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NYSE Regulation SHO Short Sale Threshold List September 2018

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NYSE Regulation SHO Short Sale Threshold List September 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 09/04/2018

Symbol Security Name
(COMG) GraniteShares S&P GSCI Commodity
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(EUO) ProShares UltraShort Euro
(GBR) New Concept Energy Inc
(IGC) India Globalization Capital, Inc.
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(PEXL) Pacer US Export Leaders ETF
(SMH) VanEck Vectors Semiconductor ETF
(SOGO) Sogou Inc. American Depositary Shares, each representing one ClaSS A Ordinary Share
(SOXS) Direxion Daily Semiconductor Bear 3X Shares
(SRTY) ProShares UltraPro Short Russell2000
(TIS) Orchids Paper Products, Inc.
(TMV) Direxion Daily 20+ Year Treasury
(TWM) ProShares UltraShort Russell2000

Date processed on 09/05/2018

Symbol Security Name
(COMG) GraniteShares S&P GSCI Commodity
(CVM) Cel-Sci Corporation
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(EUO) ProShares UltraShort Euro
(GBR) New Concept Energy Inc
(IGC) India Globalization Capital, Inc.
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(MJ) ETFMG Alternative Harvest ETF
(PEXL) Pacer US Export Leaders ETF
(SMH) VanEck Vectors Semiconductor ETF
(SOGO) Sogou Inc. American Depositary Shares, each representing one ClaSS A Ordinary Share
(SOXS) Direxion Daily Semiconductor Bear 3X Shares
(SRTY) ProShares UltraPro Short Russell2000
(TIS) Orchids Paper Products, Inc.
(TMV) Direxion Daily 20+ Year Treasury

Date processed on 09/06/2018

Symbol Security Name
(AUSF) Global X Adaptive U.S. Factor ETF
(COMG) GraniteShares S&P GSCI Commodity
(CVM) Cel-Sci Corporation
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(EUO) ProShares UltraShort Euro
(GBR) New Concept Energy Inc
(IGC) India Globalization Capital, Inc.
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(MJ) ETFMG Alternative Harvest ETF
(OILD) ProShares UltraPro 3x Short Crud
(PEXL) Pacer US Export Leaders ETF
(SMH) VanEck Vectors Semiconductor ETF
(SOGO) Sogou Inc. American Depositary Shares, each representing one ClaSS A Ordinary Share
(SOXS) Direxion Daily Semiconductor Bear 3X Shares
(SRTY) ProShares UltraPro Short Russell2000
(TIS) Orchids Paper Products, Inc.
(TMV) Direxion Daily 20+ Year Treasury

Date processed on 09/07/2018

Symbol Security Name
(AUSF) Global X Adaptive U.S. Factor ETF
(COMG) GraniteShares S&P GSCI Commodity
(CVM) Cel-Sci Corporation
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(EUO) ProShares UltraShort Euro
(GBR) New Concept Energy Inc
(HCLP) HI-CRUSH PARTNERS LP
(IGC) India Globalization Capital, Inc.
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(MJ) ETFMG Alternative Harvest ETF
(OILD) ProShares UltraPro 3x Short Crud
(PEXL) Pacer US Export Leaders ETF
(SMH) VanEck Vectors Semiconductor ETF
(SOGO) Sogou Inc. American Depositary Shares, each representing one ClaSS A Ordinary Share
(SOXS) Direxion Daily Semiconductor Bear 3X Shares
(SRTY) ProShares UltraPro Short Russell2000
(TIS) Orchids Paper Products, Inc.

Date processed on 09/10/2018

Symbol Security Name
(COMG) GraniteShares S&P GSCI Commodity
(CVM) Cel-Sci Corporation
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(EUO) ProShares UltraShort Euro
(GBR) New Concept Energy Inc
(HCLP) HI-CRUSH PARTNERS LP
(IGC) India Globalization Capital, Inc.
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(MJ) ETFMG Alternative Harvest ETF
(OILD) ProShares UltraPro 3x Short Crud
(PEXL) Pacer US Export Leaders ETF
(SMH) VanEck Vectors Semiconductor ETF
(SOGO) Sogou Inc. American Depositary Shares, each representing one ClaSS A Ordinary Share
(SOXS) Direxion Daily Semiconductor Bear 3X Shares
(SRTY) ProShares UltraPro Short Russell2000
(TIS) Orchids Paper Products, Inc.

Date processed on 09/11/2018

Symbol Security Name
(COMG) GraniteShares S&P GSCI Commodity
(CVM) Cel-Sci Corporation
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(EUO) ProShares UltraShort Euro
(GBR) New Concept Energy Inc
(HCLP) HI-CRUSH PARTNERS LP
(IGC) India Globalization Capital, Inc.
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(MJ) ETFMG Alternative Harvest ETF
(OILD) ProShares UltraPro 3x Short Crud
(PEXL) Pacer US Export Leaders ETF
(SMH) VanEck Vectors Semiconductor ETF
(SOGO) Sogou Inc. American Depositary Shares, each representing one ClaSS A Ordinary Share
(SOXS) Direxion Daily Semiconductor Bear 3X Shares
(SRTY) ProShares UltraPro Short Russell2000
(TIS) Orchids Paper Products, Inc.
(TMF) Direxion Daily 20+ Year Treasury Bull 3X Shares (based on the NYSE 20 Year Plus Treasury Bond Index;
(UCON) First Trust TCW Unconstrained Plus Bond ETF

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