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Nasdaq Regulation SHO Short Sale Threshold List January 2018

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Nasdaq Regulation SHO Short Sale Threshold List January 2018

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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 01/02/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ACST) ACASTI PHARMA INC CL A SHS (CD S Y N
(AKER) AKERS BIOSCIENCES INC COMMON S Y N
(BLIN) BRIDGELINE DIGITAL INC COM NE S Y N
(BOTZ) GLOBAL X FDS ROBOTICS & ARTIF G Y N
(BRPAU) BIG ROCK PARTNERS ACQUISITION S Y N
(ESGD) ISHARES TR MSCI EAFE ESG OPTIM G Y N
(FTFT) FUTURE FINTECH GROUP INC COM P G Y N
(FTR) FRONTIER COMMUNICATIONS CORP C Q Y N
(IMNP) IMMUNE PHARMACEUTICALS INC COM S Y N
(IPDN) PROFESSIONAL DIVERSITY NETWORK S Y N
(JTPY) JETPAY CORPORATION COM STK S Y N
(LBIX) LEADING BRANDS INC COM SHS (CD S Y N
(MARA) MARATHON PATENT GROUP INC COM S Y N
(NETE) NET ELEMENT INC COM PAR $0.000 S Y N
(NXTD) NXT-ID INC COM NEW S Y N
(NXTDW) NXT-ID INC WT EXP 02/09/2019 S Y N
(OPTT) OCEAN PWR TECHNOLOGIES INC COM S Y N
(QRHC) QUEST RESOURCE HOLDING CORPORA S Y N
(RIOT) RIOT BLOCKCHAIN INC COM S Y N
(RNDV) FIRST TR VI US EQUITY DIVID SE G Y N

Date processed on 01/02/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(SUSB) ISHARES TR ESG 1-5 YR USD CORP G Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N
(YTEN) YIELD10 BIOSCIENCE INC COM NEW S Y N

Tickers: (SUSB), (TVIX), (YTEN)

Date processed on 01/03/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AKER) AKERS BIOSCIENCES INC COMMON S Y N
(BLIN) BRIDGELINE DIGITAL INC COM NE S Y N
(BOTZ) GLOBAL X FDS ROBOTICS & ARTIF G Y N
(BRPAU) BIG ROCK PARTNERS ACQUISITION S Y N
(ESGD) ISHARES TR MSCI EAFE ESG OPTIM G Y N
(FTFT) FUTURE FINTECH GROUP INC COM P G Y N
(IMNP) IMMUNE PHARMACEUTICALS INC COM S Y N
(IPDN) PROFESSIONAL DIVERSITY NETWORK S Y N
(JTPY) JETPAY CORPORATION COM STK S Y N
(LBIX) LEADING BRANDS INC COM SHS (CD S Y N
(MARA) MARATHON PATENT GROUP INC COM S Y N
(NETE) NET ELEMENT INC COM PAR $0.000 S Y N
(NXTD) NXT-ID INC COM NEW S Y N
(NXTDW) NXT-ID INC WT EXP 02/09/2019 S Y N
(OPTT) OCEAN PWR TECHNOLOGIES INC COM S Y N
(RIOT) RIOT BLOCKCHAIN INC COM S Y N
(RNDV) FIRST TR VI US EQUITY DIVID SE G Y N
(SUSB) ISHARES TR ESG 1-5 YR USD CORP G Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N
(YTEN) YIELD10 BIOSCIENCE INC COM NEW S Y N

Date processed on 01/04/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AKER) AKERS BIOSCIENCES INC COMMON S Y N
(BLIN) BRIDGELINE DIGITAL INC COM NE S Y N
(BOTZ) GLOBAL X FDS ROBOTICS & ARTIF G Y N
(BRPAU) BIG ROCK PARTNERS ACQUISITION S Y N
(ESGD) ISHARES TR MSCI EAFE ESG OPTIM G Y N
(FTFT) FUTURE FINTECH GROUP INC COM P G Y N
(IMNP) IMMUNE PHARMACEUTICALS INC COM S Y N
(IPDN) PROFESSIONAL DIVERSITY NETWORK S Y N
(JTPY) JETPAY CORPORATION COM STK S Y N
(LBIX) LEADING BRANDS INC COM SHS (CD S Y N
(MARA) MARATHON PATENT GROUP INC COM S Y N
(NETE) NET ELEMENT INC COM PAR $0.000 S Y N
(NXTDW) NXT-ID INC WT EXP 02/09/2019 S Y N
(OPTT) OCEAN PWR TECHNOLOGIES INC COM S Y N
(RIOT) RIOT BLOCKCHAIN INC COM S Y N
(RNDV) FIRST TR VI US EQUITY DIVID SE G Y N
(SUSB) ISHARES TR ESG 1-5 YR USD CORP G Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N
(YTEN) YIELD10 BIOSCIENCE INC COM NEW S Y N

Date processed on 01/05/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AKER) AKERS BIOSCIENCES INC COMMON S Y N
(BLIN) BRIDGELINE DIGITAL INC COM NE S Y N
(BOTZ) GLOBAL X FDS ROBOTICS & ARTIF G Y N
(ESGD) ISHARES TR MSCI EAFE ESG OPTIM G Y N
(FTFT) FUTURE FINTECH GROUP INC COM P G Y N
(IMNP) IMMUNE PHARMACEUTICALS INC COM S Y N
(IPDN) PROFESSIONAL DIVERSITY NETWORK S Y N
(JTPY) JETPAY CORPORATION COM STK S Y N
(LBIX) LEADING BRANDS INC COM SHS (CD S Y N
(MARA) MARATHON PATENT GROUP INC COM S Y N
(NETE) NET ELEMENT INC COM PAR $0.000 S Y N
(NXTDW) NXT-ID INC WT EXP 02/09/2019 S Y N
(OPTT) OCEAN PWR TECHNOLOGIES INC COM S Y N
(RIOT) RIOT BLOCKCHAIN INC COM S Y N
(RNDV) FIRST TR VI US EQUITY DIVID SE G Y N
(SEII) CLEANTECH SOLUTIONS INTL INC C S Y N
(SUSB) ISHARES TR ESG 1-5 YR USD CORP G Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N
(YTEN) YIELD10 BIOSCIENCE INC COM NEW S Y N

Date processed on 01/08/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AKER) AKERS BIOSCIENCES INC COMMON S Y N
(BLIN) BRIDGELINE DIGITAL INC COM NE S Y N
(BOTZ) GLOBAL X FDS ROBOTICS & ARTIF G Y N
(ESGD) ISHARES TR MSCI EAFE ESG OPTIM G Y N
(FTFT) FUTURE FINTECH GROUP INC COM P G Y N
(IMNP) IMMUNE PHARMACEUTICALS INC COM S Y N
(IPDN) PROFESSIONAL DIVERSITY NETWORK S Y N
(JTPY) JETPAY CORPORATION COM STK S Y N
(LBIX) LEADING BRANDS INC COM SHS (CD S Y N
(MARA) MARATHON PATENT GROUP INC COM S Y N
(NETE) NET ELEMENT INC COM PAR $0.000 S Y N
(NXTDW) NXT-ID INC WT EXP 02/09/2019 S Y N
(RIOT) RIOT BLOCKCHAIN INC COM S Y N
(SEII) CLEANTECH SOLUTIONS INTL INC C S Y N
(SUSB) ISHARES TR ESG 1-5 YR USD CORP G Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N
(YTEN) YIELD10 BIOSCIENCE INC COM NEW S Y N

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