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NYSE Regulation SHO Short Sale Threshold List June 2018

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NYSE Regulation SHO Short Sale Threshold List June 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 06/01/2018

Symbol Security Name
(ERY) Direxion Daily Energy Bear 3x Shares
(ISCF) iShares Edge MSCI Multifactor Intl Small-Cap ETF
(MEXX) Direxion Daily MSCI Mexico Bull
(SDRL) SEADRILL LIMITED
(SOXS) Direxion Daily Semiconductor Bear 3X Shares
(SRTY) ProShares UltraPro Short Russell2000
(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
(UBOT) Direxion Daily Robotics, Artificial Intelligence & Automation Index Bull 3x Shares
(UNG) United States Natural Gas Fund,

Date processed on 06/04/2018

Symbol Security Name
(ERY) Direxion Daily Energy Bear 3x Shares
(ISCF) iShares Edge MSCI Multifactor Intl Small-Cap ETF
(MEXX) Direxion Daily MSCI Mexico Bull
(SDRL) SEADRILL LIMITED
(SRTY) ProShares UltraPro Short Russell2000
(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
(UBOT) Direxion Daily Robotics, Artificial Intelligence & Automation Index Bull 3x Shares
(UNG) United States Natural Gas Fund,
(USDU) WisdomTree Bloomberg U.S. Dollar Bullish Fund

Date processed on 06/05/2018

Symbol Security Name
(ERY) Direxion Daily Energy Bear 3x Shares
(ISCF) iShares Edge MSCI Multifactor Intl Small-Cap ETF
(MEXX) Direxion Daily MSCI Mexico Bull
(SRTY) ProShares UltraPro Short Russell2000
(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
(UBOT) Direxion Daily Robotics, Artificial Intelligence & Automation Index Bull 3x Shares
(UNG) United States Natural Gas Fund,
(USDU) WisdomTree Bloomberg U.S. Dollar Bullish Fund
(WMCR) Invesco Wilshire Micro-Cap ETF

Date processed on 06/06/2018

Symbol Security Name
(ERY) Direxion Daily Energy Bear 3x Shares
(ISCF) iShares Edge MSCI Multifactor Intl Small-Cap ETF
(MEXX) Direxion Daily MSCI Mexico Bull
(SRTY) ProShares UltraPro Short Russell2000
(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
(UNG) United States Natural Gas Fund,
(USDU) WisdomTree Bloomberg U.S. Dollar Bullish Fund
(WMCR) Invesco Wilshire Micro-Cap ETF

Date processed on 06/07/2018

Symbol Security Name
(EDC) Direxion Daily Emerging Markets Bull 3X Shares
(ERY) Direxion Daily Energy Bear 3x Shares
(MEXX) Direxion Daily MSCI Mexico Bull
(OGEN) Oragenics Inc.
(SRTY) ProShares UltraPro Short Russell2000
(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
(UNG) United States Natural Gas Fund,
(USDU) WisdomTree Bloomberg U.S. Dollar Bullish Fund
(WMCR) Invesco Wilshire Micro-Cap ETF

Date processed on 06/08/2018

Symbol Security Name
(ACWF) iShares Edge MSCI Multifactor Global ETF
(DBO) Invesco DB Oil Fund
(DBO) Invesco DB Oil Fund
(EDC) Direxion Daily Emerging Markets Bull 3X Shares
(EDC) Direxion Daily Emerging Markets Bull 3X Shares
(MEXX) Direxion Daily MSCI Mexico Bull
(MEXX) Direxion Daily MSCI Mexico Bull
(OGEN) Oragenics Inc.
(OGEN) Oragenics Inc.
(SDOW) ProShares UltraPro Short Dow 30
(SDOW) ProShares UltraPro Short Dow 30
(SRTY) ProShares UltraPro Short Russell2000
(SRTY) ProShares UltraPro Short Russell2000
(TECS) Direxion Daily Technology Bear 3x Shares
(TECS) Direxion Daily Technology Bear 3x Shares
(TMF) Direxion Daily 20+ Year Treasury Bull 3X Shares (based on the NYSE 20 Year Plus Treasury Bond Index;
(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
(TMV) Direxion Daily 20+ Year Treasury
(TWM) ProShares UltraShort Russell2000

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