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Nasdaq Regulation SHO Short Sale Threshold List August 2018

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Nasdaq Regulation SHO Short Sale Threshold List August 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 08/01/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(BIOC) BIOCEPT INC COM PAR $0.0001 S Y N
(BLNKW) BLINK CHARGING CO WT EXP 02/12 S Y N
(CLRB) CELLECTAR BIOSCIENCES INC NEW S Y N
(DWPP) FIRST TRUST ETF DORSEY WRIGHT G Y N
(EWZS) ISHARES MSCI BRAZIL SMALL CAP G Y N
(FAD) FIRST TR MULTI CAP GROWTH ALPH G Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(IEAWW) INFRASTRUCTURE & ENERGY ALTERN S Y N
(INNT) INNOVATE BIOPHARMACEUTICALS IN S Y N
(LACQW) LEISURE ACQUISITION CORP WT S Y N
(LFVN) LIFEVANTAGE CORPORATION COMMON S Y N
(MBSD) FLEXSHARES TR DISCIPLINED DURA G Y N
(MDGS) MEDIGUS LTD SPONSORED ADR 2018 S Y N
(MTSL) MER TELEMANAGEMENT SOLUTIONS L S Y N
(NFEC) NF ENERGY SAVING CORPORATION. S Y N
(RGSE) REAL GOODS SOLAR INC CL A NEW S Y N
(SORL) SORL AUTO PARTS INC G Y N
(TMDI) TITAN MED INC (CANADA) S Y N
(TVIZ) CREDIT SUISSE AG NASSAU BRH V G Y N
(TWLVR) TWELVE SEAS INVT CO RTS TO PUR S Y N

Date processed on 08/02/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(BIOC) BIOCEPT INC COM PAR $0.0001 S Y N
(BLNKW) BLINK CHARGING CO WT EXP 02/12 S Y N
(CLRB) CELLECTAR BIOSCIENCES INC NEW S Y N
(DWPP) FIRST TRUST ETF DORSEY WRIGHT G Y N
(EWZS) ISHARES MSCI BRAZIL SMALL CAP G Y N
(FAD) FIRST TR MULTI CAP GROWTH ALPH G Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(HYAC) HAYMAKER ACQUISITION CORP CLA S Y N
(IEAWW) INFRASTRUCTURE & ENERGY ALTERN S Y N
(INNT) INNOVATE BIOPHARMACEUTICALS IN S Y N
(LACQW) LEISURE ACQUISITION CORP WT S Y N
(LFVN) LIFEVANTAGE CORPORATION COMMON S Y N
(MBSD) FLEXSHARES TR DISCIPLINED DURA G Y N
(MDGS) MEDIGUS LTD SPONSORED ADR 2018 S Y N
(MTSL) MER TELEMANAGEMENT SOLUTIONS L S Y N
(NFEC) NF ENERGY SAVING CORPORATION. S Y N
(SORL) SORL AUTO PARTS INC G Y N
(TMDI) TITAN MED INC (CANADA) S Y N
(TVIZ) CREDIT SUISSE AG NASSAU BRH V G Y N
(TWLVR) TWELVE SEAS INVT CO RTS TO PUR S Y N

Date processed on 08/03/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(BIOC) BIOCEPT INC COM PAR $0.0001 S Y N
(BLNKW) BLINK CHARGING CO WT EXP 02/12 S Y N
(BSPM) BIOSTAR PHARMACEUTICALS INC CO S Y N
(CLRB) CELLECTAR BIOSCIENCES INC NEW S Y N
(DWPP) FIRST TRUST ETF DORSEY WRIGHT G Y N
(EWZS) ISHARES MSCI BRAZIL SMALL CAP G Y N
(FAD) FIRST TR MULTI CAP GROWTH ALPH G Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(HYAC) HAYMAKER ACQUISITION CORP CLA S Y N
(IEAWW) INFRASTRUCTURE & ENERGY ALTERN S Y N
(INNT) INNOVATE BIOPHARMACEUTICALS IN S Y N
(LFVN) LIFEVANTAGE CORPORATION COMMON S Y N
(MBSD) FLEXSHARES TR DISCIPLINED DURA G Y N
(MDGS) MEDIGUS LTD SPONSORED ADR 2018 S Y N
(MTSL) MER TELEMANAGEMENT SOLUTIONS L S Y N
(NFEC) NF ENERGY SAVING CORPORATION. S Y N
(PDD) PINDUODUO INC SPONSORED ADS (C Q Y N
(SORL) SORL AUTO PARTS INC G Y N
(SSNT) SILVERSUN TECHNOLOGIES INC COM S Y N
(TMDI) TITAN MED INC (CANADA) S Y N

