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Nasdaq Regulation SHO Short Sale Threshold List November 2018

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Nasdaq Regulation SHO Short Sale Threshold List November 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 11/01/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AKER) AKERS BIOSCIENCES INC COMMON S Y N
(AMRH) AMERI HLDGS INC COM S Y N
(ANY) SPHERE 3D CORP NEW COM SHS (CD S Y N
(AVGR) AVINGER INC COM NEW (DE) S Y N
(BLIN) BRIDGELINE DIGITAL INC COM NE S Y N
(EARS) AURIS MED HLDG AG NEW COM (CHE S Y N
(EDTX) EDTECHX HLDGS ACQUISITION CORP S Y N
(GLBS) GLOBUS MARITIME LIMITED COM (M S Y N
(HEAR) TURTLE BEACH CORP COM NEW (NV) G Y N
(IPCI) INTELLIPHARMACEUTICS INTL INC S Y N
(JTPY) JETPAY CORPORATION COM STK S Y N
(MOSY) MOSYS INC COM STK NEW (DE) S Y N
(MTSL) MER TELEMANAGEMENT SOLUTIONS L S Y N
(NETE) NET ELEMENT INC COM PAR $0.000 S Y N
(NIU) NIU TECHNOLOGIES ADR (CYM) G Y N
(NVCN) NEOVASC INC COMMON SHARES NEW S Y N
(NXTD) NXT-ID INC COM NEW S Y N
(OASM) OASMIA PHARMACEUTICAL AB ADR ( S Y N
(OFSSZ) OFS CAPITAL CORPORATION 6.50% Q Y N
(PTX) PERNIX THERAPEUTICS HOLDINGS I G Y N

Date processed on 11/01/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(RGSE) REAL GOODS SOLAR INC CL A NEW S Y N
(STNLW) SENTINEL ENERGY SVCS INC WT EX S Y N
(TRPX) THERAPIX BIOSCIENCES LTD SPONS S Y N

Tickers: (RGSE), (STNLW), (TRPX)

Date processed on 11/02/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AKER) AKERS BIOSCIENCES INC COMMON S Y N
(AMRH) AMERI HLDGS INC COM S Y N
(ANY) SPHERE 3D CORP NEW COM SHS (CD S Y N
(AVGR) AVINGER INC COM NEW (DE) S Y N
(BLIN) BRIDGELINE DIGITAL INC COM NE S Y N
(EARS) AURIS MED HLDG AG NEW COM (CHE S Y N
(EDTX) EDTECHX HLDGS ACQUISITION CORP S Y N
(GLBS) GLOBUS MARITIME LIMITED COM (M S Y N
(HEAR) TURTLE BEACH CORP COM NEW (NV) G Y N
(IPCI) INTELLIPHARMACEUTICS INTL INC S Y N
(JTPY) JETPAY CORPORATION COM STK S Y N
(MOSY) MOSYS INC COM STK NEW (DE) S Y N
(MTSL) MER TELEMANAGEMENT SOLUTIONS L S Y N
(NETE) NET ELEMENT INC COM PAR $0.000 S Y N
(NIU) NIU TECHNOLOGIES ADR (CYM) G Y N
(NVCN) NEOVASC INC COMMON SHARES NEW S Y N
(NXTD) NXT-ID INC COM NEW S Y N
(OASM) OASMIA PHARMACEUTICAL AB ADR ( S Y N
(OFSSZ) OFS CAPITAL CORPORATION 6.50% Q Y N
(PTX) PERNIX THERAPEUTICS HOLDINGS I G Y N

Date processed on 11/02/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(RGSE) REAL GOODS SOLAR INC CL A NEW S Y N
(STNLW) SENTINEL ENERGY SVCS INC WT EX S Y N
(TRPX) THERAPIX BIOSCIENCES LTD SPONS S Y N

Tickers: (RGSE), (STNLW), (TRPX)

Date processed on 11/05/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AKER) AKERS BIOSCIENCES INC COMMON S Y N
(AMRH) AMERI HLDGS INC COM S Y N
(ANY) SPHERE 3D CORP NEW COM SHS (CD S Y N
(AVGR) AVINGER INC COM NEW (DE) S Y N
(BLIN) BRIDGELINE DIGITAL INC COM NE S Y N
(EARS) AURIS MED HLDG AG NEW COM (CHE S Y N
(EDTX) EDTECHX HLDGS ACQUISITION CORP S Y N
(GLBS) GLOBUS MARITIME LIMITED COM (M S Y N
(IPCI) INTELLIPHARMACEUTICS INTL INC S Y N
(JTPY) JETPAY CORPORATION COM STK S Y N
(MOSY) MOSYS INC COM STK NEW (DE) S Y N
(MTSL) MER TELEMANAGEMENT SOLUTIONS L S Y N
(NETE) NET ELEMENT INC COM PAR $0.000 S Y N
(NIU) NIU TECHNOLOGIES ADR (CYM) G Y N
(NVCN) NEOVASC INC COMMON SHARES NEW S Y N
(NXTD) NXT-ID INC COM NEW S Y N
(OFSSZ) OFS CAPITAL CORPORATION 6.50% Q Y N
(PTX) PERNIX THERAPEUTICS HOLDINGS I G Y N
(RGSE) REAL GOODS SOLAR INC CL A NEW S Y N
(STNLW) SENTINEL ENERGY SVCS INC WT EX S Y N

Date processed on 11/05/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(TRPX) THERAPIX BIOSCIENCES LTD SPONS S Y N

Tickers: (TRPX)

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