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Threshold Security

Trading Term

Threshold securities are US equity securities where, for five consecutive settlement days:

  • Have an aggregate fail to deliver position at a NSCC totaling 10,000 shares or more; and
  • The level of fails equal to at least 0.5% of the issuer’s total shares outstanding, and
  • Are included on a list published by a self-regulatory organization (SRO).

Most Pink Sheets securities are excluded from the definition of threshold securities as they are not registered or required to file reports with the SEC. A list of current threshold securities is made available on the OCC’s website at

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