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NYSE Regulation SHO Short Sale Threshold List May 2018

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NYSE Regulation SHO Short Sale Threshold List May 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 05/01/2018

Symbol Security Name
(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
(FIDI) Fidelity International High Divi
(GIGB) Goldman Sachs Access Investment Grade Corporate Bond ETF
(HYG) iShares iBoxx $ High Yield Corporate Bond ETF
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(RODM) Hartford Multifactor Developed Markets (ex-US) ETF
(SOXS) Direxion Daily Semiconductor Bear 3X Shares
(SPXU) ProShares UltraPro Short S&P 500
(SRTY) ProShares UltraPro Short Russell2000
(TWM) ProShares UltraShort Russell2000
(UNG) United States Natural Gas Fund,
(USFR) WisdomTree Bloomberg Floating Rate Treasury Fund
(VIXY) ProShares VIX Short-Term Futures

Date processed on 05/02/2018

Symbol Security Name
(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
(GIGB) Goldman Sachs Access Investment Grade Corporate Bond ETF
(HYG) iShares iBoxx $ High Yield Corporate Bond ETF
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(RODM) Hartford Multifactor Developed Markets (ex-US) ETF
(SOXS) Direxion Daily Semiconductor Bear 3X Shares
(SPXU) ProShares UltraPro Short S&P 500
(SRTY) ProShares UltraPro Short Russell2000
(TWM) ProShares UltraShort Russell2000
(UNG) United States Natural Gas Fund,
(USFR) WisdomTree Bloomberg Floating Rate Treasury Fund
(VIXY) ProShares VIX Short-Term Futures

Date processed on 05/03/2018

Symbol Security Name
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(ERY) Direxion Daily Energy Bear 3x Shares
(GIGB) Goldman Sachs Access Investment Grade Corporate Bond ETF
(HYG) iShares iBoxx $ High Yield Corporate Bond ETF
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(RODM) Hartford Multifactor Developed Markets (ex-US) ETF
(SOXS) Direxion Daily Semiconductor Bear 3X Shares
(SPXU) ProShares UltraPro Short S&P 500
(SRTY) ProShares UltraPro Short Russell2000
(TWM) ProShares UltraShort Russell2000
(UNG) United States Natural Gas Fund,
(USFR) WisdomTree Bloomberg Floating Rate Treasury Fund
(VIXY) ProShares VIX Short-Term Futures

Date processed on 05/04/2018

Symbol Security Name
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(EPHE) iShares MSCI Philippines ETF
(ERY) Direxion Daily Energy Bear 3x Shares
(HYG) iShares iBoxx $ High Yield Corporate Bond ETF
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(RODM) Hartford Multifactor Developed Markets (ex-US) ETF
(SOXS) Direxion Daily Semiconductor Bear 3X Shares
(SPXU) ProShares UltraPro Short S&P 500
(SRTY) ProShares UltraPro Short Russell2000
(TWM) ProShares UltraShort Russell2000
(UNG) United States Natural Gas Fund,
(USFR) WisdomTree Bloomberg Floating Rate Treasury Fund
(VIXY) ProShares VIX Short-Term Futures

Date processed on 05/07/2018

Symbol Security Name
(EPHE) iShares MSCI Philippines ETF
(ERY) Direxion Daily Energy Bear 3x Shares
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(RODM) Hartford Multifactor Developed Markets (ex-US) ETF
(RORE) Hartford Multifactor REIT ETF
(SOXS) Direxion Daily Semiconductor Bear 3X Shares
(SPXU) ProShares UltraPro Short S&P 500
(SRTY) ProShares UltraPro Short Russell2000
(TWM) ProShares UltraShort Russell2000
(UNG) United States Natural Gas Fund,
(USFR) WisdomTree Bloomberg Floating Rate Treasury Fund
(VIXY) ProShares VIX Short-Term Futures

Date processed on 05/08/2018

Symbol Security Name
(EPHE) iShares MSCI Philippines ETF
(ERY) Direxion Daily Energy Bear 3x Shares
(EUM) ProShares Trust Short MSCI Emerging Markets
(FLTR) VanEck Vectors Investment Grade
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(RORE) Hartford Multifactor REIT ETF
(SOXS) Direxion Daily Semiconductor Bear 3X Shares
(SPXU) ProShares UltraPro Short S&P 500
(SRTY) ProShares UltraPro Short Russell2000
(TWM) ProShares UltraShort Russell2000
(UNG) United States Natural Gas Fund,
(USFR) WisdomTree Bloomberg Floating Rate Treasury Fund
(VIXY) ProShares VIX Short-Term Futures

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