NYSE Public Information
Overview | NYSE Informed Investor Series | Regulation SHO | 
Speeches & Public Statements 


The U.S. Securities and Exchange Commission adopted Regulation SHO on June 28, 2004, and compliance began on January 3, 2005. Reg SHO requires that every self-regulatory organization disseminate a daily list of its threshold securities.

Select a market below to access daily and archived lists of threshold securities, and learn more.

 
Threshold Securities - NYSE

Here is where you can access lists for the New York Stock Exchange.
Threshold Securities - NYSE Arca  

Access lists of Regulation SHO threshold securities files for NYSE Arca.
Threshold Securities - NYSE Amex  

Reg SHO lists for NYSE Amex (formerly the American Stock Exchange) can be found here.
Monthly Short Sale Data - NYSE Arca

NYSE Arca short sale data is available monthly by subscription. To subscribe to NYSE Arca short sale data, please e-mail ArcaVision@nyx.com.

Daily Short Sale Data - NYSE Arca

NYSE Arca Reg SHO Short Volume is available by web or FTP at: www.nyxdata.com/page/875. 

Volumes are calculated for trades occurring between 9:30 a.m. and 4:00 p.m. ET

  • Short volume is the aggregate share volume of executed short sales during this time
  • Total volume is the aggregate share volume of all executed trades during this time
  • The volumes do not include odd lots
  • All trades are single counted
  • The short volume does not include short sales that were canceled during 9:30 a.m. to 4:00 p.m. ET but may include volume that ultimately could be cancelled after 4:00 ET
  • The total volumes include only transactions that are reported by NYSE Arca to a consolidated tape with the market identifier "P"

If you have further questions regarding NYSE Arca daily or monthly short sale volume, email rto@nyx.com or call (312) 442-7788. 
Related Information
 

Information Memo 07-63: SEC Repeal of Short Sale Tick Test
Information Memo 04-54: Adoption of new provisions affecting the regulation of short sales
Information Memo 04-64: SEC postpones short sale pilot program, the Exchange proposes to amend its short sale rules (440B and 440C) and other Regulation SHO implementation issues
Information Memo 05-30: The Exchange publishes lists of pilot securities pursuant to Regulation SHO and provides guidance on the regulation
Information Memo 06-23: The Securities and Exchange Commission ("SEC") issues guidance on Regulation SHO
SEC Division of Market Regulation: Responses to Frequently Asked Questions Concerning Regulation SHO