NYSE Arca ’Threshold’ Securities for July 8
By Michael J. Munoz -
2011-07-11T09:14:39Z
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.
=====================================================================
Consecutive
Ticker Security Name Days on List
=====================================================================
AOK iShares S&P Conservative Allocation Fund 8
BGZ Direxion Daily Large Cap Bear 3X Shares 2
BKLN PowerShares Senior Loan Portfolio 6
BSCE Guggenheim BulletShares 2014 Corporate Bond ETF 4
BSCF Guggenheim BulletShares 2015 Corporate Bond ETF 9
DHS WisdomTree Equity Income Fund 4
=====================================================================
Consecutive
Ticker Security Name Days on List
=====================================================================
DRN Direxion Daily Real Estate Bull 3x Shares 28
DUG ProShares UltraShort Oil & Gas 5
DUST Direxion Daily Gold Miners Bear 2x Shares 5
EDZ Direxion Daily Emerging Markets Bear 3X Shares 76
EQL ALPS Equal Sector Weight ETF 7
ERY Direxion Daily Energy Bear 3X Shares 48
ESR iShares MSCI Emerging Markets Eastern Europe Ind 1
FAS Direxion Daily Financial Bull 3X Shares 305
FAZ Direxion Daily Financial Bear 3X Shares 88
FBT First Trust NYSE Arca Biotechnology Index Fund 8
FRI First Trust S&P REIT Index Fund 5
FXE CurrencyShares Euro Trust 19
FXF CurrencyShares Swiss Franc Trust 19
FXY CurrencyShares Japanese Yen Trust 10
HDV iShares High Dividend Equity Fund 23
IBND SPDR Barclays Capital International Corporate Bo 5
IEI iShares Barclays 3-7 Year Treasury Bond Fund 5
=====================================================================
Consecutive
Ticker Security Name Days on List
=====================================================================
IEO iShares Dow Jones US Oil & Gas Exploration & Pro 8
IHF iShares Dow Jones US Healthcare Providers Index 10
IYM iShares Dow Jones US Basic Materials Sector Inde 19
IYT iShares Dow Jones Transportation Average Index F 8
KCE SPDR KBW Capital Markets ETF 4
MLN Market Vectors Long Municipal Index ETF 11
MUAC iShares 2014 S&P AMT-Free Municipal Series 1
MWN Direxion Daily Mid Cap Bear 3x Shares 5
NFO Guggenheim Insider Sentiment ETF 2
PIZ PowerShares DWA Developed Markets Technical Lead 2
PPA PowerShares Aerospace & Defense Portfolio 14
PSQ ProShares Short QQQ 31
PSR PowerShares Active US Real Estate Fund 5
PXSG PowerShares Fundamental Pure Small Growth Portfo 7
QID ProShares UltraShort QQQ 48
RALS ProShares RAFI Long/Short 3
REK ProShares Short Real Estate 17
=====================================================================
Consecutive
Ticker Security Name Days on List
=====================================================================
SBB ProShares Short SmallCap600 1
SDIV Global X SuperDividend ETF 12
SDOW ProShares UltraPro Short Dow30 2
SMH Semiconductor HOLDRs Trust 49
SOIL Global X Fertilizers/Potash ETF 7
SOXS Direxion Daily Semiconductors Bear 3x Shares 2
SPLV PowerShares S&P 500 Low Volatility Portfolio 14
SPXU ProShares UltraPro Short S&P 500 1
SRS ProShares UltraShort Real Estate 16
SRTY ProShares UltraPro Short Russell2000 5
TBZ ProShares UltraShort 3-7 Treasury 5
TMF Direxion Daily 20 Year Plus Treasury Bull 3x Sha 27
TNA Direxion Daily Small Cap Bull 3X Shares 69
TVIX VelocityShares Daily 2x VIX Short Term ETN 24
TVIZ VelocityShares Daily 2x VIX Medium Term ETN 18
TWM ProShares UltraShort Russell2000 34
TZA Direxion Daily Small Cap Bear 3X Shares 52
=====================================================================
Consecutive
Ticker Security Name Days on List
=====================================================================
UCO ProShares Ultra DJ-UBS Crude Oil 62
UPRO ProShares UltraPro S&P 500 35
USO United States Oil Fund LP 42
UST ProShares Ultra 7-10 Year Treasury 11
UWM ProShares Ultra Russell2000 15
VIIX VelocityShares VIX Short Term ETN 2
XME SPDR S&P Metals & Mining ETF 38
XOP SPDR S&P Oil & Gas Exploration & Production ETF 42
XRT SPDR S&P Retail ETF 82
=====================================================================
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
Sponsored Link
Rate this Page
Bloomberg moderates all comments. Comments that are abusive or off-topic will not be posted to the site. Excessively long comments may be moderated as well. Bloomberg cannot facilitate requests to remove comments or explain individual moderation decisions.