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NYSE Regulation SHO Short Sale Threshold List July 2017

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NYSE Regulation SHO Short Sale Threshold List July 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 07/03/2017

Symbol Security Name
(BOIL) ProShares Ultra DJ-UBS Natural Gas ETF
(BRZU) Direxion Daily Brazil Bull 3X Shares
(CNXT) Market Vectors China AMC SME-ChiNext ETF
(CORN) Teucrium Corn Fund
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(DSUM) PowerShares Chinese Yuan Dim Sum Bond Portfolio
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(DWT) VelocityShares 3x Inverse Crude
(EDZ) Direxion Daily Emerging Markets Bear 3X Shares
(ERY) Direxion Daily Energy Bear 3X Shares
(FXE) CurrencyShares Euro Trust
(HOS) Hornbeck Offshore Services Inc
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(NADL) North Atlantic Drilling Ltd
(OEUR) O'Shares FTSE Europe Quality Dividend ETF
(RH) RH
(RODM) Hrtfrd Mltifctr Dvlpd Mkts exUS
(RUSS) Direxion Daily Russia Bear 3x Shares
(SGDJ) Sprott Junior Gold Miners ETF
(SHV) iShares Short Treasury Bond ETF

Date processed on 07/03/2017

Symbol Security Name
(SMH) Market Vectors Semiconductor ETF
(XME) SPDR S&P Metals & Mining ETF
(XRT) SPDR S&P Retail ETF
(XSD) SPDR S&P Semiconductor ETF

Tickers: (SMH), (XME), (XRT), (XSD)

Date processed on 07/05/2017

Symbol Security Name
(BOIL) ProShares Ultra DJ-UBS Natural Gas ETF
(BRZU) Direxion Daily Brazil Bull 3X Shares
(CNXT) Market Vectors China AMC SME-ChiNext ETF
(CORN) Teucrium Corn Fund
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(DSUM) PowerShares Chinese Yuan Dim Sum Bond Portfolio
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(DWT) VelocityShares 3x Inverse Crude
(EDZ) Direxion Daily Emerging Markets Bear 3X Shares
(ERY) Direxion Daily Energy Bear 3X Shares
(FXE) CurrencyShares Euro Trust
(HCACU) Hennessy Capital Acquisition
(HOS) Hornbeck Offshore Services Inc
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(JPSE) JPMorgan Diversified Return US S
(NADL) North Atlantic Drilling Ltd
(OEUR) O'Shares FTSE Europe Quality Dividend ETF
(RH) RH
(RODM) Hrtfrd Mltifctr Dvlpd Mkts exUS
(RUSS) Direxion Daily Russia Bear 3x Shares

Date processed on 07/05/2017

Symbol Security Name
(SGDJ) Sprott Junior Gold Miners ETF
(SHV) iShares Short Treasury Bond ETF
(SMH) Market Vectors Semiconductor ETF
(SRTY) ProShares UltraPro Short Russell2000
(XME) SPDR S&P Metals & Mining ETF
(XRT) SPDR S&P Retail ETF

Date processed on 07/06/2017

Symbol Security Name
(BOIL) ProShares Ultra DJ-UBS Natural Gas ETF
(BRZU) Direxion Daily Brazil Bull 3X Shares
(CORN) Teucrium Corn Fund
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(DSUM) PowerShares Chinese Yuan Dim Sum Bond Portfolio
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(DWT) VelocityShares 3x Inverse Crude
(EDZ) Direxion Daily Emerging Markets Bear 3X Shares
(ERY) Direxion Daily Energy Bear 3X Shares
(FXE) CurrencyShares Euro Trust
(HCACU) Hennessy Capital Acquisition
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(JPSE) JPMorgan Diversified Return US S
(NADL) North Atlantic Drilling Ltd
(OEUR) O'Shares FTSE Europe Quality Dividend ETF
(RH) RH
(RODM) Hrtfrd Mltifctr Dvlpd Mkts exUS
(RUSS) Direxion Daily Russia Bear 3x Shares
(SGDJ) Sprott Junior Gold Miners ETF
(SHV) iShares Short Treasury Bond ETF

Date processed on 07/06/2017

Symbol Security Name
(SMH) Market Vectors Semiconductor ETF
(SRTY) ProShares UltraPro Short Russell2000
(UMX) ProShares Ultra MSCI Mexico Investable Market
(XME) SPDR S&P Metals & Mining ETF
(XRT) SPDR S&P Retail ETF

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