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NYSE Regulation SHO Short Sale Threshold List January 2018

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NYSE Regulation SHO Short Sale Threshold List January 2018

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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 01/02/2018

Symbol Security Name
(CJNK) SPDR ICE BofAML Crossover Corpor
(COPX) Global X Copper Miners ETF
(DPW) DPW Holdings, Inc.
(DWT) VelocityShares 3x Inverse Crude
(EBND) SPDR Bloomberg Barclays Emerging
(ERY) Direxion Daily Energy Bear 3X Shares
(EWN) iShares MSCI Netherlands Investable Market Index Fund
(FXI) iShares FTSE China 25 Index Fund
(GIGU) GigCapital, Inc.
(IBND) SPDR Bloomberg Barclays Internat
(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
(SMH) Market Vectors Semiconductor ETF
(TMF) Direxion Daily 20 Year Plus Treasury Bull 3x Shares
(TMV) Direxion Daily 20+ Year Treasury
(UDN) PowerShares DB US Dollar Index Bearish Fund
(URTY) ProShares UltraPro Russell2000
(USO) United States Oil Fund, LP

Date processed on 01/02/2018

Symbol Security Name
(UVXY) ProShares Ultra VIX Short-Term F
(UWT) VelocityShares3x Long Crude Oil
(XOP) SPDR S&P Oil & Gas Exploration & Production ETF

Tickers: (UVXY), (UWT), (XOP)

Date processed on 01/03/2018

Symbol Security Name
(CJNK) SPDR ICE BofAML Crossover Corpor
(COPX) Global X Copper Miners ETF
(DIVY) Reality Shares DIVS ETF
(DPW) DPW Holdings, Inc.
(DWT) VelocityShares 3x Inverse Crude
(ERY) Direxion Daily Energy Bear 3X Shares
(GIGU) GigCapital, Inc.
(IBND) SPDR Bloomberg Barclays Internat
(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
(SMH) Market Vectors Semiconductor ETF
(SOXS) Direxion Daily Semiconductors Bear 3x Shares
(TMF) Direxion Daily 20 Year Plus Treasury Bull 3x Shares
(TMV) Direxion Daily 20+ Year Treasury
(UDN) PowerShares DB US Dollar Index Bearish Fund
(URTH) iShares MSCI World Index Fund/US
(URTY) ProShares UltraPro Russell2000
(USO) United States Oil Fund, LP

Date processed on 01/03/2018

Symbol Security Name
(UVXY) ProShares Ultra VIX Short-Term F
(UWT) VelocityShares3x Long Crude Oil
(XOP) SPDR S&P Oil & Gas Exploration & Production ETF

Tickers: (UVXY), (UWT), (XOP)

Date processed on 01/04/2018

Symbol Security Name
(COPX) Global X Copper Miners ETF
(DIVY) Reality Shares DIVS ETF
(DPW) DPW Holdings, Inc.
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(DWT) VelocityShares 3x Inverse Crude
(ERY) Direxion Daily Energy Bear 3X Shares
(GIGU) GigCapital, Inc.
(IBND) SPDR Bloomberg Barclays Internat
(IYR) iShares Dow Jones US Real Estate Index Fund
(JNUG) Direxion Daily Junior Gold Miners Index Bull 3x Shares
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(LFEQ) Van Eck Vectors NDR CMG Long/Fla
(NUGT) Direxion Daily Gold Miners Bull 3x Shares
(OILD) ProShares UltraPro 3x Short Crud
(SMH) Market Vectors Semiconductor ETF
(SOXS) Direxion Daily Semiconductors Bear 3x Shares
(TMF) Direxion Daily 20 Year Plus Treasury Bull 3x Shares
(TMV) Direxion Daily 20+ Year Treasury
(UDN) PowerShares DB US Dollar Index Bearish Fund
(URTH) iShares MSCI World Index Fund/US

Date processed on 01/04/2018

Symbol Security Name
(URTY) ProShares UltraPro Russell2000
(USO) United States Oil Fund, LP
(UVXY) ProShares Ultra VIX Short-Term F
(UWT) VelocityShares3x Long Crude Oil
(XOP) SPDR S&P Oil & Gas Exploration & Production ETF

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