Cboe BZX Exchange Listed Security Reg SHO Threshold List Update

September 13, 2019 16:04:51

Reference ID: C2019091302 


Cboe BZX Exchange maintains on its public website a Reg SHO Threshold List to advise of BZX-listed securities having an aggregate fail to deliver position totaling 10,000 shares or more and equal to at least 0.5% of the issuer's total shares outstanding for five consecutive settlement days at a registered clearing agency. This list is also available for CSV download via the website as well as via FTP.

Cboe has recently become aware of a third-party provider configuration error impacting data used to calculate the BZX Exchange Reg SHO Threshold List. As a result of this issue, as well as a Cboe issue in processing that data once it became available from the third-party vendor, data in the Reg SHO Threshold list has been either unavailable or inaccurate since the initial BZX Exchange security listing. In addition, as part of efforts to remediate this issue, column headers in the CSV download file available via the website were removed overnight on Thursday, September 12, 2019. 

Technical Details:

Effective Monday, September 16, 2019, the column headers previously available in the website CSV download will be reinstated as they were prior to September 13, 2019. Cboe continues to work to resolve the issue in accurately populating the Reg SHO Threshold List, and further notice will be sent once a resolution date is known. Until that date, the Reg SHO Threshold list will continue to remain either unpopulated via the website and website CSV file download, or inaccurate via FTP.

Please contact the Cboe Trade Desk for support or with any questions.