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Nasdaq Regulation SHO Short Sale Threshold List February 2018

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Nasdaq Regulation SHO Short Sale Threshold List February 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 02/01/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ACST) ACASTI PHARMA INC CL A SHS (CD S Y N
(ADRU) BLDRS EUROPE 100 ADR INDEX FUN G Y N
(AIPT) SKYLINE MEDICAL INC. COM PAR $ S Y N
(AKER) AKERS BIOSCIENCES INC COMMON S Y N
(AMMA) ALLIANCE MMA INC COM S Y N
(ARGS) ARGOS THERAPEUTICS INC COM NEW S Y N
(CIZ) VICTORY PORTFOLIOS II SHS DEV G Y N
(CNET) CHINANET ONLINE HLDGS INC COM S Y N
(CPAH) COUNTERPATH CORPORATION COM P S Y N
(CVO) CENVEO INC COM NEW (CO) G Y N
(DSLV) VELOCITYSHS 3X INVERSE SILVER G Y N
(EFAS) GLOBAL X FDS MSCI SUPERDIVIDEN G Y N
(ESGD) ISHARES TR MSCI EAFE ESG OPTIM G Y N
(FALN) ISHARES TR FALLEN ANGELS USD B G Y N
(FTFT) FUTURE FINTECH GROUP INC COM P G Y N
(FTLB) FIRST TRUST EXCHANGE TRADED FD G Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(ITUS) ITUS CORP COM NEW S Y N
(LINU) LINIU TECHNOLOGY GROUP SHS NEW S Y N
(MARA) MARATHON PATENT GROUP INC COM S Y N

Date processed on 02/01/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(OPGN) OPGEN INC COM NEW (DE) S Y N
(RNDV) FIRST TR VI US EQUITY DIVID SE G Y N
(SEII) SHARING ECONOMY INTL INC COM ( S Y N
(TNDM) TANDEM DIABETES CARE INC COM N G Y N
(TPIV) TAPIMMUNE INC COM PAR $0.001 N S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N

Date processed on 02/02/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AIPT) SKYLINE MEDICAL INC. COM PAR $ S Y N
(AKER) AKERS BIOSCIENCES INC COMMON S Y N
(AMMA) ALLIANCE MMA INC COM S Y N
(ARGS) ARGOS THERAPEUTICS INC COM NEW S Y N
(CIZ) VICTORY PORTFOLIOS II SHS DEV G Y N
(CNET) CHINANET ONLINE HLDGS INC COM S Y N
(CVO) CENVEO INC COM NEW (CO) G Y N
(DSLV) VELOCITYSHS 3X INVERSE SILVER G Y N
(EFAS) GLOBAL X FDS MSCI SUPERDIVIDEN G Y N
(ESGD) ISHARES TR MSCI EAFE ESG OPTIM G Y N
(FALN) ISHARES TR FALLEN ANGELS USD B G Y N
(FTFT) FUTURE FINTECH GROUP INC COM P G Y N
(FTLB) FIRST TRUST EXCHANGE TRADED FD G Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(ITUS) ITUS CORP COM NEW S Y N
(LEGR) FIRST TR ETF INDXX INNOVATION G Y N
(LINU) LINIU TECHNOLOGY GROUP SHS NEW S Y N
(MARA) MARATHON PATENT GROUP INC COM S Y N
(OPGN) OPGEN INC COM NEW (DE) S Y N
(PY) PRINCIPAL ETF PRIN SHAREHOLDER G Y N

Date processed on 02/02/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(RNDV) FIRST TR VI US EQUITY DIVID SE G Y N
(SEII) SHARING ECONOMY INTL INC COM ( S Y N
(TPIV) TAPIMMUNE INC COM PAR $0.001 N S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N

Date processed on 02/05/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AIPT) PRECISION THERAPEUTICS INC CO S Y N
(AKER) AKERS BIOSCIENCES INC COMMON S Y N
(AMMA) ALLIANCE MMA INC COM S Y N
(ARGS) ARGOS THERAPEUTICS INC COM NEW S Y N
(CIZ) VICTORY PORTFOLIOS II SHS DEV G Y N
(CVO) CENVEO INC COM NEW (CO) G Y N
(EFAS) GLOBAL X FDS MSCI SUPERDIVIDEN G Y N
(ESGD) ISHARES TR MSCI EAFE ESG OPTIM G Y N
(FALN) ISHARES TR FALLEN ANGELS USD B G Y N
(FEMB) FIRST TR ETF EMERGING MARKETS G Y N
(FJP) FIRST TRUST JAPAN ALPHADEX FUN G Y N
(FTFT) FUTURE FINTECH GROUP INC COM P G Y N
(FTLB) FIRST TRUST EXCHANGE TRADED FD G Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(ITUS) ITUS CORP COM NEW S Y N
(LEGR) FIRST TR ETF INDXX INNOVATION G Y N
(MARA) MARATHON PATENT GROUP INC COM S Y N
(OASM) OASMIA PHARMACEUTICAL AB ADR ( S Y N
(OPGN) OPGEN INC COM NEW (DE) S Y N
(PIE) POWERSHARES DWA EMERGING MKTS G Y N

Date processed on 02/05/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(PY) PRINCIPAL ETF PRIN SHAREHOLDER G Y N
(RNDV) FIRST TR VI US EQUITY DIVID SE G Y N
(SEII) SHARING ECONOMY INTL INC COM ( S Y N
(TPIV) TAPIMMUNE INC COM PAR $0.001 N S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N

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