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Nasdaq Regulation SHO Short Sale Threshold List November 2017

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Nasdaq Regulation SHO Short Sale Threshold List November 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 11/01/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AKER) AKERS BIOSCIENCES INC COMMON S Y N
(ANY) SPHERE 3D CORP NEW COM SHS (CD S Y N
(BONT) BON-TON STORES INC (THE) Q Y N
(CID) VICTORY PORTFOLIOS II SHS INTL G Y N
(ESGG) FLEXSHARES TR STOXX GLOBAL ESG G Y N
(FIXD) FIRST TR ETF VIII TCW OPPORTUN G Y N
(IFON) INFOSONICS CORP NEW S Y N
(IMNP) IMMUNE PHARMACEUTICALS INC COM S Y N
(LINU) LINIU TECHNOLOGY GROUP SHS NEW S Y N
(MBOT) MICROBOT MED INC COM (ISR) S Y N
(NEOT) NEOTHETICS IN COMMON STOCK S Y N
(NETE) NET ELEMENT INC COM PAR $0.000 S Y N
(RADA) RADA ELECTRONIC INDUSTRIES LTD S Y N
(RGSE) REAL GOODS SOLAR INC CL A NEW S Y N
(ROKA) ROKA BIOSCIENCE INC COM NEW G Y N
(TEAR) TEARLAB CORP COM NEW (DE) S Y N
(TOPS) TOP SHIPS INC SHS NEW SEPT 201 S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N

Date processed on 11/02/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AKER) AKERS BIOSCIENCES INC COMMON S Y N
(ANY) SPHERE 3D CORP NEW COM SHS (CD S Y N
(AYTU) AYTU BIOSCIENCE INC COM PAR $ S Y N
(BONT) BON-TON STORES INC (THE) Q Y N
(CAPR) CAPRICOR THERAPEUTICS, INC. CO S Y N
(CID) VICTORY PORTFOLIOS II SHS INTL G Y N
(ESGG) FLEXSHARES TR STOXX GLOBAL ESG G Y N
(FIXD) FIRST TR ETF VIII TCW OPPORTUN G Y N
(IFON) INFOSONICS CORP NEW S Y N
(IMNP) IMMUNE PHARMACEUTICALS INC COM S Y N
(MBOT) MICROBOT MED INC COM (ISR) S Y N
(NEOT) NEOTHETICS IN COMMON STOCK S Y N
(NETE) NET ELEMENT INC COM PAR $0.000 S Y N
(RADA) RADA ELECTRONIC INDUSTRIES LTD S Y N
(RGSE) REAL GOODS SOLAR INC CL A NEW S Y N
(ROKA) ROKA BIOSCIENCE INC COM NEW G Y N
(TEAR) TEARLAB CORP COM NEW (DE) S Y N
(TOPS) TOP SHIPS INC SHS NEW SEPT 201 S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N

Date processed on 11/03/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AKER) AKERS BIOSCIENCES INC COMMON S Y N
(ANY) SPHERE 3D CORP NEW COM SHS (CD S Y N
(AYTU) AYTU BIOSCIENCE INC COM PAR $ S Y N
(BONT) BON-TON STORES INC (THE) Q Y N
(CAPR) CAPRICOR THERAPEUTICS, INC. CO S Y N
(CID) VICTORY PORTFOLIOS II SHS INTL G Y N
(ESGG) FLEXSHARES TR STOXX GLOBAL ESG G Y N
(IFON) INFOSONICS CORP NEW S Y N
(NEOT) NEOTHETICS IN COMMON STOCK S Y N
(NETE) NET ELEMENT INC COM PAR $0.000 S Y N
(RADA) RADA ELECTRONIC INDUSTRIES LTD S Y N
(RGSE) REAL GOODS SOLAR INC CL A NEW S Y N
(TOPS) TOP SHIPS INC SHS NEW SEPT 201 S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N

Date processed on 11/06/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AKER) AKERS BIOSCIENCES INC COMMON S Y N
(ANY) SPHERE 3D CORP NEW COM SHS (CD S Y N
(AYTU) AYTU BIOSCIENCE INC COM PAR $ S Y N
(BONT) BON-TON STORES INC (THE) Q Y N
(BOTZ) GLOBAL X FDS ROBOTICS & ARTIF G Y N
(CAPR) CAPRICOR THERAPEUTICS, INC. CO S Y N
(CID) VICTORY PORTFOLIOS II SHS INTL G Y N
(IFON) INFOSONICS CORP NEW S Y N
(MILN) GLOBAL X FDS MILLENNIALS THEMA G Y N
(NEOT) NEOTHETICS IN COMMON STOCK S Y N
(NETE) NET ELEMENT INC COM PAR $0.000 S Y N
(RADA) RADA ELECTRONIC INDUSTRIES LTD S Y N
(RGSE) REAL GOODS SOLAR INC CL A NEW S Y N
(TOPS) TOP SHIPS INC SHS NEW SEPT 201 S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N

Date processed on 11/07/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AKER) AKERS BIOSCIENCES INC COMMON S Y N
(ANY) SPHERE 3D CORP NEW COM SHS (CD S Y N
(AYTU) AYTU BIOSCIENCE INC COM PAR $ S Y N
(BONT) BON-TON STORES INC (THE) Q Y N
(BOTZ) GLOBAL X FDS ROBOTICS & ARTIF G Y N
(CAPR) CAPRICOR THERAPEUTICS, INC. CO S Y N
(GPRO) GOPRO INC CL A COM STK (DE) Q Y N
(IFON) INFOSONICS CORP NEW S Y N
(MILN) GLOBAL X FDS MILLENNIALS THEMA G Y N
(NEOT) NEOTHETICS IN COMMON STOCK S Y N
(NETE) NET ELEMENT INC COM PAR $0.000 S Y N
(RGSE) REAL GOODS SOLAR INC CL A NEW S Y N
(TOPS) TOP SHIPS INC SHS NEW SEPT 201 S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N

Date processed on 11/08/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AKER) AKERS BIOSCIENCES INC COMMON S Y N
(ANY) SPHERE 3D CORP NEW COM SHS (CD S Y N
(AYTU) AYTU BIOSCIENCE INC COM PAR $ S Y N
(BOTZ) GLOBAL X FDS ROBOTICS & ARTIF G Y N
(CAPR) CAPRICOR THERAPEUTICS, INC. CO S Y N
(GPRO) GOPRO INC CL A COM STK (DE) Q Y N
(IFON) INFOSONICS CORP NEW S Y N
(INPX) INPIXON COMMON STOCK (NV) S Y N
(MILN) GLOBAL X FDS MILLENNIALS THEMA G Y N
(NEOT) NEOTHETICS IN COMMON STOCK S Y N
(NETE) NET ELEMENT INC COM PAR $0.000 S Y N
(RGSE) REAL GOODS SOLAR INC CL A NEW S Y N
(TOPS) TOP SHIPS INC SHS NEW SEPT 201 S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N

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