NYSE Arca ’Threshold’ Securities for June 10
By Michael J. Munoz -
2011-06-13T03:45:56Z
The following is a list of “threshold securities” from the New York Stock Exchange Arca, published daily in compliance with the U.S. Securities and Exchange Commission’s Regulation SHO.
The list consists of stocks for which sellers failed to deliver 10,000 shares or more in the past five trading days and the level of “fails” is a minimum of 0.5 percent of the shares outstanding. Securities are listed alphabetically by ticker.
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Consecutive
Ticker Security Name Days on List
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AGA PowerShares DB Agriculture Double Short ETN 8
BGU Direxion Daily Large Cap Bull 3X Shares 1
BGZ Direxion Daily Large Cap Bear 3X Shares 32
BKLN PowerShares Senior Loan Portfolio 1
BNZ WisdomTree New Zealand Dollar Fund 1
BSCG Guggenheim BulletShares 2016 Corporate Bond ETF 4
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Consecutive
Ticker Security Name Days on List
=====================================================================
CCX WisdomTree Dreyfus Commodity Currency Fund 5
CZM Direxion Daily China 3X Bull Shares 7
DRN Direxion Daily Real Estate Bull 3x Shares 9
DRV Direxion Daily Real Estate Bear 3x Shares 6
DWX SPDR S&P International Dividend ETF 4
EATX Global X Food ETF 3
ECON Emerging Global Shares Dow Jones Emerging Market 2
EDZ Direxion Daily Emerging Markets Bear 3X Shares 57
EIDO iSHARES MSCI Indonesia Investable Market Index F 20
ERY Direxion Daily Energy Bear 3X Shares 29
ESR iShares MSCI Emerging Markets Eastern Europe Ind 1
EZM WisdomTree MidCap Earnings Fund 3
FAS Direxion Daily Financial Bull 3X Shares 286
FAZ Direxion Daily Financial Bear 3X Shares 69
FPX First Trust US IPO Index Fund 2
GXG Global X FTSE Colombia 20 ETF 2
HDV iShares High Dividend Equity Fund 4
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Consecutive
Ticker Security Name Days on List
=====================================================================
HYD Market Vectors High Yield Municipal Index ETF 13
IYF iShares Dow Jones US Financial Sector Index Fund 17
LVL Guggenheim S&P Global Dividend Opportunities Ind 27
MLPN Credit Suisse Cushing 30 MLP Index ETN 12
NASI Pax MSCI North America ESG Index ETF 1
NUGT Direxion Daily Gold Miners Bull 2x Shares 10
PAO PowerShares RiverFront Tactical Balanced Growth 5
PSQ ProShares Short QQQ 12
QID ProShares UltraShort QQQ 29
RWO SPDR Dow Jones Global Real Estate ETF 1
RWV RevenueShares Navellier Overall A-100 Fund 4
SCHO Schwab Short-Term U.S. Treasury ETF 5
SKF ProShares UltraShort Financials 15
SMH Semiconductor HOLDRs Trust 30
SMN ProShares UltraShort Basic Materials 24
SOIL Global X Fertilizers/Potash ETF 4
SPXU ProShares UltraPro Short S&P 500 4
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Consecutive
Ticker Security Name Days on List
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SUB iShares S&P Short Term National AMT-Free Municip 5
SZO PowerShares DB Crude Oil Short ETN 1
TMF Direxion Daily 20 Year Plus Treasury Bull 3x Sha 8
TNA Direxion Daily Small Cap Bull 3X Shares 50
TVIX VelocityShares Daily 2x VIX Short Term ETN 5
TWM ProShares UltraShort Russell2000 15
TZA Direxion Daily Small Cap Bear 3X Shares 33
UCO ProShares Ultra DJ-UBS Crude Oil 43
UPRO ProShares UltraPro S&P 500 16
URTY ProShares UltraPro Russell2000 8
USO United States Oil Fund LP 23
VIXM ProShares VIX Mid-Term Futures ETF 20
VXZ iPATH S&P 500 VIX Mid-Term Futures ETN 14
VZZ iPath Long Enhanced S&P 500 VIX Mid-Term Futures 38
XIV VelocityShares Daily Inverse VIX Short Term ETN 13
XLI Industrial Select Sector SPDR Fund 13
XLY Consumer Discretionary Select Sector SPDR Fund 12
XME SPDR S&P Metals & Mining ETF 19
XOP SPDR S&P Oil & Gas Exploration & Production ETF 23
XRT SPDR S&P Retail ETF 63
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NOTE: For more information on threshold securities, see:
http://www.sec.gov/spotlight/keyregshoissues.htm
SOURCE: New York Stock Exchange
To contact the reporter on this story: Michael J. Munoz in Hong Kong at mjmunoz@bloomberg.net
To contact the editor responsible for this story: Alex Tanzi at atanzi@bloomberg.net
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