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NYSE Regulation SHO Short Sale Threshold List August 2017

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NYSE Regulation SHO Short Sale Threshold List August 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 08/01/2017

Symbol Security Name
(BOIL) ProShares Ultra DJ-UBS Natural Gas ETF
(BZQ) ProShares UltraShort MSCI Brazil
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(DWT) VelocityShares 3x Inverse Crude
(ERY) Direxion Daily Energy Bear 3X Shares
(FLEU) Barclays ETN FI Enhanced Europe
(HCACU) HenneSSy Capital Acquisition Corp. III Units, each consisting of one share of Common Stock and one-h
(HUSA) Houston American Energy Corp
(IMUC) ImmunoCellular Therapeutics, Ltd.
(INTT) inTEST Corporation
(IWM) iShares Russell 2000 Index Fund
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(NADL) North Atlantic Drilling Ltd
(RUSS) Direxion Daily Russia Bear 3x Shares
(SCO) ProShares UltraShort Blrg CrdOil
(SHV) iShares Short Treasury Bond ETF
(SRTY) ProShares UltraPro Short Russell2000
(SVXY) ProShares Short VIX Short-Term Futures ETF
(TMF) Direxion Daily 20 Year Plus Treasury Bull 3x Shares

Date processed on 08/01/2017

Symbol Security Name
(TWM) ProShares UltraShort Russell2000
(XCO) Exco Resources

Tickers: (TWM), (XCO)

Date processed on 08/02/2017

Symbol Security Name
(BOIL) ProShares Ultra DJ-UBS Natural Gas ETF
(BZQ) ProShares UltraShort MSCI Brazil
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(DWT) VelocityShares 3x Inverse Crude
(ERY) Direxion Daily Energy Bear 3X Shares
(HCACU) HenneSSy Capital Acquisition Corp. III Units, each consisting of one share of Common Stock and one-h
(HUSA) Houston American Energy Corp
(IMUC) ImmunoCellular Therapeutics, Ltd.
(INTT) inTEST Corporation
(IWM) iShares Russell 2000 Index Fund
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(NADL) North Atlantic Drilling Ltd
(RUSS) Direxion Daily Russia Bear 3x Shares
(SCO) ProShares UltraShort Blrg CrdOil
(SRTY) ProShares UltraPro Short Russell2000
(SVXY) ProShares Short VIX Short-Term Futures ETF
(TLTE) FlexShares Morningstar Emerging Markets Factor Tilt Index Fund
(TMF) Direxion Daily 20 Year Plus Treasury Bull 3x Shares
(TWM) ProShares UltraShort Russell2000

Date processed on 08/02/2017

Symbol Security Name
(XCO) Exco Resources

Tickers: (XCO)

Date processed on 08/03/2017

Symbol Security Name
(ASEA) GlobalXFTSESoutheastAsiaETF
(BOIL) ProShares Ultra DJ-UBS Natural Gas ETF
(BZQ) ProShares UltraShort MSCI Brazil
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(DWT) VelocityShares 3x Inverse Crude
(ERY) Direxion Daily Energy Bear 3X Shares
(HCACU) HenneSSy Capital Acquisition Corp. III Units, each consisting of one share of Common Stock and one-h
(HUSA) Houston American Energy Corp
(IMUC) ImmunoCellular Therapeutics, Ltd.
(INTT) inTEST Corporation
(IWM) iShares Russell 2000 Index Fund
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(NADL) North Atlantic Drilling Ltd
(RUSS) Direxion Daily Russia Bear 3x Shares
(SCO) ProShares UltraShort Blrg CrdOil
(SRTY) ProShares UltraPro Short Russell2000
(SVXY) ProShares Short VIX Short-Term Futures ETF
(TLTE) FlexShares Morningstar Emerging Markets Factor Tilt Index Fund
(TMF) Direxion Daily 20 Year Plus Treasury Bull 3x Shares
(TWM) ProShares UltraShort Russell2000

Date processed on 08/03/2017

Symbol Security Name
(XCO) Exco Resources

Tickers: (XCO)

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