Reg SHO Threshold - Text Archives

The files below represent previously published OTC Threshold Securities lists. The date in the file name represents the settlement date upon which the data used to create the list was based. Thus, each list was in effect on the date immediately following the date of the threshold list (e.g. a list with the name “otc-thresh20141110” would have been in effect for 11/11/14).

Note: If an OTC Threshold list is not available for a certain date, firms must use the prior day’s OTC Threshold list to comply with Rule 203(b)(3) of Regulation SHO or FINRA Rule 4320 until the relevant OTC Threshold list becomes available. Once available, firms must analyze the OTC Threshold list to ensure full compliance with the aforementioned rules. Similarly, if FINRA publishes an updated OTC Threshold list, firms must review the new list to determine whether any additional action must be taken to maintain compliance with the rules. Be aware that in situations where the OTC Threshold list was posted late, or was amended by FINRA on a subsequent date, that list will have a date/timestamp that is later than the date contained in the name of the list.