEN DRAGON CHI G Y N
(QBAK) QUALSTAR CORP COM NEW S Y N
(SITO) SITO MOBILE LTD COM NEW S Y N
(SKLN) SKYLINE MEDICAL INC. COM PAR $ 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 08/02/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(USLV) VELOCITYSHS 3X LG SILVER ETN L G Y N
(VGLT) VANGUARD LG-TRM GOVT BD ETF G Y N
(XGTI) XG TECHNOLOGY INC COM PAR $.00 S Y N
(ZN) ZION OIL & GAS INC COM G Y N

Tickers: (USLV), (VGLT), (XGTI), (ZN)

Date processed on 08/03/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AEZS) AETERNA ZENTARIS INC COM STK ( S Y N
(ANY) SPHERE 3D CORP NEW COM SHS (CD S Y N
(BCACR) BISON CAP ACQUISITION CORP RTS S Y N
(BVXV) BIONDVAX PHARMACEUTICALS LTD. S Y N
(CYCC) CYCLACEL PHARMACEUTICALS INC C S Y N
(DCIX) DIANA CONTAINERSHIPS INC SHS P Q Y N
(DRYS) DRYSHIPS INC COM PAR NEW (MHL) S Y N
(DWFI) SPDR SER TR DORSEY WRIGHT FIXE G Y N
(DXTR) DEXTERA SURGICAL INC COM S Y N
(KTOV) KITOV PHARMACEUTICALS HLDGS LT S Y N
(MARA) MARATHON PATENT GROUP INC COM S Y N
(MBOT) MICROBOT MED INC COM (ISR) S Y N
(MBRX) MOLECULIN BIOTECH INC COM S Y N
(MBVX) MABVAX THERAPEUTICS HOLDINGS, S Y N
(OSPRU) OSPREY ENERGY ACQUISITION CORP S Y N
(PGJ) POWERSHARES GOLDEN DRAGON CHI G Y N
(QBAK) QUALSTAR CORP COM NEW S Y N
(SITO) SITO MOBILE LTD COM NEW S Y N
(SKLN) SKYLINE MEDICAL INC. COM PAR $ S Y N
(TOPS) TOP SHIPS INC SHS NEW JUNE 201 S Y N

Date processed on 08/03/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N
(USLV) VELOCITYSHS 3X LG SILVER ETN L G Y N
(XGTI) XG TECHNOLOGY INC COM PAR $.00 S Y N
(ZN) ZION OIL & GAS INC COM G Y N

Tickers: (TVIX), (USLV), (XGTI), (ZN)

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