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NYSE Regulation SHO Short Sale Threshold List November 2017

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NYSE Regulation SHO Short Sale Threshold List November 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 11/01/2017

Symbol Security Name
(AIEQ) AI Powered Equity ETF
(CMCM) Cheetah Mobile Inc.
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(DWT) VelocityShares 3x Inverse Crude
(FPEI) First Trust Institutional Prefer
(FXE) CurrencyShares Euro Trust
(IMUC) ImmunoCellular Therapeutics, Ltd.
(JHMA) John Hancock Multifactor Materials ETF
(JNUG) Direxion Daily Junior Gold Miners Index Bull 3x Shares
(NSPR) InspireMD, Inc.
(NUGT) Direxion Daily Gold Miners Bull 3x Shares
(OILD) ProShares UltraPro 3x Short Crud
(RIV) RiverNorth Opportunities Fund
(SCO) ProShares UltraShort Blrg CrdOil
(SDOW) ProShares UltraPro Short Dow30
(SPLPPR)A Steel Partners Holdings L.P.
(TNA) Direxion Daily Small Cap Bull 3X Shares
(UCO) ProShares Ultra Bloomberg Crude
(UDOW) ProShares UltraPro Dow30
(URTY) ProShares UltraPro Russell2000

Date processed on 11/01/2017

Symbol Security Name
(UVXY) ProShares Ultra VIX Short-Term F
(UWM) ProShares Ultra Russell2000

Tickers: (UVXY), (UWM)

Date processed on 11/02/2017

Symbol Security Name
(AIEQ) AI Powered Equity ETF
(CMCM) Cheetah Mobile Inc.
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(DWT) VelocityShares 3x Inverse Crude
(FPEI) First Trust Institutional Prefer
(FXE) CurrencyShares Euro Trust
(IMUC) ImmunoCellular Therapeutics, Ltd.
(JHMA) John Hancock Multifactor Materials ETF
(JNUG) Direxion Daily Junior Gold Miners Index Bull 3x Shares
(LIT) Global X Lithium & Battery Tech
(NSPR) InspireMD, Inc.
(NUGT) Direxion Daily Gold Miners Bull 3x Shares
(OILD) ProShares UltraPro 3x Short Crud
(RIV) RiverNorth Opportunities Fund
(SACH) Sachem Capital Corp. Common Shares
(SCO) ProShares UltraShort Blrg CrdOil
(SDOW) ProShares UltraPro Short Dow30
(TNA) Direxion Daily Small Cap Bull 3X Shares
(UCO) ProShares Ultra Bloomberg Crude
(UDOW) ProShares UltraPro Dow30

Date processed on 11/02/2017

Symbol Security Name
(URTY) ProShares UltraPro Russell2000
(UVXY) ProShares Ultra VIX Short-Term F
(UWM) ProShares Ultra Russell2000

Tickers: (URTY), (UVXY), (UWM)

Date processed on 11/03/2017

Symbol Security Name
(AIEQ) AI Powered Equity ETF
(CMCM) Cheetah Mobile Inc.
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(DWT) VelocityShares 3x Inverse Crude
(FPEI) First Trust Institutional Prefer
(FXE) CurrencyShares Euro Trust
(IMUC) ImmunoCellular Therapeutics, Ltd.
(JHMA) John Hancock Multifactor Materials ETF
(LIT) Global X Lithium & Battery Tech
(NSPR) InspireMD, Inc.
(NUGT) Direxion Daily Gold Miners Bull 3x Shares
(OILD) ProShares UltraPro 3x Short Crud
(RIV) RiverNorth Opportunities Fund
(SACH) Sachem Capital Corp. Common Shares
(SCO) ProShares UltraShort Blrg CrdOil
(SDOW) ProShares UltraPro Short Dow30
(SMH) Market Vectors Semiconductor ETF
(TNA) Direxion Daily Small Cap Bull 3X Shares
(UCO) ProShares Ultra Bloomberg Crude
(UDOW) ProShares UltraPro Dow30

Date processed on 11/03/2017

Symbol Security Name
(URTY) ProShares UltraPro Russell2000
(UVXY) ProShares Ultra VIX Short-Term F
(UWM) ProShares Ultra Russell2000

Tickers: (URTY), (UVXY), (UWM)

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