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NYSE Regulation SHO Short Sale Threshold List January 2017

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NYSE Regulation SHO Short Sale Threshold List January 2017

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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 01/03/2017

Symbol Security Name
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(DWT) VelocityShares 3x Inverse Crude
(DXJF) WisdomTree Japan Hedged Financials Fund
(ECCB) Eagle Point Credit Company Inc.
(EPHE) iShares MSCI Philippines Investable Market Index Fund
(EQAL) PowerShares Russell 1000 Equal Weight Portfolio
(FCOM) Fidelity MSCI Telecommunication Services Index ETF
(FDM) First Trust Dow Jones Select Microcap Index Fund
(FDRR) Fidelity Dividend ETF for Rising
(FIDU) Fidelity MSCI Industrials Index ETF
(FNCL) Fidelity MSCI Financials Index ETF
(FQAL) Fidelity Quality Factor ETF
(FVAL) Fidelity Value Factor ETF
(FXE) CurrencyShares Euro Trust
(FXY) CurrencyShares Japanese Yen Trust
(GHII) Guggenheim S&P High Income Infrastructure ETF
(GII) SPDR FTSE Macquarie Global Infrastructure 100 ETF
(GMM) SPDR S&P Emerging Markets ETF
(GYLD) Arrow Dow Jones Global Yield ETF ETF
(HEWI) iShares Currency Hedged MSCI Italy ETF

Date processed on 01/03/2017

Symbol Security Name
(IAK) iShares Dow Jones US Insurance Index Fund
(IEUR) iShares Core MSCI Europe ETF
(IHIT) Invesco High Income 2023 Target
(IQDE) FlexShares International Quality Dividend Defensive Index Fund
(IQDY) FlexShares International Quality Dividend Dynamic Index Fund
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(LGLV) SPDR SSGA US Large Cap Low Volat
(MYY) ProShares Short MidCap 400
(NJV) Nuveen New Jersey Muni Val Fund
(PKB) PowerShares Dynamic Building & Construction Portfolio
(PRME) First Trust Heitman Global Prime Real Estate ETF
(PWZ) PowerShares Insured California Municipal Bond Portfolio
(RCD) Guggenheim S&P 500 Equal Weight Consumer Discretionary ETF
(RDIV) Oppenheimer Ultra Dividend Revenue ETF
(REET) iShares Global REIT ETF
(RFCI) RiverFront Dynamic Core Income ETF
(RUSS) Direxion Daily Russia Bear 3x Shares
(RWK) RevenueShares Mid Cap ETF
(RYE) Guggenheim S&P 500 Equal Weight Energy ETF

Date processed on 01/03/2017

Symbol Security Name
(RYF) Guggenheim S&P 500 Equal Weight Financials ETF
(SCO) ProShares UltraShort Blrg CrdOil
(SDEM) Global X MSCI SuperDividend Emer
(SGDM) Sprott Gold Miners ETF
(SLX) Market Vectors Steel Index Fund
(SLY) SPDR S&P 600 Small CapETF
(SLYG) SPDR S&P 600 Small Cap Growth ETF (based on S&P SmallCap 600 Growth Index --symbol CGK)
(SLYV) SPDR S&P 600 Small CapValue ETF
(SMH) Market Vectors Semiconductor ETF
(SMLV) SPDR SSGA US Small Cap Low Vola
(SPDN) Direxion Daily S&P 500 Bear 1X Shares
(SPYD) SPDR S&P 500 High Dividend ETF
(TIPZ) PIMCO Broad US TIPS Index Fund
(TMF) Direxion Daily 20 Year Plus Treasury Bull 3x Shares
(TPYP) Tortoise North American Pipeline Fund ETF
(TYO) Direxion Daily 7-10 Year Treasury Bear 3x Shares
(URA) Global X Uranium ETF
(UWT) VelocityShares3x Long Crude Oil
(VNLA) Janus Short Duration Income ETF
(VTEB) Vanguard Tax-Exempt Bond ETF

Date processed on 01/03/2017

Symbol Security Name
(WDIV) SPDR S&P Global Dividend ETF
(XHS) SPDR S&P Health Care Services ETF
(XRT) SPDR S&P Retail ETF
(XTN) SPDR S&P Transportation ETF

Tickers: (WDIV), (XHS), (XRT), (XTN)

Date processed on 01/04/2017

Symbol Security Name
(CRBN) iShares MSCI ACWI Low Carbon Target ETF
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(DWT) VelocityShares 3x Inverse Crude
(DXJF) WisdomTree Japan Hedged Financials Fund
(EES) WisdomTree SmallCap Earnings Fund
(EPHE) iShares MSCI Philippines Investable Market Index Fund
(EQAL) PowerShares Russell 1000 Equal Weight Portfolio
(FCOM) Fidelity MSCI Telecommunication Services Index ETF
(FDM) First Trust Dow Jones Select Microcap Index Fund
(FDRR) Fidelity Dividend ETF for Rising
(FIDU) Fidelity MSCI Industrials Index ETF
(FNCL) Fidelity MSCI Financials Index ETF
(FQAL) Fidelity Quality Factor ETF
(FVAL) Fidelity Value Factor ETF
(FXE) CurrencyShares Euro Trust
(FXY) CurrencyShares Japanese Yen Trust
(GHII) Guggenheim S&P High Income Infrastructure ETF
(GII) SPDR FTSE Macquarie Global Infrastructure 100 ETF
(GMM) SPDR S&P Emerging Markets ETF
(GYLD) Arrow Dow Jones Global Yield ETF ETF

Date processed on 01/04/2017

Symbol Security Name
(HEWI) iShares Currency Hedged MSCI Italy ETF
(IAK) iShares Dow Jones US Insurance Index Fund
(IEUR) iShares Core MSCI Europe ETF
(IHIT) Invesco High Income 2023 Target
(IQDE) FlexShares International Quality Dividend Defensive Index Fund
(IQDY) FlexShares International Quality Dividend Dynamic Index Fund
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(LGLV) SPDR SSGA US Large Cap Low Volat
(MYY) ProShares Short MidCap 400
(NJV) Nuveen New Jersey Muni Val Fund
(PKB) PowerShares Dynamic Building & Construction Portfolio
(PRME) First Trust Heitman Global Prime Real Estate ETF
(PWZ) PowerShares Insured California Municipal Bond Portfolio
(RCD) Guggenheim S&P 500 Equal Weight Consumer Discretionary ETF
(RDIV) Oppenheimer Ultra Dividend Revenue ETF
(REET) iShares Global REIT ETF
(RFCI) RiverFront Dynamic Core Income ETF
(RUSS) Direxion Daily Russia Bear 3x Shares
(RWK) RevenueShares Mid Cap ETF

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