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NYSE ‘Threshold’ Securities for Nov. 1

The following is a list of “threshold securities” from the New York Stock Exchange, 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 Days
Ticker Security Name                                       on List
==================================================================
DGW    Duoyuan Global Water Inc                                 25
FIF    First Trust Energy Infrastructure Fund                   17
GAT    Georgia Power Co                                          9
JKS    JinkoSolar Holding Co Ltd                                18
LDK    LDK Solar Co Ltd                                         13
UTA    Universal Travel Group                                   44
==================================================================
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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