Date processed on 08/03/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(TVIZ) CREDIT SUISSE AG NASSAU BRH V G Y N
(TWLVR) TWELVE SEAS INVT CO RTS TO PUR S Y N

Tickers: (TVIZ), (TWLVR)

Date processed on 08/06/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(BIOC) BIOCEPT INC COM PAR $0.0001 S Y N
(BLNKW) BLINK CHARGING CO WT EXP 02/12 S Y N
(BSPM) BIOSTAR PHARMACEUTICALS INC CO S Y N
(CLRB) CELLECTAR BIOSCIENCES INC NEW S Y N
(DWPP) FIRST TRUST ETF DORSEY WRIGHT G Y N
(EWZS) ISHARES MSCI BRAZIL SMALL CAP G Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(HYAC) HAYMAKER ACQUISITION CORP CLA S Y N
(IEAWW) INFRASTRUCTURE & ENERGY ALTERN S Y N
(INNT) INNOVATE BIOPHARMACEUTICALS IN S Y N
(LFVN) LIFEVANTAGE CORPORATION COMMON S Y N
(MBSD) FLEXSHARES TR DISCIPLINED DURA G Y N
(MDGS) MEDIGUS LTD SPONSORED ADR 2018 S Y N
(MTSL) MER TELEMANAGEMENT SOLUTIONS L S Y N
(NFEC) NF ENERGY SAVING CORPORATION. S Y N
(PDD) PINDUODUO INC SPONSORED ADS (C Q Y N
(SSNT) SILVERSUN TECHNOLOGIES INC COM S Y N
(TMDI) TITAN MED INC (CANADA) S Y N
(TVIZ) CREDIT SUISSE AG NASSAU BRH V G Y N
(TWLVR) TWELVE SEAS INVT CO RTS TO PUR S Y N

Date processed on 08/07/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(BIOC) BIOCEPT INC COM PAR $0.0001 S Y N
(BSPM) BIOSTAR PHARMACEUTICALS INC CO S Y N
(CLRB) CELLECTAR BIOSCIENCES INC NEW S Y N
(DWPP) FIRST TRUST ETF DORSEY WRIGHT G Y N
(EWZS) ISHARES MSCI BRAZIL SMALL CAP G Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(HYAC) HAYMAKER ACQUISITION CORP CLA S Y N
(IEAWW) INFRASTRUCTURE & ENERGY ALTERN S Y N
(INNT) INNOVATE BIOPHARMACEUTICALS IN S Y N
(LFVN) LIFEVANTAGE CORPORATION COMMON S Y N
(MBSD) FLEXSHARES TR DISCIPLINED DURA G Y N
(MDGS) MEDIGUS LTD SPONSORED ADR 2018 S Y N
(MTSL) MER TELEMANAGEMENT SOLUTIONS L S Y N
(NFEC) NF ENERGY SAVING CORPORATION. S Y N
(PDD) PINDUODUO INC SPONSORED ADS (C Q Y N
(SSLJ) SSLJ.COM LTDUSD CL A ORD SHS S Y N
(SSNT) SILVERSUN TECHNOLOGIES INC COM S Y N
(TMDI) TITAN MED INC (CANADA) S Y N
(TVIZ) CREDIT SUISSE AG NASSAU BRH V G Y N
(TWLVR) TWELVE SEAS INVT CO RTS TO PUR S Y N

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