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NYSE Regulation SHO Short Sale Threshold List March 2018

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NYSE Regulation SHO Short Sale Threshold List March 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 03/01/2018

Symbol Security Name
(BZQ) ProShares UltraShort MSCI Brazil
(DOG) ProShares Short Dow30
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(DXD) ProShares UltraShort Dow30
(ERY) Direxion Daily Energy Bear 3X Shares
(EURL) Direxion Daily FTSE Europe Bull 3x Shares
(EWN) iShares MSCI Netherlands Investable Market Index Fund
(FAZ) Direxion Daily Financial Bear 3X Shares
(GASL) Direxion Daily Natural Gas Related Bull 3X Shares
(GLL) ProShares UltraShort Gold
(HYG) iShares iBoxx $ High Yield Corporate Bond ETF
(JCAPPR)B Jernigan Capital, Inc.
(JNK) SPDR High Yield Bond ETF
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(OILU) ProShares UltraPro 3x Crude Oil
(RORE) Hartford Multifactor REIT
(SDOW) ProShares UltraPro Short Dow30
(SPXU) ProShares UltraPro Short S&P 500
(TLH) iShares Barclays 10-20 Year Treasury Bond Fund

Date processed on 03/01/2018

Symbol Security Name
(TMF) Direxion Daily 20 Year Plus Treasury Bull 3x Shares
(TZA) Direxion Daily Small Cap Bear 3X Shares
(URTY) ProShares UltraPro Russell2000
(UVXY) ProShares Ultra VIX Short-Term F
(UWT) VelocityShares3x Long Crude Oil
(WBIA) WBI Tactical SMGD Shares
(WBIE) WBI Tactical LCGD Shares
(XLP) Consumer Staples Select Sector SPDR Fund
(XSOE) Wisdomtree Emerging Markets EX-State-Owned Enterprises Fund
(YANG) Direxion Daily China 3X Bear Shares

Date processed on 03/02/2018

Symbol Security Name
(BZQ) ProShares UltraShort MSCI Brazil
(DOG) ProShares Short Dow30
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(DXD) ProShares UltraShort Dow30
(ERY) Direxion Daily Energy Bear 3X Shares
(EURL) Direxion Daily FTSE Europe Bull 3x Shares
(EWN) iShares MSCI Netherlands Investable Market Index Fund
(FAZ) Direxion Daily Financial Bear 3X Shares
(GASL) Direxion Daily Natural Gas Related Bull 3X Shares
(GLL) ProShares UltraShort Gold
(HYG) iShares iBoxx $ High Yield Corporate Bond ETF
(JCAPPR)B Jernigan Capital, Inc.
(JNK) SPDR High Yield Bond ETF
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(OILD) ProShares UltraPro 3x Short Crud
(RORE) Hartford Multifactor REIT
(SDOW) ProShares UltraPro Short Dow30
(SPXU) ProShares UltraPro Short S&P 500
(SRTY) ProShares UltraPro Short Russell2000
(THD) iShares MSCI Thailand ETF

Date processed on 03/02/2018

Symbol Security Name
(TLH) iShares Barclays 10-20 Year Treasury Bond Fund
(TMF) Direxion Daily 20 Year Plus Treasury Bull 3x Shares
(TZA) Direxion Daily Small Cap Bear 3X Shares
(URTY) ProShares UltraPro Russell2000
(UVXY) ProShares Ultra VIX Short-Term F
(UWT) VelocityShares3x Long Crude Oil
(WBIA) WBI Tactical SMGD Shares
(WBIE) WBI Tactical LCGD Shares
(XSOE) Wisdomtree Emerging Markets EX-State-Owned Enterprises Fund
(YANG) Direxion Daily China 3X Bear Shares

Date processed on 03/05/2018

Symbol Security Name
(DOG) ProShares Short Dow30
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(DXD) ProShares UltraShort Dow30
(ERY) Direxion Daily Energy Bear 3X Shares
(EURL) Direxion Daily FTSE Europe Bull 3x Shares
(GASL) Direxion Daily Natural Gas Related Bull 3X Shares
(GLL) ProShares UltraShort Gold
(HYG) iShares iBoxx $ High Yield Corporate Bond ETF
(JNK) SPDR High Yield Bond ETF
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(OILD) ProShares UltraPro 3x Short Crud
(RORE) Hartford Multifactor REIT
(SDOW) ProShares UltraPro Short Dow30
(SPTS) SPDR Portfolio Short Term Treasu
(SPXU) ProShares UltraPro Short S&P 500
(SRTY) ProShares UltraPro Short Russell2000
(THD) iShares MSCI Thailand ETF
(TMF) Direxion Daily 20 Year Plus Treasury Bull 3x Shares
(TZA) Direxion Daily Small Cap Bear 3X Shares
(URTY) ProShares UltraPro Russell2000

Date processed on 03/05/2018

Symbol Security Name
(UVXY) ProShares Ultra VIX Short-Term F
(UWT) VelocityShares3x Long Crude Oil
(WBIA) WBI Tactical SMGD Shares
(WBIE) WBI Tactical LCGD Shares
(XSOE) Wisdomtree Emerging Markets EX-State-Owned Enterprises Fund
(YANG) Direxion Daily China 3X Bear Shares

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