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Nasdaq Regulation SHO Short Sale Threshold List October 2018

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Nasdaq Regulation SHO Short Sale Threshold List October 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 10/01/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ABIL) ABILITY INC SHS NEW (CYM) S Y N
(AGZD) WISDOM TREE INTEREST RATE HEDG G Y N
(ALT) ALTIMMUNE INC COM NEW G Y N
(AWSM) COOL HLDGS INC COM STK (MD) S Y N
(BNDW) VANGUARD SCOTTSDALE FDS VANGUA G Y N
(BSVN) BANK7 CORP COM Q Y N
(FBZ) FIRST TRUST BRAZIL ALPHADEX FU G Y N
(GERN) GERON CORP Q Y N
(INNT) INNOVATE BIOPHARMACEUTICALS IN S Y N
(KBSF) KBS FASHION GROUP LTD COM NEW S Y N
(MYSZ) MY SIZE INC COM S Y N
(NBEV) NEW AGE BEVERAGES CO S Y N
(NCTY) THE9 LTD ADR NEW (CYM) Q Y N
(OASM) OASMIA PHARMACEUTICAL AB ADR ( S Y N
(SAEX) SAEXPLORATION HLDGS INC COM PA S Y N
(SQLV) LEGG MASON ETF INVT TR SMALL C G Y N
(SUSB) ISHARES TR ESG 1-5 YR USD CORP G Y N
(TDACU) TRIDENT ACQUISITIONS CORP UNI S Y N
(TOTAW) TOTTENHAM ACQUISITION I LTD WT S Y N
(TTNP) TITAN PHARMACEUTICALS INC DEL S Y N

Date processed on 10/01/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(TUR) ISHARES MSCI TURKEY ETF G Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N
(YLCO) GLOBAL X FDS YIELDCO INDEX ETF G Y N

Tickers: (TUR), (TVIX), (YLCO)

Date processed on 10/02/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AGZD) WISDOM TREE INTEREST RATE HEDG G Y N
(ALT) ALTIMMUNE INC COM NEW G Y N
(AWSM) COOL HLDGS INC COM STK (MD) S Y N
(BNDW) VANGUARD SCOTTSDALE FDS VANGUA G Y N
(BSVN) BANK7 CORP COM Q Y N
(FBZ) FIRST TRUST BRAZIL ALPHADEX FU G Y N
(GERN) GERON CORP Q Y N
(INNT) INNOVATE BIOPHARMACEUTICALS IN S Y N
(NBEV) NEW AGE BEVERAGES CO S Y N
(NCTY) THE9 LTD ADR NEW (CYM) Q Y N
(OASM) OASMIA PHARMACEUTICAL AB ADR ( S Y N
(QTT) QUTOUTIAO INC ADS REPSTG CL A Q Y N
(SAEX) SAEXPLORATION HLDGS INC COM PA S Y N
(SQLV) LEGG MASON ETF INVT TR SMALL C G Y N
(SUSB) ISHARES TR ESG 1-5 YR USD CORP G Y N
(TDACU) TRIDENT ACQUISITIONS CORP UNI S Y N
(TOTAW) TOTTENHAM ACQUISITION I LTD WT S Y N
(TTNP) TITAN PHARMACEUTICALS INC DEL S Y N
(TUR) ISHARES MSCI TURKEY ETF G Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N

Date processed on 10/02/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(YLCO) GLOBAL X FDS YIELDCO INDEX ETF G Y N

Tickers: (YLCO)

Date processed on 10/03/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AGZD) WISDOM TREE INTEREST RATE HEDG G Y N
(ALT) ALTIMMUNE INC COM NEW G Y N
(AWSM) COOL HLDGS INC COM STK (MD) S Y N
(BNDW) VANGUARD SCOTTSDALE FDS VANGUA G Y N
(BSVN) BANK7 CORP COM Q Y N
(FBZ) FIRST TRUST BRAZIL ALPHADEX FU G Y N
(GERN) GERON CORP Q Y N
(INNT) INNOVATE BIOPHARMACEUTICALS IN S Y N
(JAGX) JAGUAR HEALTH INC COM NEW S Y N
(MOSY) MOSYS INC COM STK NEW (DE) S Y N
(NBEV) NEW AGE BEVERAGES CO S Y N
(OASM) OASMIA PHARMACEUTICAL AB ADR ( S Y N
(QTT) QUTOUTIAO INC ADS REPSTG CL A Q Y N
(SAEX) SAEXPLORATION HLDGS INC COM PA S Y N
(SQLV) LEGG MASON ETF INVT TR SMALL C G Y N
(SUSB) ISHARES TR ESG 1-5 YR USD CORP G Y N
(TDACU) TRIDENT ACQUISITIONS CORP UNI S Y N
(TTNP) TITAN PHARMACEUTICALS INC DEL S Y N
(TUR) ISHARES MSCI TURKEY ETF G Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N

Date processed on 10/03/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(YLCO) GLOBAL X FDS YIELDCO INDEX ETF G Y N

Tickers: (YLCO)

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