NYSE Arca ‘Threshold’ Securities for Sept. 28

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
=====================================================================
AGQ     ProShares Ultra Silver                                    33
AOK     iShares S&P Conservative Allocation Fund                  13
AOM     iShares S&P Moderate Allocation Fund                       1
AOR     iShares S&P Growth Allocation Fund                         8
BDCS    UBS AG Exchange Traded Access Securities E-TRACS           1
BGU     Direxion Daily Large Cap Bull 3X Shares                   55
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                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
BGZ     Direxion Daily Large Cap Bear 3X Shares                   59
BOS     PowerShares DB Base Metals Short ETN                      11
BRAQ    Global X Brazil Consumer ETF                               7
BSCG    Guggenheim BulletShares 2016 Corporate Bond ETF            5
DFE     WisdomTree Europe SmallCap Dividend Fund                   5
DIA     SPDR Dow Jones Industrial Average ETF Trust                1
DOG     ProShares Short Dow30                                     19
DOL     WisdomTree International LargeCap Dividend Fund            3
DOO     WisdomTree International Dividend Ex-Financials           25
DRN     Direxion Daily Real Estate Bull 3x Shares                 85
DRV     Direxion Daily Real Estate Bear 3x Shares                 56
DUG     ProShares UltraShort Oil & Gas                            62
DUST    Direxion Daily Gold Miners Bear 2x Shares                 15
DXD     ProShares UltraShort Dow30                                13
EDIV    SPDR S&P Emerging Markets Dividend ETF                    11
EDZ     Direxion Daily Emerging Markets Bear 3X Shares           133
EEV     ProShares UltraShort MSCI Emerging Markets                31
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                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
EPV     ProShares UltraShort MSCI Europe                          23
ERX     Direxion Daily Energy Bull 3X Shares                      52
ERY     Direxion Daily Energy Bear 3X Shares                     105
EZU     iShares MSCI EMU Index Fund                                8
FAS     Direxion Daily Financial Bull 3X Shares                  362
FAZ     Direxion Daily Financial Bear 3X Shares                  145
FXE     CurrencyShares Euro Trust                                 76
FXY     CurrencyShares Japanese Yen Trust                         33
GASL    Direxion Daily Natural Gas Related Bull 2X Share          43
GLJ     iShares 10+ Year Government/Credit Bond Fund               1
HDGE    Active Bear ETF/The                                        4
IST     SPDR S&P International Telecommunications Sector           4
IWL     iShares Russell Top 200 Index Fund                         5
IWO     iShares Russell 2000 Growth Index Fund                     8
IYM     iShares Dow Jones US Basic Materials Sector Inde           5
IYT     iShares Dow Jones Transportation Average Index F           5
KBE     SPDR KBW Bank ETF                                          2
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
KRE     SPDR KBW Regional Banking ETF                             33
LBJ     Direxion Daily Latin America Bull 3X Shares                4
MWJ     Direxion Daily Mid Cap Bull 3X Shares                     35
MZZ     ProShares UltraShort MidCap400                            39
NASI    Pax MSCI North America ESG Index ETF                       3
PZA     PowerShares Insured National Municipal Bond Port           2
RBL     SPDR S&P Russia ETF                                        8
REK     ProShares Short Real Estate                               21
RKH     Regional Bank HOLDRs Trust                                 6
SCHZ    Schwab U.S. Aggregate Bond ETF                            13
SCO     ProShares UltraShort DJ-UBS Crude Oil                     27
SDS     ProShares UltraShort S&P500                               31
SEA     Guggenheim Shipping ETF                                   16
SEF     ProShares Short Financials                                20
SKF     ProShares UltraShort Financials                           51
SOXL    Direxion Daily Semiconductors Bull 3x Shares              10
SOXS    Direxion Daily Semiconductors Bear 3x Shares              11
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
SPXU    ProShares UltraPro Short S&P 500                          58
SRS     ProShares UltraShort Real Estate                          31
SRTY    ProShares UltraPro Short Russell2000                      13
TLO     SPDR Barclays Capital Long Term Treasury ETF               5
TMF     Direxion Daily 20 Year Plus Treasury Bull 3x Sha          84
TMV     Direxion Daily 20 Year Plus Treasury Bear 3x Sha          36
TNA     Direxion Daily Small Cap Bull 3X Shares                  126
TVIX    VelocityShares Daily 2x VIX Short Term ETN                33
TWM     ProShares UltraShort Russell2000                           2
TYH     Direxion Daily Technology Bull 3X Shares                  27
TYP     Direxion Daily Technology Bear 3X Shares                  47
TZA     Direxion Daily Small Cap Bear 3X Shares                  109
TZE     iShares S&P Target Date 2015 Index Fund                    1
UBT     ProShares Ultra 20+ Year Treasury                          1
UCO     ProShares Ultra DJ-UBS Crude Oil                           1
UDN     PowerShares DB US Dollar Index Bearish Fund               33
URTY    ProShares UltraPro Russell2000                            10
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
USO     United States Oil Fund LP                                 17
XLB     Materials Select Sector SPDR Fund                         38
XLF     Financial Select Sector SPDR Fund                         12
XOP     SPDR S&P Oil & Gas Exploration & Production ETF           99
XPP     ProShares Ultra FTSE China 25                              1
XXV     iPath Inverse S&P 500 VIX Short-Term Futures ETN          38
YXI     ProShares Short FTSE China 25                             10
ZIV     VelocityShares Daily Inverse VIX Medium Term ETN          13
ZSL     ProShares UltraShort Silver                               23
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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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