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Nasdaq Regulation SHO Short Sale Threshold List October 2017

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Nasdaq Regulation SHO Short Sale Threshold List October 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 10/02/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AAOI) APPLIED OPTOELECTRONICS INC CO G Y N
(AEMD) AETHLON MEDICAL INC S Y N
(ATACR) ATLANTIC ACQUISITION CORP RT S Y N
(CIZ) VICTORY PORTFOLIOS II SHS DEV G Y N
(DCIX) DIANA CONTAINERSHIPS INC SHS P Q Y N
(DGLT) DIGILITI MONEY GROUP INC COM S S Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(ITUS) ITUS CORP COM NEW S Y N
(IZEA) IZEA INC S Y N
(MARA) MARATHON PATENT GROUP INC COM S Y N
(MBOT) MICROBOT MED INC COM (ISR) S Y N
(PETZ) TDH HLDGS INC SHS (VGB) S Y N
(RFDI) FIRST TRUST ETF III RIVERFRONT G Y N
(RFEM) FIRST TRUST III RIVERFRONT DYN G Y N
(RNLC) FIRST TR VI LARGE CAP US EQUIT G Y N
(SRTS) SENSUS HEALTHCARE INC COM S Y N
(SSNT) SILVERSUN TECHNOLOGIES INC COM S Y N
(TOPS) TOP SHIPS INC SHS NEW JULY 201 S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N
(ZAIS) ZAIS GROUP HLDGS INC COM STK S Y N

Date processed on 10/03/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AAOI) APPLIED OPTOELECTRONICS INC CO G Y N
(AEMD) AETHLON MEDICAL INC S Y N
(ATACR) ATLANTIC ACQUISITION CORP RT S Y N
(CIZ) VICTORY PORTFOLIOS II SHS DEV G Y N
(DCIX) DIANA CONTAINERSHIPS INC SHS P Q Y N
(DGLT) DIGILITI MONEY GROUP INC COM S S Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(ITUS) ITUS CORP COM NEW S Y N
(IZEA) IZEA INC S Y N
(MARA) MARATHON PATENT GROUP INC COM S Y N
(MBOT) MICROBOT MED INC COM (ISR) S Y N
(PETZ) TDH HLDGS INC SHS (VGB) S Y N
(RFDI) FIRST TRUST ETF III RIVERFRONT G Y N
(SRTS) SENSUS HEALTHCARE INC COM S Y N
(SSNT) SILVERSUN TECHNOLOGIES INC COM S Y N
(TOPS) TOP SHIPS INC SHS NEW JULY 201 S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N
(ZAIS) ZAIS GROUP HLDGS INC COM STK S Y N

Date processed on 10/04/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AAOI) APPLIED OPTOELECTRONICS INC CO G Y N
(AEMD) AETHLON MEDICAL INC S Y N
(ATACR) ATLANTIC ACQUISITION CORP RT S Y N
(CIZ) VICTORY PORTFOLIOS II SHS DEV G Y N
(DGLT) DIGILITI MONEY GROUP INC COM S S Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(ITUS) ITUS CORP COM NEW S Y N
(IZEA) IZEA INC S Y N
(MARA) MARATHON PATENT GROUP INC COM S Y N
(PETZ) TDH HLDGS INC SHS (VGB) S Y N
(RFDI) FIRST TRUST ETF III RIVERFRONT G Y N
(SRTS) SENSUS HEALTHCARE INC COM S Y N
(SSNT) SILVERSUN TECHNOLOGIES INC COM S Y N
(TOPS) TOP SHIPS INC SHS NEW JULY 201 S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N
(ZAIS) ZAIS GROUP HLDGS INC COM STK S Y N

Date processed on 10/05/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AAOI) APPLIED OPTOELECTRONICS INC CO G Y N
(AEMD) AETHLON MEDICAL INC S Y N
(ATACR) ATLANTIC ACQUISITION CORP RT S Y N
(CIZ) VICTORY PORTFOLIOS II SHS DEV G Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(IMNP) IMMUNE PHARMACEUTICALS INC COM S Y N
(ITUS) ITUS CORP COM NEW S Y N
(IZEA) IZEA INC S Y N
(MARA) MARATHON PATENT GROUP INC COM S Y N
(PETZ) TDH HLDGS INC SHS (VGB) S Y N
(QINC) FIRST TR VI RBA QUALITY INCOME G Y N
(RFDI) FIRST TRUST ETF III RIVERFRONT G Y N
(SRTS) SENSUS HEALTHCARE INC COM S Y N
(SSNT) SILVERSUN TECHNOLOGIES INC COM 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 10/06/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AAOI) APPLIED OPTOELECTRONICS INC CO G Y N
(AEMD) AETHLON MEDICAL INC S Y N
(ATACR) ATLANTIC ACQUISITION CORP RT S Y N
(CIZ) VICTORY PORTFOLIOS II SHS DEV G Y N
(DHXM) DHX MEDIA LTD ORDNARY SHARES V Q Y N
(DMPI) DELMAR PHARMACEUTICA INC COM N S Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(IMNP) IMMUNE PHARMACEUTICALS INC COM S Y N
(ITUS) ITUS CORP COM NEW S Y N
(IZEA) IZEA INC S Y N
(MARA) MARATHON PATENT GROUP INC COM S Y N
(PETZ) TDH HLDGS INC SHS (VGB) S Y N
(QINC) FIRST TR VI RBA QUALITY INCOME G Y N
(RFDI) FIRST TRUST ETF III RIVERFRONT G Y N
(ROKA) ROKA BIOSCIENCE INC COM NEW G Y N
(SRTS) SENSUS HEALTHCARE INC COM S Y N
(SSNT) SILVERSUN TECHNOLOGIES INC COM 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 10/09/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AAOI) APPLIED OPTOELECTRONICS INC CO G Y N
(AEMD) AETHLON MEDICAL INC S Y N
(ATACR) ATLANTIC ACQUISITION CORP RT S Y N
(CIZ) VICTORY PORTFOLIOS II SHS DEV G Y N
(DHXM) DHX MEDIA LTD ORDNARY SHARES V Q Y N
(DMPI) DELMAR PHARMACEUTICA INC COM N S Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(IMNP) IMMUNE PHARMACEUTICALS INC COM S Y N
(ITUS) ITUS CORP COM NEW S Y N
(IZEA) IZEA INC S Y N
(MARA) MARATHON PATENT GROUP INC COM S Y N
(PETZ) TDH HLDGS INC SHS (VGB) S Y N
(QINC) FIRST TR VI RBA QUALITY INCOME G Y N
(RFDI) FIRST TRUST ETF III RIVERFRONT G Y N
(ROKA) ROKA BIOSCIENCE INC COM NEW G Y N
(SRTS) SENSUS HEALTHCARE INC COM S Y N
(SSNT) SILVERSUN TECHNOLOGIES INC COM S Y N
(TOPS) TOP SHIPS INC SHS NEW JULY 201 S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N

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