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NYSE Regulation SHO Short Sale Threshold List December 2016

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NYSE Regulation SHO Short Sale Threshold List December 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 12/01/2016

Symbol Security Name
(BSCM) Guggenheim BulletShares 2022 Corporate Bond ETF
(COPX) Global X Copper Miners ETF
(CPER) United States Copper Index Fund ETV
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(DXJF) WisdomTree Japan Hedged Financials Fund
(EQAL) PowerShares Russell 1000 Equal Weight Portfolio
(ERY) Direxion Daily Energy Bear 3X Shares
(FDM) First Trust Dow Jones Select Microcap Index Fund
(FDRR) Fidelity Dividend ETF for Rising
(FHLC) Fidelity MSCI Health Care Index ETF
(FIDU) Fidelity MSCI Industrials Index ETF
(FMAT) Fidelity MSCI Materials Index ETF
(FNCL) Fidelity MSCI Financials Index ETF
(FXR) First Trust Industrials/Producer Durables AlphaDEX Fund
(HTPRE) Hersha Hospitality Trust
(HVPW) U.S. Equity High Volatility Put Write Index Fund
(IAI) iShares Dow Jones US Broker Dealers Index Fund
(IAK) iShares Dow Jones US Insurance Index Fund
(IHE) iShares Dow Jones US Pharmaceuticals Index Fund

Date processed on 12/01/2016

Symbol Security Name
(IPAY) PureFunds ISE Mobile Payments ETF
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(JETS) US Global Jets ETF
(JHMM) John Hancock Multifactor Mid Cap ETF
(KBWR) PowerShares KBW Regional Banking Portfolio ETF
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(MDYV) SPDR S&P 400 Mid Cap Value ETF (based on S&P MidCap 400 Value Index--symbol: MGD
(NSPR) InspireMD, Inc.
(OIH) Market Vectors Oil Service ETF
(PAI) Western Asset Income Fund
(PEJ) Powershares Dynamic Leisure & Entertainment Portfolio
(PKB) PowerShares Dynamic Building & Construction Portfolio
(PSI) Powershares Dynamic Semiconductors Portfolio
(RCD) Guggenheim S&P 500 Equal Weight Consumer Discretionary ETF
(RDIV) Oppenheimer Ultra Dividend Revenue ETF
(RFFC) RiverFront Dynamic US Flex-Cap ETF
(RGI) Guggenheim S&P 500 Equal Weight Industrials ETF
(RSXJ) Market Vectors Russia Small-Cap ETF
(RTM) Guggenheim S&P 500 Equal Weight Materials ETF
(RUSL) Direxion Daily Russia Bull 3x Shares

Date processed on 12/01/2016

Symbol Security Name
(RUSS) Direxion Daily Russia Bear 3x Shares
(RYF) Guggenheim S&P 500 Equal Weight Financials ETF
(SCO) ProShares UltraShort Blrg CrdOil
(SMH) Market Vectors Semiconductor ETF
(SOXL) Direxion Daily Semiconductors Bull 3x Shares
(SPHB) PowerShares S&P 500 High Beta Portfolio
(SPYD) SPDR S&P 500 High Dividend ETF
(TBF) ProShares Short 20+ Yr Treasury
(TFI) SPDR Municipal Bond ETF
(TMF) Direxion Daily 20 Year Plus Treasury Bull 3x Shares
(TNA) Direxion Daily Small Cap Bull 3X Shares
(TWLO) Twilio Inc.
(UCO) ProShares Ultra Bloomberg Crude
(UNG) United States Natural Gas
(URA) Global X Uranium ETF
(UVXY) ProShrs Ult VIX Shrt-Trm Fut ETF
(XTN) SPDR S&P Transportation ETF
(ZSL) ProShares UltraShort Silver

Date processed on 12/02/2016

Symbol Security Name
(BSJM) Guggenheim BulletShares 2022 High Yield Corporate Bond ETF
(COPX) Global X Copper Miners ETF
(CPER) United States Copper Index Fund ETV
(CWS) AdvisorShares Focused Equity ETF
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(DXJF) WisdomTree Japan Hedged Financials Fund
(ENFR) Alerian Energy Infrastructure ETF
(EQAL) PowerShares Russell 1000 Equal Weight Portfolio
(ERY) Direxion Daily Energy Bear 3X Shares
(FDM) First Trust Dow Jones Select Microcap Index Fund
(FDRR) Fidelity Dividend ETF for Rising
(FHLC) Fidelity MSCI Health Care Index ETF
(FIDU) Fidelity MSCI Industrials Index ETF
(FMAT) Fidelity MSCI Materials Index ETF
(FNCL) Fidelity MSCI Financials Index ETF
(FXR) First Trust Industrials/Producer Durables AlphaDEX Fund
(GHII) Guggenheim S&P High Income Infrastructure ETF
(HTPRE) Hersha Hospitality Trust
(HVPW) U.S. Equity High Volatility Put Write Index Fund

Date processed on 12/02/2016

Symbol Security Name
(IAI) iShares Dow Jones US Broker Dealers Index Fund
(IAK) iShares Dow Jones US Insurance Index Fund
(IHE) iShares Dow Jones US Pharmaceuticals Index Fund
(IPAY) PureFunds ISE Mobile Payments ETF
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(JHMM) John Hancock Multifactor Mid Cap ETF
(KBWR) PowerShares KBW Regional Banking Portfolio ETF
(KNOW) Direxion All Cap Insider Sentiment Shares
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(MDYV) SPDR S&P 400 Mid Cap Value ETF (based on S&P MidCap 400 Value Index--symbol: MGD
(NSPR) InspireMD, Inc.
(OIH) Market Vectors Oil Service ETF
(PAI) Western Asset Income Fund
(PEJ) Powershares Dynamic Leisure & Entertainment Portfolio
(PKB) PowerShares Dynamic Building & Construction Portfolio
(PSI) Powershares Dynamic Semiconductors Portfolio
(RCD) Guggenheim S&P 500 Equal Weight Consumer Discretionary ETF
(RDIV) Oppenheimer Ultra Dividend Revenue ETF
(RFFC) RiverFront Dynamic US Flex-Cap ETF
(RGI) Guggenheim S&P 500 Equal Weight Industrials ETF

Date processed on 12/02/2016

Symbol Security Name
(RTM) Guggenheim S&P 500 Equal Weight Materials ETF
(RUSL) Direxion Daily Russia Bull 3x Shares
(RUSS) Direxion Daily Russia Bear 3x Shares
(RYF) Guggenheim S&P 500 Equal Weight Financials ETF
(SCO) ProShares UltraShort Blrg CrdOil
(SMH) Market Vectors Semiconductor ETF
(SMLV) SPDR Russell 2000 Low Volatility
(SOXL) Direxion Daily Semiconductors Bull 3x Shares
(SPHB) PowerShares S&P 500 High Beta Portfolio
(SPYD) SPDR S&P 500 High Dividend ETF
(TBF) ProShares Short 20+ Yr Treasury
(TFI) SPDR Municipal Bond ETF
(TMF) Direxion Daily 20 Year Plus Treasury Bull 3x Shares
(TNA) Direxion Daily Small Cap Bull 3X Shares
(TWLO) Twilio Inc.
(UCO) ProShares Ultra Bloomberg Crude
(UNG) United States Natural Gas
(URA) Global X Uranium ETF
(UVXY) ProShrs Ult VIX Shrt-Trm Fut ETF
(VTEB) Vanguard Tax-Exempt Bond ETF

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