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Nasdaq Regulation SHO Short Sale Threshold List September 2018

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Nasdaq Regulation SHO Short Sale Threshold List September 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 09/04/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ABIL) ABILITY INC SHS NEW (CYM) S Y N
(AIQ) GLOBAL X FDS FUTURE ANALYTICS G Y N
(ALGRR) ALLEGRO MERGER CORP RT EXP 12/ S Y N
(BILI) BILIBILI INC ADS REPSTG SHS CL Q Y N
(BPY) BROOKFIELD PPTY PARTNERS L P U Q Y N
(BRPAR) BIG ROCK PARTNERS ACQUISITION S Y N
(BSPM) BIOSTAR PHARMACEUTICALS INC CO S Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(IZEA) IZEA INC S Y N
(MARA) MARATHON PATENT GROUP INC COM S Y N
(RSLS) RESHAPE LIFESCIENCES INC COM N S Y N
(SSC) SEVEN STARS CLOUD GROUP INC CO S Y N
(TZACU) TENZING ACQUISITION CORP UNITS S Y N
(VSMV) VICTORYSHARES US MULTIFACTOR M G Y N
(YVR) LIQUID MEDIA GROUP LTD NEW COM S Y N

Date processed on 09/05/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ABIL) ABILITY INC SHS NEW (CYM) S Y N
(AIQ) GLOBAL X FDS FUTURE ANALYTICS G Y N
(BILI) BILIBILI INC ADS REPSTG SHS CL Q Y N
(BPY) BROOKFIELD PPTY PARTNERS L P U Q Y N
(BRPAR) BIG ROCK PARTNERS ACQUISITION S Y N
(BSPM) BIOSTAR PHARMACEUTICALS INC CO S Y N
(FBZ) FIRST TRUST BRAZIL ALPHADEX FU G Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(MARA) MARATHON PATENT GROUP INC COM S Y N
(RGSE) REAL GOODS SOLAR INC CL A NEW S Y N
(TOTAR) TOTTENHAM ACQUISITION I LTD RT S Y N
(TOTAW) TOTTENHAM ACQUISITION I LTD WT S Y N
(TZACU) TENZING ACQUISITION CORP UNITS S Y N
(VSMV) VICTORYSHARES US MULTIFACTOR M G Y N
(YVR) LIQUID MEDIA GROUP LTD NEW COM S Y N

Date processed on 09/06/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ABIL) ABILITY INC SHS NEW (CYM) S Y N
(AIQ) GLOBAL X FDS FUTURE ANALYTICS G Y N
(BILI) BILIBILI INC ADS REPSTG SHS CL Q Y N
(BPY) BROOKFIELD PPTY PARTNERS L P U Q Y N
(BRPAR) BIG ROCK PARTNERS ACQUISITION S Y N
(BSPM) BIOSTAR PHARMACEUTICALS INC CO S Y N
(FBZ) FIRST TRUST BRAZIL ALPHADEX FU G Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(MARA) MARATHON PATENT GROUP INC COM S Y N
(RGSE) REAL GOODS SOLAR INC CL A NEW S Y N
(TOTAR) TOTTENHAM ACQUISITION I LTD RT S Y N
(TOTAW) TOTTENHAM ACQUISITION I LTD WT S Y N
(VSMV) VICTORYSHARES US MULTIFACTOR M G Y N
(YVR) LIQUID MEDIA GROUP LTD NEW COM S Y N

Date processed on 09/07/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ABIL) ABILITY INC SHS NEW (CYM) S Y N
(AIQ) GLOBAL X FDS FUTURE ANALYTICS G Y N
(BILI) BILIBILI INC ADS REPSTG SHS CL Q Y N
(BPY) BROOKFIELD PPTY PARTNERS L P U Q Y N
(BRPAR) BIG ROCK PARTNERS ACQUISITION S Y N
(BSPM) BIOSTAR PHARMACEUTICALS INC CO S Y N
(FBZ) FIRST TRUST BRAZIL ALPHADEX FU G Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(MARA) MARATHON PATENT GROUP INC COM S Y N
(MTSL) MER TELEMANAGEMENT SOLUTIONS L S Y N
(RGSE) REAL GOODS SOLAR INC CL A NEW S Y N
(TLRY) TILRAY INC COM CL 2 (DE) Q Y N
(TOTAR) TOTTENHAM ACQUISITION I LTD RT S Y N
(TOTAW) TOTTENHAM ACQUISITION I LTD WT S Y N
(VSMV) VICTORYSHARES US MULTIFACTOR M G Y N
(YVR) LIQUID MEDIA GROUP LTD NEW COM S Y N

Date processed on 09/10/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ABIL) ABILITY INC SHS NEW (CYM) S Y N
(AIQ) GLOBAL X FDS FUTURE ANALYTICS G Y N
(BILI) BILIBILI INC ADS REPSTG SHS CL Q Y N
(BRPAR) BIG ROCK PARTNERS ACQUISITION S Y N
(BSPM) BIOSTAR PHARMACEUTICALS INC CO S Y N
(FBZ) FIRST TRUST BRAZIL ALPHADEX FU G Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(MARA) MARATHON PATENT GROUP INC COM S Y N
(MTSL) MER TELEMANAGEMENT SOLUTIONS L S Y N
(RGSE) REAL GOODS SOLAR INC CL A NEW S Y N
(TLRY) TILRAY INC COM CL 2 (DE) Q Y N
(TOTAR) TOTTENHAM ACQUISITION I LTD RT S Y N
(TOTAW) TOTTENHAM ACQUISITION I LTD WT S Y N
(TRPX) THERAPIX BIOSCIENCES LTD SPONS S Y N
(VSMV) VICTORYSHARES US MULTIFACTOR M G Y N
(YVR) LIQUID MEDIA GROUP LTD NEW COM S Y N

Date processed on 09/11/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ABIL) ABILITY INC SHS NEW (CYM) S Y N
(BILI) BILIBILI INC ADS REPSTG SHS CL Q Y N
(BRPAR) BIG ROCK PARTNERS ACQUISITION S Y N
(BSPM) BIOSTAR PHARMACEUTICALS INC CO S Y N
(FBZ) FIRST TRUST BRAZIL ALPHADEX FU G Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(MARA) MARATHON PATENT GROUP INC COM S Y N
(MTSL) MER TELEMANAGEMENT SOLUTIONS L S Y N
(RGSE) REAL GOODS SOLAR INC CL A NEW S Y N
(SUSC) ISHARES TR ESG USD CORPORATE B G Y N
(TLRY) TILRAY INC COM CL 2 (DE) Q Y N
(TOTAR) TOTTENHAM ACQUISITION I LTD RT S Y N
(TOTAW) TOTTENHAM ACQUISITION I LTD WT S Y N
(TRPX) THERAPIX BIOSCIENCES LTD SPONS S Y N
(VSMV) VICTORYSHARES US MULTIFACTOR M G Y N
(YVR) LIQUID MEDIA GROUP LTD NEW COM S Y N

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