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NYSE Regulation SHO Short Sale Threshold List April 2017

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NYSE Regulation SHO Short Sale Threshold List April 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 04/03/2017

Symbol Security Name
(AUSE) WisdomTree Australia Dividend Index
(BLES) Inspire Global Hope ETF
(DEUS) Deutsche X-trackers Russell 1000 Enhanced Beta ETF
(DGT) SPDR Global Dow ETF
(EDZ) Direxion Daily Emerging Markets Bear 3X Shares
(EQAL) PowerShares Russell 1000 Equal Weight Portfolio
(FDRR) Fidelity Dividend ETF for Rising
(FXY) CurrencyShares Japanese Yen Trust
(GASL) Direxion Daily Natural Gas Related Bull 3X Shares
(GQRE) FlexShares Global Quality Real Estate Index Fund
(ILTB) iShares Core Long-Term US Bond ETF
(IPAY) PureFunds ISE Mobile Payments ETF
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(JHMF) John Hancock Multifactor Financials ETF
(MOTI) Market Vectors Morningstar International Moat ETF
(NSPR) InspireMD, Inc.
(OEUH) O'Shares FTSE Europe Quality Dividend Hedged ETF
(QJPN) SPDR MSCI Japan Quality Mix ETF
(RFDA) RiverFront Dynamic US Dividend Advantage ETF
(ROAM) Hartford Mltifctr Emerging Mkts

Date processed on 04/03/2017

Symbol Security Name
(ROGS) Hartford Mltifctr Glbl Small Cap
(ROOF) IQ US Real Estate Small Cap ETF
(RUSL) Direxion Daily Russia Bull 3x Shares
(SDEM) Global X MSCI SuperDividend Emer
(SKF) ProShares UltraShort Financials
(SLVP) iShares MSCI Global Silver Miners Fund
(SMH) Market Vectors Semiconductor ETF
(TLTE) FlexShares Morningstar Emerging Markets Factor Tilt Index Fund
(TMF) Direxion Daily 20 Year Plus Treasury Bull 3x Shares
(TNA) Direxion Daily Small Cap Bull 3X Shares
(UCO) ProShares Ultra Bloomberg Crude
(UWT) VelocityShares3x Long Crude Oil
(ZSL) ProShares UltraShort Silver

Date processed on 04/04/2017

Symbol Security Name
(AUSE) WisdomTree Australia Dividend Index
(BLES) Inspire Global Hope ETF
(DEUS) Deutsche X-trackers Russell 1000 Enhanced Beta ETF
(DGT) SPDR Global Dow ETF
(EDZ) Direxion Daily Emerging Markets Bear 3X Shares
(EEMS) iShares MSCI Emerging Markets Small Cap Index Fund
(EQAL) PowerShares Russell 1000 Equal Weight Portfolio
(FDRR) Fidelity Dividend ETF for Rising
(FXY) CurrencyShares Japanese Yen Trust
(GASL) Direxion Daily Natural Gas Related Bull 3X Shares
(GQRE) FlexShares Global Quality Real Estate Index Fund
(ILTB) iShares Core Long-Term US Bond ETF
(IPAY) PureFunds ISE Mobile Payments ETF
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(JHMF) John Hancock Multifactor Financials ETF
(MOTI) Market Vectors Morningstar International Moat ETF
(NSPR) InspireMD, Inc.
(OEUH) O'Shares FTSE Europe Quality Dividend Hedged ETF
(RFDA) RiverFront Dynamic US Dividend Advantage ETF
(ROAM) Hartford Mltifctr Emerging Mkts

Date processed on 04/04/2017

Symbol Security Name
(RODM) Hrtfrd Mltifctr Dvlpd Mkts exUS
(ROGS) Hartford Mltifctr Glbl Small Cap
(ROOF) IQ US Real Estate Small Cap ETF
(RUSL) Direxion Daily Russia Bull 3x Shares
(SDEM) Global X MSCI SuperDividend Emer
(SKF) ProShares UltraShort Financials
(SLVP) iShares MSCI Global Silver Miners Fund
(TLTE) FlexShares Morningstar Emerging Markets Factor Tilt Index Fund
(TNA) Direxion Daily Small Cap Bull 3X Shares
(UCO) ProShares Ultra Bloomberg Crude
(UWT) VelocityShares3x Long Crude Oil
(XSW) SPDR S&P Software & Services ETF
(ZSL) ProShares UltraShort Silver

Date processed on 04/05/2017

Symbol Security Name
(AUSE) WisdomTree Australia Dividend Index
(BLES) Inspire Global Hope ETF
(DEUS) Deutsche X-trackers Russell 1000 Enhanced Beta ETF
(DGT) SPDR Global Dow ETF
(EDZ) Direxion Daily Emerging Markets Bear 3X Shares
(EEMS) iShares MSCI Emerging Markets Small Cap Index Fund
(EQAL) PowerShares Russell 1000 Equal Weight Portfolio
(FDRR) Fidelity Dividend ETF for Rising
(FXY) CurrencyShares Japanese Yen Trust
(GASL) Direxion Daily Natural Gas Related Bull 3X Shares
(ILTB) iShares Core Long-Term US Bond ETF
(IPAY) PureFunds ISE Mobile Payments ETF
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(MOTI) Market Vectors Morningstar International Moat ETF
(NSPR) InspireMD, Inc.
(OEUH) O'Shares FTSE Europe Quality Dividend Hedged ETF
(RFDA) RiverFront Dynamic US Dividend Advantage ETF
(ROAM) Hartford Mltifctr Emerging Mkts
(RODM) Hrtfrd Mltifctr Dvlpd Mkts exUS
(ROGS) Hartford Mltifctr Glbl Small Cap

Date processed on 04/05/2017

Symbol Security Name
(ROOF) IQ US Real Estate Small Cap ETF
(RUSL) Direxion Daily Russia Bull 3x Shares
(SDEM) Global X MSCI SuperDividend Emer
(SKF) ProShares UltraShort Financials
(SLVP) iShares MSCI Global Silver Miners Fund
(SMN) ProShares UltraShort Basic Materials
(TLTE) FlexShares Morningstar Emerging Markets Factor Tilt Index Fund
(TNA) Direxion Daily Small Cap Bull 3X Shares
(UCO) ProShares Ultra Bloomberg Crude
(UWT) VelocityShares3x Long Crude Oil
(XSW) SPDR S&P Software & Services ETF
(ZSL) ProShares UltraShort Silver

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