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NYSE Regulation SHO Short Sale Threshold List March 2017

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NYSE Regulation SHO Short Sale Threshold List March 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 03/01/2017

Symbol Security Name
(BKF) iShares MSCI BRIC Index Fund
(BSCQ) Guggenheim BulletShares IG 2026
(CBND) SPDR Issuer Scored Corp Bond ETF
(DEUS) Deutsche X-trackers Russell 1000 Enhanced Beta ETF
(DOG) ProShares Short Dow30
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(ENFR) Alerian Energy Infrastructure ETF
(EQAL) PowerShares Russell 1000 Equal Weight Portfolio
(ESGN) Columbia Sustainable International Equity Income ETF
(FCOR) Fidelity Corporate Bond ETF
(FDD) First Trust STOXX European Select Dividend Income Fund
(FDRR) Fidelity Dividend ETF for Rising
(FNCL) Fidelity MSCI Financials Index ETF
(FREL) Fidelity MSCI Real Estate Index ETF
(FVAL) Fidelity Value Factor ETF
(FXE) CurrencyShares Euro Trust
(GBR) New Concept Energy
(GDXS) ProShares UltraShort Gold Miners ETF
(IAI) iShares Dow Jones US Broker Dealers Index Fund
(IGN) iShares S&P North American Technology-Multimedia Networking Index Fund

Date processed on 03/01/2017

Symbol Security Name
(IPFF) iShares S&P International Preferred Stock Index Fund
(IYY) iShares Dow Jones US Index Fund
(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
(MDLQ) Medley LLC
(MNA) IQ Merger Arbitrage ETF
(MOTI) Market Vectors Morningstar International Moat ETF
(PKB) PowerShares Dynamic Building & Construction Portfolio
(PSI) Powershares Dynamic Semiconductors Portfolio
(RFFC) RiverFront Dynamic US Flex-Cap ETF
(ROOF) IQ US Real Estate Small Cap ETF
(SCIU) Global X Scientific Beta US ETF
(SCO) ProShares UltraShort Blrg CrdOil
(SOXS) Direxion Daily Semiconductors Bear 3x Shares
(SPYD) SPDR S&P 500 High Dividend ETF
(SRTY) ProShares UltraPro Short Russell2000
(SUN) Sunoco LP
(TMF) Direxion Daily 20 Year Plus Treasury Bull 3x Shares
(TNA) Direxion Daily Small Cap Bull 3X Shares

Date processed on 03/01/2017

Symbol Security Name
(TTFS) TrimTabs Float Shrink ETF
(TWM) ProShares UltraShort Russell2000
(TYO) Direxion Daily 7-10 Year Treasury Bear 3x Shares
(UDOW) ProShares UltraPro Dow30
(VIOG) Vanguard S&P Small-Cap 600 Growth ETF
(VIXY) ProShares VIX Short-Term Futures
(XAR) SPDR S&P Aerospace & Defense ETF
(XOP) SPDR S&P Oil & Gas Exploration & Production ETF
(YYY) Yield Shares High Income ETF

Date processed on 03/02/2017

Symbol Security Name
(BKF) iShares MSCI BRIC Index Fund
(BSCQ) Guggenheim BulletShares IG 2026
(CBND) SPDR Issuer Scored Corp Bond ETF
(DEUS) Deutsche X-trackers Russell 1000 Enhanced Beta ETF
(DOG) ProShares Short Dow30
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(DWT) VelocityShares 3x Inverse Crude
(ENFR) Alerian Energy Infrastructure ETF
(EQAL) PowerShares Russell 1000 Equal Weight Portfolio
(ESGN) Columbia Sustainable International Equity Income ETF
(FCOR) Fidelity Corporate Bond ETF
(FDD) First Trust STOXX European Select Dividend Income Fund
(FDRR) Fidelity Dividend ETF for Rising
(FNCL) Fidelity MSCI Financials Index ETF
(FREL) Fidelity MSCI Real Estate Index ETF
(FVAL) Fidelity Value Factor ETF
(FXE) CurrencyShares Euro Trust
(GBR) New Concept Energy
(GDXS) ProShares UltraShort Gold Miners ETF
(IGN) iShares S&P North American Technology-Multimedia Networking Index Fund

Date processed on 03/02/2017

Symbol Security Name
(IYY) iShares Dow Jones US Index Fund
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(JPEM) JPMorgan Diversified Return Emerging Markets Equity ETF
(MNA) IQ Merger Arbitrage ETF
(MVV) ProShares Ultra MidCap400
(NSPR) InspireMD, Inc.
(OIH) Market Vectors Oil Service ETF
(PBS) Powershares Dynamic Media Portfolio
(PKB) PowerShares Dynamic Building & Construction Portfolio
(PSI) Powershares Dynamic Semiconductors Portfolio
(PXLV) PowerShares Fundamental Pure Large Value Portfolio
(RFFC) RiverFront Dynamic US Flex-Cap ETF
(RING) iShares MSCI Global Gold Miners Fund
(ROOF) IQ US Real Estate Small Cap ETF
(SCIU) Global X Scientific Beta US ETF
(SCO) ProShares UltraShort Blrg CrdOil
(SOXS) Direxion Daily Semiconductors Bear 3x Shares
(SPYD) SPDR S&P 500 High Dividend ETF
(TMF) Direxion Daily 20 Year Plus Treasury Bull 3x Shares
(TNA) Direxion Daily Small Cap Bull 3X Shares

Date processed on 03/02/2017

Symbol Security Name
(TTFS) TrimTabs Float Shrink ETF
(TWM) ProShares UltraShort Russell2000
(TYO) Direxion Daily 7-10 Year Treasury Bear 3x Shares
(UDOW) ProShares UltraPro Dow30
(VIXY) ProShares VIX Short-Term Futures
(XAR) SPDR S&P Aerospace & Defense ETF
(XOP) SPDR S&P Oil & Gas Exploration & Production ETF
(YYY) Yield Shares High Income ETF

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