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NYSE Regulation SHO Short Sale Threshold List September 2017

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NYSE Regulation SHO Short Sale Threshold List September 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 09/01/2017

Symbol Security Name
(BZQ) ProShares UltraShort MSCI Brazil
(EDZ) Direxion Daily Emerging Markets Bear 3X Shares
(FFIU) Fieldstone UVA Unconstrained Med
(FFTY) Academy Funds Trust
(FXE) CurrencyShares Euro Trust
(IBCD) iShares 2020 Investment Grade Corporate Bond ETF
(IMUC) ImmunoCellular Therapeutics, Ltd.
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(JKS) Jinkosolar Holdings Co Ltd
(KLDW) Knowledge Leaders Developed Worl
(KRE) SPDR S&P Regional Banking ETF
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(NADL) North Atlantic Drilling Ltd
(OILU) ProShares UltraPro 3x Crude Oil
(PALL) ETFS Physical Palladium Shares ETF
(PSQ) ProShares Short QQQ
(REMX) Market Vectors Rare Earth/Strategic Metals ETF
(RODM) Hrtfrd Mltifctr Dvlpd Mkts exUS
(SCA) Stellus Capital Investment Corp
(SCID) Global X Scientific Beta Europe ETF

Date processed on 09/01/2017

Symbol Security Name
(SCO) ProShares UltraShort Blrg CrdOil
(SMH) Market Vectors Semiconductor ETF
(TECS) Direxion Daily Technology Bear 3X Shares
(UHN) United States Heating Oil Fund LP
(URTY) ProShares UltraPro Russell2000
(UVXY) ProShares Ultra VIX Short-Term F
(VIXY) ProShares VIX Short-Term Futures
(VLYPRB) Valley National Bancorp
(XCO) Exco Resources
(XRT) SPDR S&P Retail ETF
(YANG) Direxion Daily China 3X Bear Shares

Date processed on 09/05/2017

Symbol Security Name
(AHTPRH) Ashford Hospitality Trust, Inc.
(BZQ) ProShares UltraShort MSCI Brazil
(EDZ) Direxion Daily Emerging Markets Bear 3X Shares
(FFIU) Fieldstone UVA Unconstrained Med
(FFTY) Academy Funds Trust
(FXE) CurrencyShares Euro Trust
(IBCD) iShares 2020 Investment Grade Corporate Bond ETF
(IMUC) ImmunoCellular Therapeutics, Ltd.
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(JKS) Jinkosolar Holdings Co Ltd
(KLDW) Knowledge Leaders Developed Worl
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(NADL) North Atlantic Drilling Ltd
(OILU) ProShares UltraPro 3x Crude Oil
(PALL) ETFS Physical Palladium Shares ETF
(PSQ) ProShares Short QQQ
(REMX) Market Vectors Rare Earth/Strategic Metals ETF
(RODM) Hrtfrd Mltifctr Dvlpd Mkts exUS
(SCA) Stellus Capital Investment Corp
(SCID) Global X Scientific Beta Europe ETF

Date processed on 09/05/2017

Symbol Security Name
(SCO) ProShares UltraShort Blrg CrdOil
(SMH) Market Vectors Semiconductor ETF
(TECS) Direxion Daily Technology Bear 3X Shares
(UHN) United States Heating Oil Fund LP
(URTY) ProShares UltraPro Russell2000
(UVXY) ProShares Ultra VIX Short-Term F
(VIXY) ProShares VIX Short-Term Futures
(VLYPRB) Valley National Bancorp
(XCO) Exco Resources
(XRT) SPDR S&P Retail ETF
(YANG) Direxion Daily China 3X Bear Shares

Date processed on 09/06/2017

Symbol Security Name
(AHTPRH) Ashford Hospitality Trust, Inc.
(BZQ) ProShares UltraShort MSCI Brazil
(DPW) Digital Power Corporation
(EDZ) Direxion Daily Emerging Markets Bear 3X Shares
(FFIU) Fieldstone UVA Unconstrained Med
(FFTY) Academy Funds Trust
(FXE) CurrencyShares Euro Trust
(IBCD) iShares 2020 Investment Grade Corporate Bond ETF
(IMUC) ImmunoCellular Therapeutics, Ltd.
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(JKS) Jinkosolar Holdings Co Ltd
(KLDW) Knowledge Leaders Developed Worl
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(MVV) ProShares Ultra MidCap400
(NADL) North Atlantic Drilling Ltd
(OILU) ProShares UltraPro 3x Crude Oil
(PALL) ETFS Physical Palladium Shares ETF
(PSQ) ProShares Short QQQ
(REMX) Market Vectors Rare Earth/Strategic Metals ETF
(RODM) Hrtfrd Mltifctr Dvlpd Mkts exUS

Date processed on 09/06/2017

Symbol Security Name
(SCA) Stellus Capital Investment Corp
(SCID) Global X Scientific Beta Europe ETF
(SCO) ProShares UltraShort Blrg CrdOil
(SMH) Market Vectors Semiconductor ETF
(UHN) United States Heating Oil Fund LP
(URTY) ProShares UltraPro Russell2000
(UVXY) ProShares Ultra VIX Short-Term F
(VIXY) ProShares VIX Short-Term Futures
(XCO) Exco Resources
(XRT) SPDR S&P Retail ETF
(YANG) Direxion Daily China 3X Bear Shares

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