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NYSE Regulation SHO Short Sale Threshold List February 2017

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NYSE Regulation SHO Short Sale Threshold List February 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 02/01/2017

Symbol Security Name
(ASHR) db X-trackers Harvest CSI 300 China A-Shares Fund
(BGI) Birks Group Inc.
(BIZD) Market Vectors BDC Income ETF
(CIMPRA) Chimera Investment Corporation
(DBGR) db X-trackers MSCI Germany Hedged Equity Fund
(DEUS) Deutsche X-trackers Russell 1000 Enhanced Beta ETF
(DPW) Digital Power Corpor
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(DWT) VelocityShares 3x Inverse Crude
(EQAL) PowerShares Russell 1000 Equal Weight Portfolio
(ESGN) Columbia Sustainable International Equity Income ETF
(FDMO) Fidelity Momentum Factor ETF
(FLTR) Market Vectors Investment Grade Floating Rate Bond ETF
(FNCL) Fidelity MSCI Financials Index ETF
(FNDE) Schwab Fundamental Emerging Markets Large Company Index ETF
(FXE) CurrencyShares Euro Trust
(GBR) New Concept Energy
(HUSV) First Trust
(IAT) iShares Dow Jones US Regional Banks Index Fund
(IDOG) ALPS International Sector Dividend Dogs ETF

Date processed on 02/01/2017

Symbol Security Name
(IQDF) FlexShares International Quality Dividend Index Fund
(IRY) SPDR S&P International Health Care Sector ETF
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(JHMI) John Hancock Multifactor Industrials ETF
(JPEM) JPMorgan Diversified Return Emerging Markets Equity ETF
(JPUS) JPMorgan Diversified Return U.S. Equity ETF
(JPXN) iShares Japan Large-Cap ETF
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(LDUR) PIMCO Low Duration Exchange-Traded Fund
(PKB) PowerShares Dynamic Building & Construction Portfolio
(PSI) Powershares Dynamic Semiconductors Portfolio
(PXMV) PowerShares Fundamental Pure Mid Value Portfolio
(RDIV) Oppenheimer Ultra Dividend Revenue ETF
(RTM) Guggenheim S&P 500 Equal Weight Materials ETF
(SCIU) Global X Scientific Beta US ETF
(SCO) ProShares UltraShort Blrg CrdOil
(SILJ) PureFunds ISE Junior Silver (Small Cap Miners/Explorers) ETF
(SLX) Market Vectors Steel Index Fund
(SOIL) Global X Fertilizers/Potash ETF
(SPYD) SPDR S&P 500 High Dividend ETF

Date processed on 02/01/2017

Symbol Security Name
(SPYV) SPDR S&P 500 Value ETF
(SVXY) ProShares Short VIX Short-Term Futures ETF
(TBF) ProShares Short 20+ Yr Treasury
(TFI) SPDR Municipal Bond ETF
(TOLZ) ProShares DJ Brookfield Global Infrastructure ETF
(TTT) ProShares UltraPro Short 20+ Year Treasury
(URA) Global X Uranium ETF
(UWM) ProShares Ultra Russell2000
(UWT) VelocityShares3x Long Crude Oil
(VTEB) Vanguard Tax-Exempt Bond ETF
(WDIV) SPDR S&P Global Dividend ETF
(XOP) SPDR S&P Oil & Gas Exploration & Production ETF
(XRT) SPDR S&P Retail ETF
(ZSL) ProShares UltraShort Silver

Date processed on 02/02/2017

Symbol Security Name
(ASHR) db X-trackers Harvest CSI 300 China A-Shares Fund
(BGI) Birks Group Inc.
(BIZD) Market Vectors BDC Income ETF
(CIMPRA) Chimera Investment Corporation
(COPX) Global X Copper Miners ETF
(DBGR) db X-trackers MSCI Germany Hedged Equity Fund
(DEUS) Deutsche X-trackers Russell 1000 Enhanced Beta ETF
(DPW) Digital Power Corpor
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(DWT) VelocityShares 3x Inverse Crude
(EQAL) PowerShares Russell 1000 Equal Weight Portfolio
(FDMO) Fidelity Momentum Factor ETF
(FLTR) Market Vectors Investment Grade Floating Rate Bond ETF
(FNCL) Fidelity MSCI Financials Index ETF
(FNDE) Schwab Fundamental Emerging Markets Large Company Index ETF
(FXE) CurrencyShares Euro Trust
(GBR) New Concept Energy
(GMOM) Cambria Global Momentum ETF
(HUSV) First Trust
(IAT) iShares Dow Jones US Regional Banks Index Fund

Date processed on 02/02/2017

Symbol Security Name
(IDOG) ALPS International Sector Dividend Dogs ETF
(IRY) SPDR S&P International Health Care Sector ETF
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(JHMI) John Hancock Multifactor Industrials ETF
(JPEM) JPMorgan Diversified Return Emerging Markets Equity ETF
(JPIN) JPMorgan Diversified Return International Equity ETF
(JPMV) iShares MSCI Japan Minimum Volatility ETF
(JPUS) JPMorgan Diversified Return U.S. Equity ETF
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(LDUR) PIMCO Low Duration Exchange-Traded Fund
(PKB) PowerShares Dynamic Building & Construction Portfolio
(PSI) Powershares Dynamic Semiconductors Portfolio
(PXMV) PowerShares Fundamental Pure Mid Value Portfolio
(RDIV) Oppenheimer Ultra Dividend Revenue ETF
(RTM) Guggenheim S&P 500 Equal Weight Materials ETF
(SCIU) Global X Scientific Beta US ETF
(SCO) ProShares UltraShort Blrg CrdOil
(SLX) Market Vectors Steel Index Fund
(SOIL) Global X Fertilizers/Potash ETF
(SPYD) SPDR S&P 500 High Dividend ETF

Date processed on 02/02/2017

Symbol Security Name
(SPYV) SPDR S&P 500 Value ETF
(SVXY) ProShares Short VIX Short-Term Futures ETF
(TBF) ProShares Short 20+ Yr Treasury
(TFI) SPDR Municipal Bond ETF
(TOLZ) ProShares DJ Brookfield Global Infrastructure ETF
(TPYP) Tortoise North American Pipeline Fund ETF
(TTT) ProShares UltraPro Short 20+ Year Treasury
(URA) Global X Uranium ETF
(UWM) ProShares Ultra Russell2000
(UWT) VelocityShares3x Long Crude Oil
(WDIV) SPDR S&P Global Dividend ETF
(XOP) SPDR S&P Oil & Gas Exploration & Production ETF
(XRT) SPDR S&P Retail ETF
(XSD) SPDR S&P Semiconductor ETF
(ZSL) ProShares UltraShort Silver

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