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Nasdaq Regulation SHO Short Sale Threshold List April 2018

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Nasdaq Regulation SHO Short Sale Threshold List April 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 04/02/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AAOI) APPLIED OPTOELECTRONICS INC CO G Y N
(AKER) AKERS BIOSCIENCES INC COMMON S Y N
(AYTU) AYTU BIOSCIENCE INC COM PAR $ S Y N
(CIZ) VICTORY PORTFOLIOS II SHS DEV G Y N
(DINT) DAVIS FUNDAMENTAL ETF TR SELE G Y N
(ESGD) ISHARES TR MSCI EAFE ESG OPTIM G Y N
(FCVT) FIRST TR EXCHANGE TRADED FD IV G Y N
(FMHI) FIRST TR ETF III MUNICIPAL HIG G Y N
(FTXR) FIRST TR ETF VI NASDAQ TRANSN G Y N
(IFMK) IFRESH INC COM STK (DE) S Y N
(INNT) INNOVATE BIOPHARMACEUTICALS IN S Y N
(JTPY) JETPAY CORPORATION COM STK S Y N
(LBCC) LONG BLOCKCHAIN CORP COM (DE) S Y N
(LINU) LINIU TECHNOLOGY GROUP SHS NEW S Y N
(RIOT) RIOT BLOCKCHAIN INC COM S Y N
(ROKU) ROKU INC COM CL A Q Y N
(ZSAN) ZOSANO PHARMA CORP COM STK NEW S Y N

Date processed on 04/03/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AAOI) APPLIED OPTOELECTRONICS INC CO G Y N
(AKER) AKERS BIOSCIENCES INC COMMON S Y N
(AYTU) AYTU BIOSCIENCE INC COM PAR $ S Y N
(CIZ) VICTORY PORTFOLIOS II SHS DEV G Y N
(DINT) DAVIS FUNDAMENTAL ETF TR SELE G Y N
(ESGD) ISHARES TR MSCI EAFE ESG OPTIM G Y N
(FCVT) FIRST TR EXCHANGE TRADED FD IV G Y N
(FMHI) FIRST TR ETF III MUNICIPAL HIG G Y N
(FTXR) FIRST TR ETF VI NASDAQ TRANSN G Y N
(IFMK) IFRESH INC COM STK (DE) S Y N
(JTPY) JETPAY CORPORATION COM STK S Y N
(LBCC) LONG BLOCKCHAIN CORP COM (DE) S Y N
(LINU) LINIU TECHNOLOGY GROUP SHS NEW S Y N
(RIOT) RIOT BLOCKCHAIN INC COM S Y N
(ROKU) ROKU INC COM CL A Q Y N
(SLVO) CREDIT SUISSE X-LINKS SILVER S G Y N
(ZSAN) ZOSANO PHARMA CORP COM STK NEW S Y N

Date processed on 04/04/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AAOI) APPLIED OPTOELECTRONICS INC CO G Y N
(AKER) AKERS BIOSCIENCES INC COMMON S Y N
(AYTU) AYTU BIOSCIENCE INC COM PAR $ S Y N
(CIZ) VICTORY PORTFOLIOS II SHS DEV G Y N
(DINT) DAVIS FUNDAMENTAL ETF TR SELE 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
(FMHI) FIRST TR ETF III MUNICIPAL HIG G Y N
(FTXR) FIRST TR ETF VI NASDAQ TRANSN G Y N
(IFMK) IFRESH INC COM STK (DE) S Y N
(JTPY) JETPAY CORPORATION COM STK S Y N
(LBCC) LONG BLOCKCHAIN CORP COM (DE) S Y N
(LINU) LINIU TECHNOLOGY GROUP SHS NEW S Y N
(ROKU) ROKU INC COM CL A Q Y N
(SLVO) CREDIT SUISSE X-LINKS SILVER S G Y N
(ZSAN) ZOSANO PHARMA CORP COM STK NEW S Y N

Date processed on 04/05/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AAOI) APPLIED OPTOELECTRONICS INC CO G Y N
(AKER) AKERS BIOSCIENCES INC COMMON S Y N
(AYTU) AYTU BIOSCIENCE INC COM PAR $ S Y N
(DINT) DAVIS FUNDAMENTAL ETF TR SELE 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
(FMHI) FIRST TR ETF III MUNICIPAL HIG G Y N
(IFMK) IFRESH INC COM STK (DE) S Y N
(JTPY) JETPAY CORPORATION COM STK S Y N
(LBCC) LONG BLOCKCHAIN CORP COM (DE) S Y N
(LINU) LINIU TECHNOLOGY GROUP SHS NEW S Y N
(OPESU) OPES ACQUISITION CORP UNIT 1 C S Y N
(ROKU) ROKU INC COM CL A Q Y N
(SLVO) CREDIT SUISSE X-LINKS SILVER S G Y N
(ZSAN) ZOSANO PHARMA CORP COM STK NEW S Y N

Date processed on 04/06/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AAOI) APPLIED OPTOELECTRONICS INC CO G Y N
(AKER) AKERS BIOSCIENCES INC COMMON S Y N
(AYTU) AYTU BIOSCIENCE INC COM PAR $ S Y N
(DINT) DAVIS FUNDAMENTAL ETF TR SELE 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
(FMHI) FIRST TR ETF III MUNICIPAL HIG G Y N
(IFMK) IFRESH INC COM STK (DE) S Y N
(JTPY) JETPAY CORPORATION COM STK S Y N
(LINU) LINIU TECHNOLOGY GROUP SHS NEW S Y N
(MBSD) FLEXSHARES TR DISCIPLINED DURA G Y N
(OPESU) OPES ACQUISITION CORP UNIT 1 C S Y N
(ROKU) ROKU INC COM CL A Q Y N
(SLVO) CREDIT SUISSE X-LINKS SILVER S G Y N
(ZSAN) ZOSANO PHARMA CORP COM STK NEW S Y N

Date processed on 04/09/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AAOI) APPLIED OPTOELECTRONICS INC CO G Y N
(AKER) AKERS BIOSCIENCES INC COMMON S Y N
(DINT) DAVIS FUNDAMENTAL ETF TR SELE 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
(FMHI) FIRST TR ETF III MUNICIPAL HIG G Y N
(IFMK) IFRESH INC COM STK (DE) S Y N
(JTPY) JETPAY CORPORATION COM STK S Y N
(LINU) LINIU TECHNOLOGY GROUP SHS NEW S Y N
(MBSD) FLEXSHARES TR DISCIPLINED DURA G Y N
(OPESU) OPES ACQUISITION CORP UNIT 1 C S Y N
(ROKU) ROKU INC COM CL A Q Y N
(SLVO) CREDIT SUISSE X-LINKS SILVER S G Y N
(ZSAN) ZOSANO PHARMA CORP COM STK NEW S Y N

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