Threshold List

Threshold List

A list of securities for which a significant number of shares fails to deliver after five days. A security is placed on the list if 10,000 shares fail to deliver, if more than 0.5% of shares outstanding fail, or if a self-regulatory organization declares it a threshold security. The list is maintained by the National Securities Clearing Corporation. See also: Regulation SHO.
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That list is known as the Regulation SHO Threshold List.
Thus, as shown in Table 3, many companies have been on the Threshold List more than once; some have been on for hundreds of trading days, belying the SEC's 13-day settlement rule.

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