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.
Market Category Counts
OTCBB (U) Other OTC (u) NASDAQ (Q,G,S)
5 24 22
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Trade Date Download Link File Creation Timestamp
Tuesday, October 28, 2014
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10/28/2014 11:00:04 PM
Threshold Security List
Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
HJOE HANGOVER JOE'S HOLDING CORPORATION U Y N
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