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.
February 01, 2012
| Symbol | Security Name | Market Category | Reg SHO Threshold Flag | Rule 3210 |
|---|---|---|---|---|
| AAMRQ | AMR CORP | u | Y | N |
| ADOOY | ADARO ENERGY PT UNSPON ADR (ID | u | N | Y |
| ANYI | ANYTHINGIT INC COMMON STOCK | U | Y | N |
| AXPW | AXION POWER INTERNATIONAL INC | U | Y | N |
| BIB | PROSHARES TRUST - PROSHARES UL | G | Y | N |
| BIS | PROSHARES TRUST-PROSHARES ULTR | G | Y | N |
| BPAX | BIOSANTE PHARMACEUTICALS INC | G | Y | N |
| BVSN | BroadVision, Inc. New Common S | G | Y | N |
| CIBEY | COMMERCIAL INTERNATIONAL BK LT | u | N | Y |
| CICHY | China Construction Bank Corpor | u | N | Y |
| CIDM | CINEDIGM DIGITAL CINEMA CORP., | G | Y | N |
| CLWT | EURO TECH HOLDINGS CO LTD NEW | S | Y | N |
| DCAQP | DRA CRT ACQUISITION CORP PFD S | u | N | Y |
| ECOC | ECOLOGY COATINGS INC COM STK | u | Y | N |
| EGDFF | ENERGOLD DRILLING CORP (CDA) | u | N | Y |
| ENER | ENERGY CONVERSION DEVICES INC | Q | Y | N |
| GBRRF | GABRIEL RESOURCES LTD | u | N | Y |
| IBB | ISHARES NASDAQ BIOTECHNOLOGY I | G | Y | N |
| MNKD | MANNKIND CORP | G | Y | N |
| ONTCD | ONTECO CORPORATION. (NEW) COMM | u | Y | N |
| ORSCY | ORASCOM CONSTR INDS S A E SPON | u | N | Y |
| OSRS | Osiris Corporation Common Stoc | u | Y | N |
| PLZLY | POLYUS GOLD INTL LTD SPON GDR | u | N | Y |
| PPHYL | PHARMACTL HLDR TST DP REC12/40 | u | Y | N |
| RIOAF | RIO ALTO MNG LTD NEW COM SHS ( | u | N | Y |
| RTHYL | RETAIL HOLDRS TRUST (HOLDRS) 1 | u | Y | N |
| SCGLY | SOCIETE GENERALE FRANCE SP ADR | u | N | Y |
| SKHSY | SEKISUI HOUSE LTD SPONS ADR | u | N | Y |
| SQQQ | PROSHARES ULTRAPRO SHORT QQQ | G | Y | N |
| STEV | STEVIA CORP COM STK (NV) | U | Y | N |
| UAMY | U S ANTIMONY CORP | U | Y | N |
| VCLT | VANGUARD LG-TRM CORP BD ETF | G | Y | N |
| VCSH | VANGUARD SHT-TERM CORP BD ETF | G | Y | N |
| VELA | VELATEL GLOBAL COMMUNICATIONS, | u | Y | N |
| VGIT | VANGUARD INTERMEDIATE-TERM GOV | G | Y | N |
| VRML | VERMILLION INC (DE) | G | Y | N |
| VTWG | VANGUARD RUSSELL 2000 GROWTH E | G | Y | N |
| WEIN | WEST END INDIANA BANCSHARES IN | U | Y | N |
| XBOR | CROSS BORDER RESOURCES, INC. C | U | Y | N |
http://www.nasdaqtrader.com/Trader.aspx?id=RegSHOThreshold
Friday, February 03, 2012
NASDAQ Threshold Security List
February 07, 2012
Threshold Security List
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:
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.
Wednesday, February 22, 2012
Threshold Security List
Monday, February 27, 2012
Threshold Security List
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