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NYSE Regulation SHO Short Sale Threshold List May 2017

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NYSE Regulation SHO Short Sale Threshold List May 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 05/01/2017

Symbol Security Name
(BRZU) Direxion Daily Brazil Bull 3X Shares
(CORRPR)A CorEnergy Infrastructure Trust
(CRED) iShares US Credit Bond ETF Trdng
(DEUS) Deutsche X-trackers Russell 1000 Enhanced Beta ETF
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(DWT) VelocityShares 3x Inverse Crude
(EDC) Direxion Daily Emerging Markets Bull 3X Shares
(EDV) Vanguard Extended Duration Treasury ETF
(EWQ) iShares MSCI France Index Fund
(GBR) New Concept Energy
(ILF) iShares S&P Latin America 40 Index Fund
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(KLDW) Knowledge Leaders Developed Worl
(NADL) North Atlantic Drilling Ltd
(PICB) PowerShares International Corporate Bond Portfolio
(QLS) IQ Hedge Long/Short Tracker ETF
(RUSL) Direxion Daily Russia Bull 3x Shares
(RUSS) Direxion Daily Russia Bear 3x Shares
(SCM) Stellus Capital Investment Corporation Common Stock

Date processed on 05/01/2017

Symbol Security Name
(SCO) ProShares UltraShort Blrg CrdOil
(SDEM) Global X MSCI SuperDividend Emer
(SEF) ProShares Short Financials
(SGDJ) Sprott Junior Gold Miners ETF
(SMH) Market Vectors Semiconductor ETF
(SRTY) ProShares UltraPro Short Russell2000
(TYO) Direxion Daily 7-10 Year Treasury Bear 3x Shares
(UCO) ProShares Ultra Bloomberg Crude
(URTH) iShares MSCI World Index Fund/US
(UWT) VelocityShares3x Long Crude Oil
(XOP) SPDR S&P Oil & Gas Exploration & Production ETF
(XRT) SPDR S&P Retail ETF

Date processed on 05/02/2017

Symbol Security Name
(BRZU) Direxion Daily Brazil Bull 3X Shares
(CORRPR)A CorEnergy Infrastructure Trust
(CRED) iShares US Credit Bond ETF Trdng
(DEUS) Deutsche X-trackers Russell 1000 Enhanced Beta ETF
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(DWT) VelocityShares 3x Inverse Crude
(EDC) Direxion Daily Emerging Markets Bull 3X Shares
(EDV) Vanguard Extended Duration Treasury ETF
(EWQ) iShares MSCI France Index Fund
(FRCPRC) First Republic Bank
(GBR) New Concept Energy
(ILF) iShares S&P Latin America 40 Index Fund
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(JEPRA) Just Energy Group Inc.
(KLDW) Knowledge Leaders Developed Worl
(NADL) North Atlantic Drilling Ltd
(PICB) PowerShares International Corporate Bond Portfolio
(QLS) IQ Hedge Long/Short Tracker ETF
(RUSL) Direxion Daily Russia Bull 3x Shares

Date processed on 05/02/2017

Symbol Security Name
(RUSS) Direxion Daily Russia Bear 3x Shares
(SCM) Stellus Capital Investment Corporation Common Stock
(SCO) ProShares UltraShort Blrg CrdOil
(SDEM) Global X MSCI SuperDividend Emer
(SEF) ProShares Short Financials
(SGDJ) Sprott Junior Gold Miners ETF
(SMH) Market Vectors Semiconductor ETF
(SRTY) ProShares UltraPro Short Russell2000
(UCO) ProShares Ultra Bloomberg Crude
(URTH) iShares MSCI World Index Fund/US
(UWT) VelocityShares3x Long Crude Oil
(XOP) SPDR S&P Oil & Gas Exploration & Production ETF
(XRT) SPDR S&P Retail ETF

Date processed on 05/03/2017

Symbol Security Name
(APHB) AmpliPhi Biosciences Corporation
(BRZU) Direxion Daily Brazil Bull 3X Shares
(CORRPR)A CorEnergy Infrastructure Trust
(CRED) iShares US Credit Bond ETF Trdng
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(DWT) VelocityShares 3x Inverse Crude
(EDC) Direxion Daily Emerging Markets Bull 3X Shares
(EWQ) iShares MSCI France Index Fund
(FCOR) Fidelity Corporate Bond ETF
(FRCPRC) First Republic Bank
(GBR) New Concept Energy
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(JEPRA) Just Energy Group Inc.
(KLDW) Knowledge Leaders Developed Worl
(NADL) North Atlantic Drilling Ltd
(PICB) PowerShares International Corporate Bond Portfolio
(RUSL) Direxion Daily Russia Bull 3x Shares
(RUSS) Direxion Daily Russia Bear 3x Shares
(RXI) iShares S&P Global Consumer Discretionary Sector Index Fund

Date processed on 05/03/2017

Symbol Security Name
(SCO) ProShares UltraShort Blrg CrdOil
(SDEM) Global X MSCI SuperDividend Emer
(SGDJ) Sprott Junior Gold Miners ETF
(SMH) Market Vectors Semiconductor ETF
(SRTY) ProShares UltraPro Short Russell2000
(SVXY) ProShares Short VIX Short-Term Futures ETF
(UCO) ProShares Ultra Bloomberg Crude
(URTH) iShares MSCI World Index Fund/US
(UWT) VelocityShares3x Long Crude Oil
(XOP) SPDR S&P Oil & Gas Exploration & Production ETF
(XRT) SPDR S&P Retail ETF

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