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Nasdaq Regulation SHO Short Sale Threshold List December 2017

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Nasdaq Regulation SHO Short Sale Threshold List December 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 12/01/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AMSC) AMERICAN SUPERCONDUCTOR CORP S Q Y N
(AYTU) AYTU BIOSCIENCE INC COM PAR $ S Y N
(BOTZ) GLOBAL X FDS ROBOTICS & ARTIF G Y N
(CADC) CHINA ADVANCED CONSTR MATLS GR S Y N
(CALI) CHINA AUTO LOGISTICS INC COM S S Y N
(CDXC) CHROMADEX CORP S Y N
(CHFS) CHF SOLUTIONS INC COM NEW S Y N
(CLNT) CLEANTECH SOLUTIONS INTL INC C S Y N
(CLSN) CELSION CORP COM PAR NEW S Y N
(CTXR) CITIUS PHARMACEUTICALS INC CO S Y N
(DCIX) DIANA CONTAINERSHIPS INC SHS P Q Y N
(ESGD) ISHARES TR MSCI EAFE ESG OPTIM G Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(JSYNW) JENSYN ACQUISITION CORP WT EXP S Y N
(KRMA) GLOBAL X FDS GLOBAL X CONSCIOU G Y N
(LBIX) LEADING BRANDS INC COM SHS (CD S Y N
(LINU) LINIU TECHNOLOGY GROUP SHS NEW S Y N
(MOSY) MOSYS INC COM STK NEW (DE) S Y N
(NEOT) NEOTHETICS IN COMMON STOCK S Y N
(QRHC) QUEST RESOURCE HOLDING CORPORA S Y N

Date processed on 12/01/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(RESN) RESONANT INC COM STK (DE) S Y N
(RIOT) RIOT BLOCKCHAIN INC COM S Y N
(SBT) STERLING BANCORP INC COM (MI) S Y N
(TOPS) TOP SHIPS INC SHS NEW SEPT 201 S Y N
(TUR) ISHARES MSCI TURKEY ETF G Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N
(WPCS) WPCS INTL INC COM STK NEW S Y N

Date processed on 12/04/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AMSC) AMERICAN SUPERCONDUCTOR CORP S Q Y N
(AYTU) AYTU BIOSCIENCE INC COM PAR $ S Y N
(BOTZ) GLOBAL X FDS ROBOTICS & ARTIF G Y N
(CADC) CHINA ADVANCED CONSTR MATLS GR S Y N
(CALI) CHINA AUTO LOGISTICS INC COM S S Y N
(CDXC) CHROMADEX CORP S Y N
(CHFS) CHF SOLUTIONS INC COM NEW S Y N
(CLNT) CLEANTECH SOLUTIONS INTL INC C S Y N
(CLSN) CELSION CORP COM PAR NEW S Y N
(CTXR) CITIUS PHARMACEUTICALS INC CO S Y N
(DCIX) DIANA CONTAINERSHIPS INC SHS P Q Y N
(ESGD) ISHARES TR MSCI EAFE ESG OPTIM G Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(JSYNW) JENSYN ACQUISITION CORP WT EXP S Y N
(KRMA) GLOBAL X FDS GLOBAL X CONSCIOU G Y N
(LBIX) LEADING BRANDS INC COM SHS (CD S Y N
(LINU) LINIU TECHNOLOGY GROUP SHS NEW S Y N
(MOSY) MOSYS INC COM STK NEW (DE) S Y N
(NEOT) NEOTHETICS IN COMMON STOCK S Y N
(QRHC) QUEST RESOURCE HOLDING CORPORA S Y N

Date processed on 12/04/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(RESN) RESONANT INC COM STK (DE) S Y N
(RIOT) RIOT BLOCKCHAIN INC COM S Y N
(SBT) STERLING BANCORP INC COM (MI) S Y N
(TOPS) TOP SHIPS INC SHS NEW SEPT 201 S Y N
(TUR) ISHARES MSCI TURKEY ETF G Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N
(WPCS) WPCS INTL INC COM STK NEW S Y N

Date processed on 12/05/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AMSC) AMERICAN SUPERCONDUCTOR CORP S Q Y N
(AYTU) AYTU BIOSCIENCE INC COM PAR $ S Y N
(BOTZ) GLOBAL X FDS ROBOTICS & ARTIF G Y N
(CADC) CHINA ADVANCED CONSTR MATLS GR S Y N
(CDXC) CHROMADEX CORP S Y N
(CHFS) CHF SOLUTIONS INC COM NEW S Y N
(CLNT) CLEANTECH SOLUTIONS INTL INC C S Y N
(CLSN) CELSION CORP COM PAR NEW S Y N
(CTXR) CITIUS PHARMACEUTICALS INC CO S Y N
(DCIX) DIANA CONTAINERSHIPS INC SHS P Q Y N
(ESGD) ISHARES TR MSCI EAFE ESG OPTIM G Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(JSYNW) JENSYN ACQUISITION CORP WT EXP S Y N
(LBIX) LEADING BRANDS INC COM SHS (CD S Y N
(LINU) LINIU TECHNOLOGY GROUP SHS NEW S Y N
(NEOT) NEOTHETICS IN COMMON STOCK S Y N
(QRHC) QUEST RESOURCE HOLDING CORPORA S Y N
(RESN) RESONANT INC COM STK (DE) S Y N
(RIOT) RIOT BLOCKCHAIN INC COM S Y N
(SBT) STERLING BANCORP INC COM (MI) S Y N

Date processed on 12/05/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(TOPS) TOP SHIPS INC SHS NEW SEPT 201 S Y N
(TUR) ISHARES MSCI TURKEY ETF G Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N
(WPCS) WPCS INTL INC COM STK NEW S Y N

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