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Nasdaq Regulation SHO Short Sale Threshold List September 2017

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Nasdaq Regulation SHO Short Sale Threshold List September 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 09/01/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ACIA) ACACIA COMMUNICATIONS INC COM Q Y N
(ANAB) ANAPTYSBIO INC COM STK (DE) Q Y N
(DCIX) DIANA CONTAINERSHIPS INC SHS P Q Y N
(DGLT) DIGILITI MONEY GROUP INC COM S S Y N
(DRYS) DRYSHIPS INC COM PAR NEW (MHL) S Y N
(DSLV) VELOCITYSHS 3X INVERSE SILVER G Y N
(DXTR) DEXTERA SURGICAL INC COM S Y N
(ESGD) ISHARES TR MSCI EAFE ESG OPTIM G Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(MARA) MARATHON PATENT GROUP INC COM S Y N
(NXTD) NXT-ID INC COM NEW S Y N
(PSCE) POWERSHARES S&P SMALLCAP ENERG G Y N
(RFDI) FIRST TRUST ETF III RIVERFRONT G Y N
(RNDM) FIRST TR VI DEVELOPED INTL EQU G Y N
(RTNB) ROOT9B HOLDINGS INC COM NEW S Y N
(TOPS) TOP SHIPS INC SHS NEW JULY 201 S Y N
(TTPH) TETRAPHASE PHARMACEUTICALS INC Q Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N

Date processed on 09/05/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ACIA) ACACIA COMMUNICATIONS INC COM Q Y N
(ANAB) ANAPTYSBIO INC COM STK (DE) Q Y N
(DCIX) DIANA CONTAINERSHIPS INC SHS P Q Y N
(DGLT) DIGILITI MONEY GROUP INC COM S S Y N
(DRYS) DRYSHIPS INC COM PAR NEW (MHL) S Y N
(DSLV) VELOCITYSHS 3X INVERSE SILVER G Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(MARA) MARATHON PATENT GROUP INC COM S Y N
(PSCE) POWERSHARES S&P SMALLCAP ENERG G Y N
(RADA) RADA ELECTRONIC INDUSTRIES LTD S Y N
(RFDI) FIRST TRUST ETF III RIVERFRONT G Y N
(RNDM) FIRST TR VI DEVELOPED INTL EQU G Y N
(RTNB) ROOT9B HOLDINGS INC COM NEW S Y N
(TOPS) TOP SHIPS INC SHS NEW JULY 201 S Y N
(TTPH) TETRAPHASE PHARMACEUTICALS INC Q Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N

Date processed on 09/06/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ACIA) ACACIA COMMUNICATIONS INC COM Q Y N
(ANAB) ANAPTYSBIO INC COM STK (DE) Q Y N
(CSML) INDEXIQ ETF TR CHAIKIN US SMAL G Y N
(DCIX) DIANA CONTAINERSHIPS INC SHS P Q Y N
(DGLT) DIGILITI MONEY GROUP INC COM S S Y N
(DHXM) DHX MEDIA LTD ORDNARY SHARES V Q Y N
(DRYS) DRYSHIPS INC COM PAR NEW (MHL) S Y N
(DSLV) VELOCITYSHS 3X INVERSE SILVER G Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(IDXG) INTERPACE DIAGNOSTICS GROUP IN S Y N
(MARA) MARATHON PATENT GROUP INC COM S Y N
(PSCE) POWERSHARES S&P SMALLCAP ENERG G Y N
(RADA) RADA ELECTRONIC INDUSTRIES LTD S Y N
(RFDI) FIRST TRUST ETF III RIVERFRONT G Y N
(RTNB) ROOT9B HOLDINGS INC COM NEW S Y N
(TOPS) TOP SHIPS INC SHS NEW JULY 201 S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N

Date processed on 09/07/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(CSML) INDEXIQ ETF TR CHAIKIN US SMAL G Y N
(DCIX) DIANA CONTAINERSHIPS INC SHS P Q Y N
(DGLT) DIGILITI MONEY GROUP INC COM S S Y N
(DHXM) DHX MEDIA LTD ORDNARY SHARES V Q Y N
(DRYS) DRYSHIPS INC COM PAR NEW (MHL) S Y N
(DSLV) VELOCITYSHS 3X INVERSE SILVER G Y N
(IDXG) INTERPACE DIAGNOSTICS GROUP IN S Y N
(MARA) MARATHON PATENT GROUP INC COM S Y N
(PSCE) POWERSHARES S&P SMALLCAP ENERG G Y N
(RADA) RADA ELECTRONIC INDUSTRIES LTD S Y N
(RFDI) FIRST TRUST ETF III RIVERFRONT G Y N
(RTNB) ROOT9B HOLDINGS INC COM NEW S Y N
(TOPS) TOP SHIPS INC SHS NEW JULY 201 S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N

Date processed on 09/08/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AAOI) APPLIED OPTOELECTRONICS INC CO G Y N
(CSML) INDEXIQ ETF TR CHAIKIN US SMAL G Y N
(DCIX) DIANA CONTAINERSHIPS INC SHS P Q Y N
(DGLT) DIGILITI MONEY GROUP INC COM S S Y N
(DHXM) DHX MEDIA LTD ORDNARY SHARES V Q Y N
(DRYS) DRYSHIPS INC COM PAR NEW (MHL) S Y N
(DSLV) VELOCITYSHS 3X INVERSE SILVER G Y N
(DTYS) BARCLAYS BK PLC IPATH US 10 YR G Y N
(IDXG) INTERPACE DIAGNOSTICS GROUP IN S Y N
(MARA) MARATHON PATENT GROUP INC COM S Y N
(MESO) MESOBLAST LIMITED SPONSORED AD Q Y N
(NXTDW) NXT-ID INC WT EXP 02/09/2019 S Y N
(PSCE) POWERSHARES S&P SMALLCAP ENERG G Y N
(RADA) RADA ELECTRONIC INDUSTRIES LTD S Y N
(RFDI) FIRST TRUST ETF III RIVERFRONT G Y N
(RTNB) ROOT9B HOLDINGS INC COM NEW S Y N
(TOPS) TOP SHIPS INC SHS NEW JULY 201 S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N
(WPPGY) WPP PLC ADR (JE) NEW Q Y N

Date processed on 09/11/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AAOI) APPLIED OPTOELECTRONICS INC CO G Y N
(CSML) INDEXIQ ETF TR CHAIKIN US SMAL G Y N
(DCIX) DIANA CONTAINERSHIPS INC SHS P Q Y N
(DGLT) DIGILITI MONEY GROUP INC COM S S Y N
(DHXM) DHX MEDIA LTD ORDNARY SHARES V Q Y N
(DRYS) DRYSHIPS INC COM PAR NEW (MHL) S Y N
(DSLV) VELOCITYSHS 3X INVERSE SILVER G Y N
(DTYS) BARCLAYS BK PLC IPATH US 10 YR G Y N
(IDXG) INTERPACE DIAGNOSTICS GROUP IN S Y N
(MARA) MARATHON PATENT GROUP INC COM S Y N
(MESO) MESOBLAST LIMITED SPONSORED AD Q Y N
(NXTDW) NXT-ID INC WT EXP 02/09/2019 S Y N
(RADA) RADA ELECTRONIC INDUSTRIES LTD S Y N
(RFDI) FIRST TRUST ETF III RIVERFRONT G Y N
(RTNB) ROOT9B HOLDINGS INC COM NEW S Y N
(TOPS) TOP SHIPS INC SHS NEW JULY 201 S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N
(WPPGY) WPP PLC ADR (JE) NEW Q Y N

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