Cboe BZX Exchange Listed Security Reg SHO Threshold List Issue Resolved

October 30, 2019 16:06:14

Reference ID: C2019103002 


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 download via the website as well as via FTP.

As indicated in a previous notice, Cboe recently become aware of a third-party data provider configuration error, as well as a Cboe issue in processing data once it became available from the provider, impacting Cboe's ability to calculate the BZX Exchange Reg SHO Threshold List. As a result, data in the Reg SHO Threshold list has been either unavailable or inaccurate since the initial BZX Exchange security listing. 

Technical Details 

The third-party data provider configuration error as well as the Cboe data processing issue have both been resolved. As a result, effective as of October 29, 2019 the BZX Exchange Reg SHO Threshold List is now populated and accurate on the Cboe website, in the website download, and via FTP for the current date as well as all previous dates. 

Additional Information 

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