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NYSE Regulation SHO Short Sale Threshold List November 2018

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NYSE Regulation SHO Short Sale Threshold List November 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 11/01/2018

Symbol Security Name
(BSCR) Invesco BulletShares 2027 Corporate Bond ETF
(COMB) GraniteShares Bloomberg Commodit
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(FDM) First Trust Dow Jones Select Microcap Index Fund
(FPEI) First Trust Institutional Prefer
(FXP) ProShares UltraShort FTSE China 50 of ProShares Trust
(GLDM) SPDR Gold MiniShares
(HAWX) iShares Currency Hedged MSCI ACWI ex U.S. ETF
(HCLP) HI-CRUSH PARTNERS LP
(JQUA) JPMorgan U.S. Quality Factor ETF
(NCZPRA) AllianzGI Convertible & Income Fund II 5.50% Series A Cumulative Preferred Shares (Liquidation Prefe
(PLAG) Planet Green Holdings Corp.
(QID) ProShares UltraShort QQQ
(RODM) Hartford Multifactor Developed Markets (ex-US) ETF
(TMV) Direxion Daily 20+ Year Treasury
(UVXY) ProShares Ultra VIX Short-Term Futures ETF
(VIXY) ProShares VIX Short-Term Futures
(XRT) SPDR S&P Retail ETF
(YINN) Direxion Daily FTSE China Bull 3X Shares

Date processed on 11/02/2018

Symbol Security Name
(COMB) GraniteShares Bloomberg Commodit
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(FDM) First Trust Dow Jones Select Microcap Index Fund
(FPEI) First Trust Institutional Prefer
(FXB) Invesco CurrencyShares British Pound Sterling Trust
(FXP) ProShares UltraShort FTSE China 50 of ProShares Trust
(GLDM) SPDR Gold MiniShares
(HAWX) iShares Currency Hedged MSCI ACWI ex U.S. ETF
(HCLP) HI-CRUSH PARTNERS LP
(ISCF) iShares Edge MSCI Multifactor Intl Small-Cap ETF
(JQUA) JPMorgan U.S. Quality Factor ETF
(NCZPRA) AllianzGI Convertible & Income Fund II 5.50% Series A Cumulative Preferred Shares (Liquidation Prefe
(PLAG) Planet Green Holdings Corp.
(QID) ProShares UltraShort QQQ
(RODM) Hartford Multifactor Developed Markets (ex-US) ETF
(TMV) Direxion Daily 20+ Year Treasury
(UAVS) AgEagle Aerial Systems, Inc.
(UVXY) ProShares Ultra VIX Short-Term Futures ETF
(VIXY) ProShares VIX Short-Term Futures
(XRT) SPDR S&P Retail ETF

Date processed on 11/02/2018

Symbol Security Name
(YINN) Direxion Daily FTSE China Bull 3X Shares

Tickers: (YINN)

Date processed on 11/05/2018

Symbol Security Name
(COMB) GraniteShares Bloomberg Commodit
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(EMES) EMERGE ENERGY SERVICES LP
(FDM) First Trust Dow Jones Select Microcap Index Fund
(FPEI) First Trust Institutional Prefer
(FXB) Invesco CurrencyShares British Pound Sterling Trust
(FXP) ProShares UltraShort FTSE China 50 of ProShares Trust
(GLDM) SPDR Gold MiniShares
(HAWX) iShares Currency Hedged MSCI ACWI ex U.S. ETF
(ISCF) iShares Edge MSCI Multifactor Intl Small-Cap ETF
(JQUA) JPMorgan U.S. Quality Factor ETF
(PLAG) Planet Green Holdings Corp.
(QID) ProShares UltraShort QQQ
(RODM) Hartford Multifactor Developed Markets (ex-US) ETF
(TMV) Direxion Daily 20+ Year Treasury
(UAVS) AgEagle Aerial Systems, Inc.
(UVXY) ProShares Ultra VIX Short-Term Futures ETF
(VIXM) ProShares VIX Mid-Term Futures ETF
(VIXY) ProShares VIX Short-Term Futures
(XRT) SPDR S&P Retail ETF

Date processed on 11/05/2018

Symbol Security Name
(YINN) Direxion Daily FTSE China Bull 3X Shares

Tickers: (YINN)

Date processed on 11/06/2018

Symbol Security Name
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(EMES) EMERGE ENERGY SERVICES LP
(EWZ) iShares MSCI Brazil ETF
(FDM) First Trust Dow Jones Select Microcap Index Fund
(FPEI) First Trust Institutional Prefer
(FXB) Invesco CurrencyShares British Pound Sterling Trust
(FXP) ProShares UltraShort FTSE China 50 of ProShares Trust
(GLDM) SPDR Gold MiniShares
(HAWX) iShares Currency Hedged MSCI ACWI ex U.S. ETF
(ISCF) iShares Edge MSCI Multifactor Intl Small-Cap ETF
(JQUA) JPMorgan U.S. Quality Factor ETF
(PBS) Invesco Dynamic Media ETF
(PLAG) Planet Green Holdings Corp.
(QID) ProShares UltraShort QQQ
(RODM) Hartford Multifactor Developed Markets (ex-US) ETF
(TMV) Direxion Daily 20+ Year Treasury
(UAVS) AgEagle Aerial Systems, Inc.
(UVXY) ProShares Ultra VIX Short-Term Futures ETF
(VIXM) ProShares VIX Mid-Term Futures ETF
(XRT) SPDR S&P Retail ETF

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