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NYSE Regulation SHO Short Sale Threshold List April 2018

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NYSE Regulation SHO Short Sale Threshold List April 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 04/02/2018

Symbol Security Name
(ERY) Direxion Daily Energy Bear 3x Shares
(FRN) Guggenheim Frontier Markets ETF
(FXP) ProShares UltraShort FTSE China 25
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(OILD) ProShares UltraPro 3x Short Crud
(SDOW) ProShares UltraPro Short Dow 30
(SPXU) ProShares UltraPro Short S&P 500
(SZC) THE CUSHING RENAISSANCE FUND
(TMF) Direxion Daily 20+ Year Treasury Bull 3X Shares (based on the NYSE 20 Year Plus Treasury Bond Index;
(TWM) ProShares UltraShort RuSSell2000
(UVXY) ProShares Ultra VIX Short-Term F
(UWM) ProShares Ultra RuSSell2000
(VIXY) ProShares VIX Short-Term Futures
(XRT) SPDR S&P Retail ETF
(YANG) Direxion Daily FTSE China Bear 3X Shares

Date processed on 04/03/2018

Symbol Security Name
(ERY) Direxion Daily Energy Bear 3x Shares
(FRN) Guggenheim Frontier Markets ETF
(FXC) Currencyshares Canadian Dollar Trust
(FXP) ProShares UltraShort FTSE China 25
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(PXSG) PowerShares RuSSell 2000 Pure Growth Portfolio???
(SDOW) ProShares UltraPro Short Dow 30
(SPXU) ProShares UltraPro Short S&P 500
(SZC) THE CUSHING RENAISSANCE FUND
(TMF) Direxion Daily 20+ Year Treasury Bull 3X Shares (based on the NYSE 20 Year Plus Treasury Bond Index;
(TWM) ProShares UltraShort RuSSell2000
(UWM) ProShares Ultra RuSSell2000
(VIXY) ProShares VIX Short-Term Futures
(XRT) SPDR S&P Retail ETF
(YANG) Direxion Daily FTSE China Bear 3X Shares
(ZROZ) PIMCO 25+ Year Zero Coupon U.S.

Date processed on 04/04/2018

Symbol Security Name
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(ERY) Direxion Daily Energy Bear 3x Shares
(FRN) Guggenheim Frontier Markets ETF
(FXC) Currencyshares Canadian Dollar Trust
(FXP) ProShares UltraShort FTSE China 25
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(PXSG) PowerShares RuSSell 2000 Pure Growth Portfolio???
(SDOW) ProShares UltraPro Short Dow 30
(SPXU) ProShares UltraPro Short S&P 500
(TMF) Direxion Daily 20+ Year Treasury Bull 3X Shares (based on the NYSE 20 Year Plus Treasury Bond Index;
(TWM) ProShares UltraShort RuSSell2000
(UWM) ProShares Ultra RuSSell2000
(VIXY) ProShares VIX Short-Term Futures
(XRT) SPDR S&P Retail ETF
(YANG) Direxion Daily FTSE China Bear 3X Shares
(ZROZ) PIMCO 25+ Year Zero Coupon U.S.

Date processed on 04/05/2018

Symbol Security Name
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(ERY) Direxion Daily Energy Bear 3x Shares
(FRN) Guggenheim Frontier Markets ETF
(FXC) Currencyshares Canadian Dollar Trust
(FXP) ProShares UltraShort FTSE China 25
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(PXSG) PowerShares RuSSell 2000 Pure Growth Portfolio???
(SDOW) ProShares UltraPro Short Dow 30
(SPXU) ProShares UltraPro Short S&P 500
(TMF) Direxion Daily 20+ Year Treasury Bull 3X Shares (based on the NYSE 20 Year Plus Treasury Bond Index;
(TMV) Direxion Daily 20+ Year Treasury
(TWM) ProShares UltraShort RuSSell2000
(UWM) ProShares Ultra RuSSell2000
(VIXY) ProShares VIX Short-Term Futures
(XRT) SPDR S&P Retail ETF
(YANG) Direxion Daily FTSE China Bear 3X Shares
(ZROZ) PIMCO 25+ Year Zero Coupon U.S.

Date processed on 04/06/2018

Symbol Security Name
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(ERY) Direxion Daily Energy Bear 3x Shares
(FRN) Guggenheim Frontier Markets ETF
(FXC) Currencyshares Canadian Dollar Trust
(FXP) ProShares UltraShort FTSE China 25
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(PXSG) PowerShares RuSSell 2000 Pure Growth Portfolio???
(SDOW) ProShares UltraPro Short Dow 30
(SPXU) ProShares UltraPro Short S&P 500
(TMF) Direxion Daily 20+ Year Treasury Bull 3X Shares (based on the NYSE 20 Year Plus Treasury Bond Index;
(TMV) Direxion Daily 20+ Year Treasury
(TWM) ProShares UltraShort RuSSell2000
(UWM) ProShares Ultra RuSSell2000
(VIXY) ProShares VIX Short-Term Futures
(XRT) SPDR S&P Retail ETF
(YANG) Direxion Daily FTSE China Bear 3X Shares
(ZROZ) PIMCO 25+ Year Zero Coupon U.S.

Date processed on 04/09/2018

Symbol Security Name
(DPK) Direxion Daily Developed Markets Bear 3X Shares
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(ERY) Direxion Daily Energy Bear 3x Shares
(FRN) PowerShares Frontier Markets Portfolio
(FXC) Currencyshares Canadian Dollar Trust
(FXP) ProShares UltraShort FTSE China 25
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(PXSG) PowerShares RuSSell 2000 Pure Growth Portfolio???
(SDOW) ProShares UltraPro Short Dow 30
(SPXU) ProShares UltraPro Short S&P 500
(TMF) Direxion Daily 20+ Year Treasury Bull 3X Shares (based on the NYSE 20 Year Plus Treasury Bond Index;
(TMV) Direxion Daily 20+ Year Treasury
(TWM) ProShares UltraShort RuSSell2000
(USFR) WisdomTree Bloomberg Floating Rate Treasury Fund
(UWM) ProShares Ultra RuSSell2000
(VIXY) ProShares VIX Short-Term Futures
(XRT) SPDR S&P Retail ETF
(ZROZ) PIMCO 25+ Year Zero Coupon U.S.

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