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NYSE Regulation SHO Short Sale Threshold List November 2016

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NYSE Regulation SHO Short Sale Threshold List November 2016

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http://www.nyse.com/regulation/nyse/Threshold_Securities.shtml

Threshold Securities - NYSE

A Threshold Security is defined by Rule 203(c)(6) of the SEC's Regulation SHO as any equity security of an issuer that is registered under Section 12, or that is required to file reports pursuant to Section 15(d) of the Exchange Act where for five consecutive settlement days: (1) there are aggregate fails to deliver at a registered clearing agency of 10,000 shares or more per security; (2) the level of fails is equal to at least one-half of one percent of the issuer's total shares outstanding; and (3) the security is included on a list published by a self regulatory organization.

Reg SHO is designed to fulfill several objectives, including: (a) the establishment of uniform locate and delivery requirements in order to address problems associated with failures to deliver, and (b) the creation of uniform marking requirements for sales of all equity securities.

Accordingly, NYSE will post a list of threshold securities on this site for every settlement day.

Note: the Threshold List will not be generated on bank holidays when the Depository Trust & Clearing Corporation is closed but equity exchanges are open.

Date processed on 11/01/2016

Symbol Security Name
(BRZU) Direxion Daily Brazil Bull 3X Shares
(BZF) WisdomTree Dreyfus Brazilian Real Fund
(CRBN) iShares MSCI ACWI Low Carbon Target ETF
(DBE) PowerShares DB Energy Fund
(DBKO) db X-trackers MSCI South Korea Hedged Equity Fund
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(EDZ) Direxion Daily Emerging Markets Bear 3X Shares
(EFZ) ProShares Short MSCI EAFE
(ESNC) EnSync, Inc.
(IPS) SPDR S&P International Consumer Staples Sector ETF
(IRV) SPDR S&P International Materials Sector ETF
(IRY) SPDR S&P International Health Care Sector ETF
(IST) SPDR S&P International Telecommunications Sector ETF
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(MOTI) Market Vectors Morningstar International Moat ETF
(RDIV) Oppenheimer Ultra Dividend Revenue ETF
(RFFC) RiverFront Dynamic US Flex-Cap ETF
(RSXJ) Market Vectors Russia Small-Cap ETF
(SLX) Market Vectors Steel Index Fund

Date processed on 11/01/2016

Symbol Security Name
(SMH) Market Vectors Semiconductor ETF
(SMMU) Pimco Short Term Municipal Bond Strategy Fund
(SPHB) PowerShares S&P 500 High Beta Portfolio
(SPXL) Direxion Daily S&P 500 Bull 3X Shares
(SPYD) SPDR S&P 500 High Dividend ETF
(SVXY) ProShares Short VIX Short-Term Futures ETF
(TNA) Direxion Daily Small Cap Bull 3X Shares
(UGL) ProShares Ultra Gold
(UHN) United States Heating Oil Fund LP
(UWM) ProShares Ultra Russell2000
(XHE) SPDR S&P Health Care Equipment
(XOP) SPDR S&P Oil & Gas Exploration & Production ETF
(XRT) SPDR S&P Retail ETF

Date processed on 11/02/2016

Symbol Security Name
(BRZU) Direxion Daily Brazil Bull 3X Shares
(BZF) WisdomTree Dreyfus Brazilian Real Fund
(CRBN) iShares MSCI ACWI Low Carbon Target ETF
(DBE) PowerShares DB Energy Fund
(DBKO) db X-trackers MSCI South Korea Hedged Equity Fund
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(EDZ) Direxion Daily Emerging Markets Bear 3X Shares
(EFAD) ProShares MSCI EAFE Dividend Growers ETF
(EFZ) ProShares Short MSCI EAFE
(IPS) SPDR S&P International Consumer Staples Sector ETF
(IRV) SPDR S&P International Materials Sector ETF
(IRY) SPDR S&P International Health Care Sector ETF
(IST) SPDR S&P International Telecommunications Sector ETF
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(MOTI) Market Vectors Morningstar International Moat ETF
(RDIV) Oppenheimer Ultra Dividend Revenue ETF
(RFFC) RiverFront Dynamic US Flex-Cap ETF
(RSXJ) Market Vectors Russia Small-Cap ETF
(SEA) Guggenheim Shipping ETF

Date processed on 11/02/2016

Symbol Security Name
(SLX) Market Vectors Steel Index Fund
(SMH) Market Vectors Semiconductor ETF
(SPHB) PowerShares S&P 500 High Beta Portfolio
(SPXL) Direxion Daily S&P 500 Bull 3X Shares
(SPYD) SPDR S&P 500 High Dividend ETF
(SVXY) ProShares Short VIX Short-Term Futures ETF
(TNA) Direxion Daily Small Cap Bull 3X Shares
(UGL) ProShares Ultra Gold
(UHN) United States Heating Oil Fund LP
(UNG) United States Natural Gas
(UWM) ProShares Ultra Russell2000
(XHE) SPDR S&P Health Care Equipment
(XOP) SPDR S&P Oil & Gas Exploration & Production ETF
(XRT) SPDR S&P Retail ETF

Date processed on 11/03/2016

Symbol Security Name
(BRZU) Direxion Daily Brazil Bull 3X Shares
(BZF) WisdomTree Dreyfus Brazilian Real Fund
(CRBN) iShares MSCI ACWI Low Carbon Target ETF
(DBE) PowerShares DB Energy Fund
(DBKO) db X-trackers MSCI South Korea Hedged Equity Fund
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(EDZ) Direxion Daily Emerging Markets Bear 3X Shares
(EFAD) ProShares MSCI EAFE Dividend Growers ETF
(EFZ) ProShares Short MSCI EAFE
(IPS) SPDR S&P International Consumer Staples Sector ETF
(IRV) SPDR S&P International Materials Sector ETF
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(JPEM) JPMorgan Diversified Return Emerging Markets Equity ETF
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(MOTI) Market Vectors Morningstar International Moat ETF
(RDIV) Oppenheimer Ultra Dividend Revenue ETF
(RFFC) RiverFront Dynamic US Flex-Cap ETF
(RYF) Guggenheim S&P 500 Equal Weight Financials ETF
(SEA) Guggenheim Shipping ETF
(SLX) Market Vectors Steel Index Fund

Date processed on 11/03/2016

Symbol Security Name
(SMH) Market Vectors Semiconductor ETF
(SPHB) PowerShares S&P 500 High Beta Portfolio
(SPXL) Direxion Daily S&P 500 Bull 3X Shares
(SPYD) SPDR S&P 500 High Dividend ETF
(SVXY) ProShares Short VIX Short-Term Futures ETF
(TNA) Direxion Daily Small Cap Bull 3X Shares
(TPYP) Tortoise North American Pipeline Fund ETF
(UDOW) ProShares UltraPro Dow30
(UGL) ProShares Ultra Gold
(UHN) United States Heating Oil Fund LP
(UNG) United States Natural Gas
(UWM) ProShares Ultra Russell2000
(XOP) SPDR S&P Oil & Gas Exploration & Production ETF
(XRT) SPDR S&P Retail ETF

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