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NYSE Regulation SHO Short Sale Threshold List October 2018

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NYSE Regulation SHO Short Sale Threshold List October 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 10/01/2018

Symbol Security Name
(BATT) Amplify Advanced Battery Metals and Materials ETF
(BIBL) Inspire 100 ETF
(BOUT) Innovator IBD Breakout Opportunities ETF
(BSCQ) Invesco BulletShares 2026 Corporate Bond ETF
(BSCR) Invesco BulletShares 2027 Corporate Bond ETF
(CRAK) VanEck Vectors Oil Refiners ETF
(DOG) ProShares Short Dow30
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(DWT) VelocityShares 3x Inverse Crude
(DXD) ProShares UltraShort Dow 30
(ERY) Direxion Daily Energy Bear 3x Shares
(GLDM) SPDR Gold MiniShares
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(LQDH) iShares Interest Rate Hedged Corporate Bond ETF
(MJ) ETFMG Alternative Harvest ETF
(OILD) ProShares UltraPro 3x Short Crud
(PEXL) Pacer US Export Leaders ETF
(RUSS) Direxion Daily Russia Bear 3x Shares
(SDOW) ProShares UltraPro Short Dow 30
(SMH) VanEck Vectors Semiconductor ETF

Date processed on 10/01/2018

Symbol Security Name
(SOXS) Direxion Daily Semiconductor Bear 3X Shares
(SVXY) ProShares Short VIX Short-Term Futures ETF
(TBT) ProShares Trust UltraShort Lehman 20+ Year Treasury
(TNA) Direxion Daily Small Cap Bull 3X Shares
(UCON) First Trust TCW Unconstrained Plus Bond ETF

Date processed on 10/02/2018

Symbol Security Name
(BATT) Amplify Advanced Battery Metals and Materials ETF
(BIBL) Inspire 100 ETF
(BOUT) Innovator IBD Breakout Opportunities ETF
(BSCQ) Invesco BulletShares 2026 Corporate Bond ETF
(BSCR) Invesco BulletShares 2027 Corporate Bond ETF
(CRAK) VanEck Vectors Oil Refiners ETF
(CWH) Camping World Holdings, Inc.
(DOG) ProShares Short Dow30
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(DWT) VelocityShares 3x Inverse Crude
(DXD) ProShares UltraShort Dow 30
(ERY) Direxion Daily Energy Bear 3x Shares
(EXI) iShares Global Industrials ETF
(GLDM) SPDR Gold MiniShares
(HYG) iShares iBoxx $ High Yield Corporate Bond ETF
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(LQDH) iShares Interest Rate Hedged Corporate Bond ETF
(MJ) ETFMG Alternative Harvest ETF
(OILD) ProShares UltraPro 3x Short Crud
(PEXL) Pacer US Export Leaders ETF

Date processed on 10/02/2018

Symbol Security Name
(RUSS) Direxion Daily Russia Bear 3x Shares
(SDOW) ProShares UltraPro Short Dow 30
(SOXS) Direxion Daily Semiconductor Bear 3X Shares
(SVXY) ProShares Short VIX Short-Term Futures ETF
(TBT) ProShares Trust UltraShort Lehman 20+ Year Treasury
(TNA) Direxion Daily Small Cap Bull 3X Shares
(UCON) First Trust TCW Unconstrained Plus Bond ETF

Date processed on 10/03/2018

Symbol Security Name
(BATT) Amplify Advanced Battery Metals and Materials ETF
(BNO) United States Brent Oil Fund, LP
(BOUT) Innovator IBD Breakout Opportunities ETF
(BSCR) Invesco BulletShares 2027 Corporate Bond ETF
(CRAK) VanEck Vectors Oil Refiners ETF
(CWH) Camping World Holdings, Inc.
(DOG) ProShares Short Dow30
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(DWT) VelocityShares 3x Inverse Crude
(DXD) ProShares UltraShort Dow 30
(ERY) Direxion Daily Energy Bear 3x Shares
(EWI) iShares MSCI Italy ETF
(EXI) iShares Global Industrials ETF
(GLDM) SPDR Gold MiniShares
(HCXY) Hercules Capital, Inc. 6.25% Notes due 2033
(HYG) iShares iBoxx $ High Yield Corporate Bond ETF
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(LQDH) iShares Interest Rate Hedged Corporate Bond ETF
(MJ) ETFMG Alternative Harvest ETF
(OILD) ProShares UltraPro 3x Short Crud

Date processed on 10/03/2018

Symbol Security Name
(PEXL) Pacer US Export Leaders ETF
(RUSS) Direxion Daily Russia Bear 3x Shares
(SDOW) ProShares UltraPro Short Dow 30
(SOXS) Direxion Daily Semiconductor Bear 3X Shares
(SVXY) ProShares Short VIX Short-Term Futures ETF
(TBT) ProShares Trust UltraShort Lehman 20+ Year Treasury
(TNA) Direxion Daily Small Cap Bull 3X Shares

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