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Nasdaq Regulation SHO Short Sale Threshold List March 2018

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Nasdaq Regulation SHO Short Sale Threshold List March 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 03/01/2018

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
(ATOS) ATOSSA GENETICS INC COM NEW S Y N
(AYTU) AYTU BIOSCIENCE INC COM PAR $ S Y N
(BSPM) BIOSTAR PHARMACEUTICALS INC CO S Y N
(CEY) VICOTRYSHARES EMERGING MKT HI G Y N
(DSLV) VELOCITYSHS 3X INVERSE SILVER G Y N
(EMCG) EMERGING MKTS CONSUMER GROWTH G Y N
(ESGD) ISHARES TR MSCI EAFE ESG OPTIM G Y N
(FCVT) FIRST TR EXCHANGE TRADED FD IV G Y N
(FEMB) FIRST TR ETF EMERGING MARKETS G Y N
(FNY) FIRST TRUST MID CAP GROWTH ALP G Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(HYND) WISDOMTREE TRST NEG DURATION H G Y N
(INNT) INNOVATE BIOPHARMACEUTICALS IN S Y N
(LMFA) LM FDG AMER INC COM STK (DE) S Y N
(MTSL) MER TELEMANAGEMENT SOLUTIONS L S Y N
(NNDM) NANO DIMENSION LTD SPONSORED A S Y N
(RIOT) RIOT BLOCKCHAIN INC COM S Y N
(RNLC) FIRST TR VI LARGE CAP US EQUIT G Y N

Date processed on 03/01/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ROKU) ROKU INC COM CL A Q Y N
(SQQQ) PROSHARES TR ULTRAPRO SHORT QQ G Y N
(SUSC) ISHARES TR ESG USD CORPORATE B G Y N
(ZSAN) ZOSANO PHARMA CORP COM STK NEW S Y N

Date processed on 03/02/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AKER) AKERS BIOSCIENCES INC COMMON S Y N
(AKTS) AKOUSTIS TECHNOLOGIES INC S Y N
(ANY) SPHERE 3D CORP NEW COM SHS (CD S Y N
(ATOS) ATOSSA GENETICS INC COM NEW S Y N
(AYTU) AYTU BIOSCIENCE INC COM PAR $ S Y N
(BSPM) BIOSTAR PHARMACEUTICALS INC CO S Y N
(CEY) VICOTRYSHARES EMERGING MKT HI G Y N
(DSLV) VELOCITYSHS 3X INVERSE SILVER G Y N
(ESGD) ISHARES TR MSCI EAFE ESG OPTIM G Y N
(FCVT) FIRST TR EXCHANGE TRADED FD IV G Y N
(FEMB) FIRST TR ETF EMERGING MARKETS G Y N
(FLN) FIRST TRUST LATIN AMERICA ALPH G Y N
(FNY) FIRST TRUST MID CAP GROWTH ALP G Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(HYND) WISDOMTREE TRST NEG DURATION H G Y N
(LMFA) LM FDG AMER INC COM STK (DE) S Y N
(MTSL) MER TELEMANAGEMENT SOLUTIONS L S Y N
(NNDM) NANO DIMENSION LTD SPONSORED A S Y N
(RIOT) RIOT BLOCKCHAIN INC COM S Y N
(ROKU) ROKU INC COM CL A Q Y N

Date processed on 03/02/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(SQQQ) PROSHARES TR ULTRAPRO SHORT QQ G Y N
(SUSC) ISHARES TR ESG USD CORPORATE B G Y N
(ZSAN) ZOSANO PHARMA CORP COM STK NEW S Y N

Tickers: (SQQQ), (SUSC), (ZSAN)

Date processed on 03/05/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AKER) AKERS BIOSCIENCES INC COMMON S Y N
(AKTS) AKOUSTIS TECHNOLOGIES INC S Y N
(ANY) SPHERE 3D CORP NEW COM SHS (CD S Y N
(ATOS) ATOSSA GENETICS INC COM NEW S Y N
(AYTU) AYTU BIOSCIENCE INC COM PAR $ S Y N
(BSPM) BIOSTAR PHARMACEUTICALS INC CO S Y N
(CEY) VICOTRYSHARES EMERGING MKT HI G Y N
(ESGD) ISHARES TR MSCI EAFE ESG OPTIM G Y N
(FCVT) FIRST TR EXCHANGE TRADED FD IV G Y N
(FLN) FIRST TRUST LATIN AMERICA ALPH G Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(HYND) WISDOMTREE TRST NEG DURATION H G Y N
(LMFA) LM FDG AMER INC COM STK (DE) S Y N
(MTSL) MER TELEMANAGEMENT SOLUTIONS L S Y N
(MYSZ) MY SIZE INC COM S Y N
(NNDM) NANO DIMENSION LTD SPONSORED A S Y N
(RIOT) RIOT BLOCKCHAIN INC COM S Y N
(ROKU) ROKU INC COM CL A Q Y N
(SQQQ) PROSHARES TR ULTRAPRO SHORT QQ G Y N
(SUSC) ISHARES TR ESG USD CORPORATE B G Y N

Date processed on 03/05/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ZSAN) ZOSANO PHARMA CORP COM STK NEW S Y N

Tickers: (ZSAN)

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