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NYSE Regulation SHO Short Sale Threshold List December 2017

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NYSE Regulation SHO Short Sale Threshold List December 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 12/01/2017

Symbol Security Name
(DCF) Dreyfus Alcentra Glb Cr Inc 2024
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(EFU) ProShares UltraShort MSCI EAFE
(IRL) The New Ireland Fund
(JNUG) Direxion Daily Junior Gold Miners Index Bull 3x Shares
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(OILD) ProShares UltraPro 3x Short Crud
(QGTA) IQ Leaders GTAA Tracker ETF
(SCO) ProShares UltraShort Blrg CrdOil
(TEUM) Pareteum Corporation
(URTY) ProShares UltraPro Russell2000
(USNA) Usana Health Sciences
(USO) United States Oil Fund, LP
(UVXY) ProShares Ultra VIX Short-Term F
(UWM) ProShares Ultra Russell2000

Date processed on 12/04/2017

Symbol Security Name
(DCF) Dreyfus Alcentra Glb Cr Inc 2024
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(EFU) ProShares UltraShort MSCI EAFE
(JNUG) Direxion Daily Junior Gold Miners Index Bull 3x Shares
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(NUGT) Direxion Daily Gold Miners Bull 3x Shares
(OILD) ProShares UltraPro 3x Short Crud
(QGTA) IQ Leaders GTAA Tracker ETF
(SCO) ProShares UltraShort Blrg CrdOil
(TEUM) Pareteum Corporation
(URTY) ProShares UltraPro Russell2000
(USNA) Usana Health Sciences
(USO) United States Oil Fund, LP
(UVXY) ProShares Ultra VIX Short-Term F
(UWM) ProShares Ultra Russell2000

Date processed on 12/05/2017

Symbol Security Name
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(FPEI) First Trust Institutional Prefer
(JNUG) Direxion Daily Junior Gold Miners Index Bull 3x Shares
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(NUGT) Direxion Daily Gold Miners Bull 3x Shares
(OILD) ProShares UltraPro 3x Short Crud
(QGTA) IQ Leaders GTAA Tracker ETF
(SCO) ProShares UltraShort Blrg CrdOil
(TEUM) Pareteum Corporation
(URTY) ProShares UltraPro Russell2000
(USNA) Usana Health Sciences
(USO) United States Oil Fund, LP
(UVXY) ProShares Ultra VIX Short-Term F
(UWM) ProShares Ultra Russell2000
(VTEB) Vanguard Tax-Exempt Bond ETF

Date processed on 12/06/2017

Symbol Security Name
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(FLRN) SPDR Invstmnt Grd Float Rate ETF
(FPEI) First Trust Institutional Prefer
(JNUG) Direxion Daily Junior Gold Miners Index Bull 3x Shares
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(NUGT) Direxion Daily Gold Miners Bull 3x Shares
(OILD) ProShares UltraPro 3x Short Crud
(QGTA) IQ Leaders GTAA Tracker ETF
(SCO) ProShares UltraShort Blrg CrdOil
(SPTS) SPDR Portfolio Short Term Treasu
(TEUM) Pareteum Corporation
(URTY) ProShares UltraPro Russell2000
(USNA) Usana Health Sciences
(USO) United States Oil Fund, LP
(UVXY) ProShares Ultra VIX Short-Term F
(UWM) ProShares Ultra Russell2000
(VTEB) Vanguard Tax-Exempt Bond ETF

Date processed on 12/07/2017

Symbol Security Name
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(DSUM) PowerShares Chinese Yuan Dim Sum Bond Portfolio
(FLRN) SPDR Invstmnt Grd Float Rate ETF
(FPEI) First Trust Institutional Prefer
(IDEV) iShares Core MSCI International
(JNUG) Direxion Daily Junior Gold Miners Index Bull 3x Shares
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(NUGT) Direxion Daily Gold Miners Bull 3x Shares
(OILD) ProShares UltraPro 3x Short Crud
(QGTA) IQ Leaders GTAA Tracker ETF
(SCO) ProShares UltraShort Blrg CrdOil
(SPTS) SPDR Portfolio Short Term Treasu
(TEUM) Pareteum Corporation
(URTY) ProShares UltraPro Russell2000
(USNA) Usana Health Sciences
(USO) United States Oil Fund, LP
(UVXY) ProShares Ultra VIX Short-Term F
(UWM) ProShares Ultra Russell2000
(VTEB) Vanguard Tax-Exempt Bond ETF

Date processed on 12/08/2017

Symbol Security Name
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(DSUM) PowerShares Chinese Yuan Dim Sum Bond Portfolio
(ERY) Direxion Daily Energy Bear 3X Shares
(FLRN) SPDR Invstmnt Grd Float Rate ETF
(FPEI) First Trust Institutional Prefer
(HEWP) iShares Currency Hedged MSCI Spain ETF
(IBND) SPDR Bloomberg Barclays Internat
(IDEV) iShares Core MSCI International
(JNUG) Direxion Daily Junior Gold Miners Index Bull 3x Shares
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(NUGT) Direxion Daily Gold Miners Bull 3x Shares
(SPTS) SPDR Portfolio Short Term Treasu
(URTY) ProShares UltraPro Russell2000
(USNA) Usana Health Sciences
(USO) United States Oil Fund, LP
(UVXY) ProShares Ultra VIX Short-Term F
(UWM) ProShares Ultra Russell2000
(VTEB) Vanguard Tax-Exempt Bond ETF

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