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NYSE Regulation SHO Short Sale Threshold List October 2017

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NYSE Regulation SHO Short Sale Threshold List October 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 10/02/2017

Symbol Security Name
(BRZU) Direxion Daily Brazil Bull 3X Shares
(BSCQ) Guggenheim BulletShares IG 2026
(BSWN) VELOCITYSHARES VIX FUTURES TAIL RISK ETN LKD S&P 500 VIX
(BZQ) ProShares UltraShort MSCI Brazil
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(DWT) VelocityShares 3x Inverse Crude
(ECFPRA) Ellsworth Growth and Income Fund Ltd. 5.25 percent Series A Cumulative Preferred Shares (Liquidation
(EDC) Direxion Daily Emerging Markets Bull 3X Shares
(ENFR) Alerian Energy Infrastructure ETF
(ERY) Direxion Daily Energy Bear 3X Shares
(GMFL) Guggenheim Multi-Factor Large Ca
(GOAU) US Global GO Gold and Precious M
(HDMV) First Trust
(IMUC) ImmunoCellular Therapeutics, Ltd.
(RODM) Hrtfrd Mltifctr Dvlpd Mkts exUS
(RUSS) Direxion Daily Russia Bear 3x Shares
(SCO) ProShares UltraShort Blrg CrdOil
(SDRL) Seadrill Limited
(TMF) Direxion Daily 20 Year Plus Treasury Bull 3x Shares
(UDOW) ProShares UltraPro Dow30

Date processed on 10/02/2017

Symbol Security Name
(UGA) United States Gasoline Fund LP
(UHN) United States Heating Oil Fund LP
(UVXY) ProShares Ultra VIX Short-Term F
(XOP) SPDR S&P Oil & Gas Exploration & Production ETF
(XRT) SPDR S&P Retail ETF

Date processed on 10/03/2017

Symbol Security Name
(BRZU) Direxion Daily Brazil Bull 3X Shares
(BSCQ) Guggenheim BulletShares IG 2026
(BSWN) VELOCITYSHARES VIX FUTURES TAIL RISK ETN LKD S&P 500 VIX
(BZQ) ProShares UltraShort MSCI Brazil
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(DWT) VelocityShares 3x Inverse Crude
(ECFPRA) Ellsworth Growth and Income Fund Ltd. 5.25 percent Series A Cumulative Preferred Shares (Liquidation
(EDC) Direxion Daily Emerging Markets Bull 3X Shares
(EDZ) Direxion Daily Emerging Markets Bear 3X Shares
(ENFR) Alerian Energy Infrastructure ETF
(ERY) Direxion Daily Energy Bear 3X Shares
(GMFL) Guggenheim Multi-Factor Large Ca
(GOAU) US Global GO Gold and Precious M
(HDMV) First Trust
(IMUC) ImmunoCellular Therapeutics, Ltd.
(OMP) Oasis Midstream Partners LP
(RODM) Hrtfrd Mltifctr Dvlpd Mkts exUS
(RUSS) Direxion Daily Russia Bear 3x Shares
(SCO) ProShares UltraShort Blrg CrdOil
(SDRL) Seadrill Limited

Date processed on 10/03/2017

Symbol Security Name
(UDOW) ProShares UltraPro Dow30
(UGA) United States Gasoline Fund LP
(UHN) United States Heating Oil Fund LP
(UVXY) ProShares Ultra VIX Short-Term F
(XOP) SPDR S&P Oil & Gas Exploration & Production ETF
(XRT) SPDR S&P Retail ETF

Date processed on 10/04/2017

Symbol Security Name
(BRZU) Direxion Daily Brazil Bull 3X Shares
(BZQ) ProShares UltraShort MSCI Brazil
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(DWT) VelocityShares 3x Inverse Crude
(ECFPRA) Ellsworth Growth and Income Fund Ltd. 5.25 percent Series A Cumulative Preferred Shares (Liquidation
(EDC) Direxion Daily Emerging Markets Bull 3X Shares
(EDZ) Direxion Daily Emerging Markets Bear 3X Shares
(ENFR) Alerian Energy Infrastructure ETF
(ERY) Direxion Daily Energy Bear 3X Shares
(FFIU) Fieldstone UVA Unconstrained Med
(FNG) AdvisorShares New Tech and Media
(GOAU) US Global GO Gold and Precious M
(HDMV) First Trust
(IMUC) ImmunoCellular Therapeutics, Ltd.
(OMP) Oasis Midstream Partners LP
(RODM) Hrtfrd Mltifctr Dvlpd Mkts exUS
(SCO) ProShares UltraShort Blrg CrdOil
(SDRL) Seadrill Limited
(UDOW) ProShares UltraPro Dow30
(UHN) United States Heating Oil Fund LP

Date processed on 10/04/2017

Symbol Security Name
(UVXY) ProShares Ultra VIX Short-Term F
(XOP) SPDR S&P Oil & Gas Exploration & Production ETF

Tickers: (UVXY), (XOP)

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