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NYSE Regulation SHO Short Sale Threshold List June 2017

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NYSE Regulation SHO Short Sale Threshold List June 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 06/01/2017

Symbol Security Name
(ARKQ) ARK Industrial Innovation ETF
(BRZU) Direxion Daily Brazil Bull 3X Shares
(BZQ) ProShares UltraShort MSCI Brazil
(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
(EDZ) Direxion Daily Emerging Markets Bear 3X Shares
(EEMO) PowerShares S&P Emerging Markets Momentum Portfolio
(EFZ) ProShares Short MSCI EAFE
(ERY) Direxion Daily Energy Bear 3X Shares
(FFTY) Academy Funds Trust
(FXB) CurrencyShares British Pound Sterling Trust
(FXY) CurrencyShares Japanese Yen Trust
(GLTR) ETFS Physical Precious Metal Basket Shares ETF
(HYG) iShares iBoxx $ High Yield Corporate Bond ETF
(IDOG) ALPS International Sector Dividend Dogs ETF
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(MVV) ProShares Ultra MidCap400
(NADL) North Atlantic Drilling Ltd
(PSQ) ProShares Short QQQ

Date processed on 06/01/2017

Symbol Security Name
(RING) iShares MSCI Global Gold Miners Fund
(RUSL) Direxion Daily Russia Bull 3x Shares
(SCO) ProShares UltraShort Blrg CrdOil
(SHV) iShares Short Treasury Bond ETF
(SMH) Market Vectors Semiconductor ETF
(SRTY) ProShares UltraPro Short Russell2000
(TDW) Tidewater
(UVXY) ProShrs Ult VIX Shrt-Trm Fut ETF
(VNLA) Janus Short Duration Income ETF
(XLU) Utilities Select Sector SPDR Fund
(XRT) SPDR S&P Retail ETF
(XSD) SPDR S&P Semiconductor ETF

Date processed on 06/02/2017

Symbol Security Name
(ARKQ) ARK Industrial Innovation ETF
(BOIL) ProShares Ultra DJ-UBS Natural Gas ETF
(BRZU) Direxion Daily Brazil Bull 3X Shares
(BZQ) ProShares UltraShort MSCI Brazil
(DPST) Direxion Daily Regional Banks Bull 3X Shares
(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
(EDZ) Direxion Daily Emerging Markets Bear 3X Shares
(EEMO) PowerShares S&P Emerging Markets Momentum Portfolio
(EFZ) ProShares Short MSCI EAFE
(ERY) Direxion Daily Energy Bear 3X Shares
(FFTY) Academy Funds Trust
(FXB) CurrencyShares British Pound Sterling Trust
(FXY) CurrencyShares Japanese Yen Trust
(IDOG) ALPS International Sector Dividend Dogs ETF
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(MVV) ProShares Ultra MidCap400
(NADL) North Atlantic Drilling Ltd
(PSQ) ProShares Short QQQ

Date processed on 06/02/2017

Symbol Security Name
(RING) iShares MSCI Global Gold Miners Fund
(RTH) Market Vectors Retail ETF
(RUSL) Direxion Daily Russia Bull 3x Shares
(SCO) ProShares UltraShort Blrg CrdOil
(SHV) iShares Short Treasury Bond ETF
(SMH) Market Vectors Semiconductor ETF
(SRTY) ProShares UltraPro Short Russell2000
(TDW) Tidewater
(UDOW) ProShares UltraPro Dow30
(UVXY) ProShrs Ult VIX Shrt-Trm Fut ETF
(VNLA) Janus Short Duration Income ETF
(XLU) Utilities Select Sector SPDR Fund
(XRT) SPDR S&P Retail ETF
(XSD) SPDR S&P Semiconductor ETF

Date processed on 06/05/2017

Symbol Security Name
(ANW) Aegean Marine Petroleum Network Inc. Common Stock
(ARKQ) ARK Industrial Innovation ETF
(BOIL) ProShares Ultra DJ-UBS Natural Gas ETF
(BRZU) Direxion Daily Brazil Bull 3X Shares
(BZQ) ProShares UltraShort MSCI Brazil
(DPST) Direxion Daily Regional Banks Bull 3X Shares
(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
(EDZ) Direxion Daily Emerging Markets Bear 3X Shares
(EEMO) PowerShares S&P Emerging Markets Momentum Portfolio
(EFZ) ProShares Short MSCI EAFE
(ERY) Direxion Daily Energy Bear 3X Shares
(FFTY) Academy Funds Trust
(FXB) CurrencyShares British Pound Sterling Trust
(IDOG) ALPS International Sector Dividend Dogs ETF
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(MVV) ProShares Ultra MidCap400
(NADL) North Atlantic Drilling Ltd
(PALL) ETFS Physical Palladium Shares ETF

Date processed on 06/05/2017

Symbol Security Name
(PSQ) ProShares Short QQQ
(RING) iShares MSCI Global Gold Miners Fund
(RTH) Market Vectors Retail ETF
(RUSL) Direxion Daily Russia Bull 3x Shares
(SCO) ProShares UltraShort Blrg CrdOil
(SHV) iShares Short Treasury Bond ETF
(SMH) Market Vectors Semiconductor ETF
(SRTY) ProShares UltraPro Short Russell2000
(UDOW) ProShares UltraPro Dow30
(UMX) ProShares Ultra MSCI Mexico Investable Market
(UVXY) ProShrs Ult VIX Shrt-Trm Fut ETF
(VNLA) Janus Henderson Short Duration I
(XLU) Utilities Select Sector SPDR Fund
(XRT) SPDR S&P Retail ETF
(XSD) SPDR S&P Semiconductor ETF

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