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Nasdaq Regulation SHO Short Sale Threshold List June 2018

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Nasdaq Regulation SHO Short Sale Threshold List June 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 06/01/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AMDA) AMEDICA CORP COM PAR $0.01 S Y N
(AMRH) AMERI HLDGS INC COM S Y N
(ATOS) ATOSSA GENETICS INC COM NEW (D S Y N
(AVGR) AVINGER INC COM NEW (DE) S Y N
(BLNK) BLINK CHARGING CO COM S Y N
(BLNKW) BLINK CHARGING CO WT EXP 02/12 S Y N
(CACG) LEGG MASON ETF INVT TR CLEARBR G Y N
(CARV) CARVER BANCORP INC COM STK NEW S Y N
(CREG) CHINA RECYCLING ENERGY CORPORA S Y N
(FCVT) FIRST TR EXCHANGE TRADED FD IV G Y N
(HTBX) HEAT BIOLOGICS INC COM NEW (DE S Y N
(SNES) SENESTECH INC COM S Y N
(SUNW) SUNWORKS INC COM STK (DE) S Y N
(SUSB) ISHARES TR ESG 1-5 YR USD CORP G Y N
(TUR) ISHARES MSCI TURKEY ETF G Y N
(VIIX) CREDIT SUISSE AG NASSAU BRH VE G Y N

Date processed on 06/04/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AMDA) AMEDICA CORP COM PAR $0.01 S Y N
(AMRH) AMERI HLDGS INC COM S Y N
(ATOS) ATOSSA GENETICS INC COM NEW (D S Y N
(AVGR) AVINGER INC COM NEW (DE) S Y N
(BLNK) BLINK CHARGING CO COM S Y N
(BLNKW) BLINK CHARGING CO WT EXP 02/12 S Y N
(CACG) LEGG MASON ETF INVT TR CLEARBR G Y N
(CARV) CARVER BANCORP INC COM STK NEW S Y N
(CREG) CHINA RECYCLING ENERGY CORPORA S Y N
(FCVT) FIRST TR EXCHANGE TRADED FD IV G Y N
(HTBX) HEAT BIOLOGICS INC COM NEW (DE S Y N
(SBOT) STELLAR BIOTECHNOLOGIES INC CO S Y N
(SNES) SENESTECH INC COM S Y N
(SUSB) ISHARES TR ESG 1-5 YR USD CORP G Y N
(TUR) ISHARES MSCI TURKEY ETF G Y N

Date processed on 06/05/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AMRH) AMERI HLDGS INC COM S Y N
(ATOS) ATOSSA GENETICS INC COM NEW (D S Y N
(AVGR) AVINGER INC COM NEW (DE) S Y N
(BLNK) BLINK CHARGING CO COM S Y N
(BLNKW) BLINK CHARGING CO WT EXP 02/12 S Y N
(CACG) LEGG MASON ETF INVT TR CLEARBR G Y N
(CARV) CARVER BANCORP INC COM STK NEW S Y N
(CREG) CHINA RECYCLING ENERGY CORPORA S Y N
(FCSC) FIBROCELL SCIENCE INC COM STK S Y N
(FCVT) FIRST TR EXCHANGE TRADED FD IV G Y N
(HTBX) HEAT BIOLOGICS INC COM NEW (DE S Y N
(SBOT) STELLAR BIOTECHNOLOGIES INC CO S Y N
(SNES) SENESTECH INC COM S Y N
(SUSB) ISHARES TR ESG 1-5 YR USD CORP G Y N
(TUR) ISHARES MSCI TURKEY ETF G Y N

Date processed on 06/06/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AMRH) AMERI HLDGS INC COM S Y N
(ATOS) ATOSSA GENETICS INC COM NEW (D S Y N
(AVGR) AVINGER INC COM NEW (DE) S Y N
(BLNK) BLINK CHARGING CO COM S Y N
(BLNKW) BLINK CHARGING CO WT EXP 02/12 S Y N
(CACG) LEGG MASON ETF INVT TR CLEARBR G Y N
(CARV) CARVER BANCORP INC COM STK NEW S Y N
(CODX) CO-DIAGNOSTICS INC COM S Y N
(FCSC) FIBROCELL SCIENCE INC COM STK S Y N
(FCVT) FIRST TR EXCHANGE TRADED FD IV G Y N
(HTBX) HEAT BIOLOGICS INC COM NEW (DE S Y N
(SBOT) STELLAR BIOTECHNOLOGIES INC CO S Y N
(SNES) SENESTECH INC COM S Y N
(SUSB) ISHARES TR ESG 1-5 YR USD CORP G Y N
(TUR) ISHARES MSCI TURKEY ETF G Y N

Date processed on 06/07/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AMRH) AMERI HLDGS INC COM S Y N
(ATOS) ATOSSA GENETICS INC COM NEW (D S Y N
(AVGR) AVINGER INC COM NEW (DE) S Y N
(BLNK) BLINK CHARGING CO COM S Y N
(BLNKW) BLINK CHARGING CO WT EXP 02/12 S Y N
(CACG) LEGG MASON ETF INVT TR CLEARBR G Y N
(CODX) CO-DIAGNOSTICS INC COM S Y N
(ESGG) FLEXSHARES TR STOXX GLOBAL ESG G Y N
(FCSC) FIBROCELL SCIENCE INC COM STK S Y N
(FCVT) FIRST TR EXCHANGE TRADED FD IV G Y N
(HTBX) HEAT BIOLOGICS INC COM NEW (DE S Y N
(SBOT) STELLAR BIOTECHNOLOGIES INC CO S Y N
(SNES) SENESTECH INC COM S Y N
(STNL) SENTINEL ENERGY SVCS INC CL S Y N
(SUSB) ISHARES TR ESG 1-5 YR USD CORP G Y N
(TUR) ISHARES MSCI TURKEY ETF G Y N

Date processed on 06/08/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AMRH) AMERI HLDGS INC COM S Y N
(ATOS) ATOSSA GENETICS INC COM NEW (D S Y N
(AVGR) AVINGER INC COM NEW (DE) S Y N
(BLNK) BLINK CHARGING CO COM S Y N
(BLNKW) BLINK CHARGING CO WT EXP 02/12 S Y N
(CACG) LEGG MASON ETF INVT TR CLEARBR G Y N
(CODX) CO-DIAGNOSTICS INC COM S Y N
(ESGG) FLEXSHARES TR STOXX GLOBAL ESG G Y N
(FCSC) FIBROCELL SCIENCE INC COM STK S Y N
(FCVT) FIRST TR EXCHANGE TRADED FD IV G Y N
(HJLI) HANCOCK JAFFE LABORATORIES INC S Y N
(HJLIW) HANCOCK JAFFE LABORATORIES INC S Y N
(HTBX) HEAT BIOLOGICS INC COM NEW (DE S Y N
(NVIV) INVIVO THERAPEUTICS HOLDINGS C G Y N
(SBOT) STELLAR BIOTECHNOLOGIES INC CO S Y N
(SNES) SENESTECH INC COM S Y N
(STNL) SENTINEL ENERGY SVCS INC CL S Y N
(TMCXW) TRINITY MERGER CORP WT EXP S Y N
(TPIV) TAPIMMUNE INC COM PAR $0.001 N S Y N
(TUR) ISHARES MSCI TURKEY ETF G Y N

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