Breaking News

Tweet TWEET

NYSE Arca ‘Threshold’ Securities for Dec. 1

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                   7
AOM     iShares S&P Moderate Allocation Fund                      27
BTAL    QuantShares US Market Neutral Anti-Beta Fund               2
DIG     ProShares Ultra Oil & Gas                                  3
DUG     ProShares UltraShort Oil & Gas                            12
DUST    Direxion Daily Gold Miners Bear 2x Shares                  8
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
DWM     WisdomTree DEFA Fund                                       1
EDC     Direxion Daily Emerging Markets Bull 3X Shares             7
EDV     Vanguard Extended Duration Treasury ETF                    1
EDZ     Direxion Daily Emerging Markets Bear 3X Shares           175
EEV     ProShares UltraShort MSCI Emerging Markets                73
EFU     ProShares UltraShort MSCI EAFE                             4
EFZ     ProShares Short MSCI EAFE                                 11
EPV     ProShares UltraShort MSCI Europe                          65
EQL     ALPS Equal Sector Weight ETF                              14
ERX     Direxion Daily Energy Bull 3X Shares                      94
ERY     Direxion Daily Energy Bear 3X Shares                     147
FAS     Direxion Daily Financial Bull 3X Shares                    8
FAZ     Direxion Daily Financial Bear 3X Shares                  187
FEP     First Trust Europe AlphaDEX Fund                           4
GMM     SPDR S&P Emerging Markets ETF                              6
GWL     SPDR S&P World ex-US ETF                                   3
INDL    Direxion Daily India Bull 2x Shares                        1
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
ITR     SPDR Barclays Capital Intermediate Term Corporat           6
LAG     SPDR Barclays Capital Aggregate Bond ETF                   6
LVL     Guggenheim S&P Global Dividend Opportunities Ind          19
MLN     Market Vectors Long Municipal Index ETF                    4
MVV     ProShares Ultra MidCap400                                 34
NUGT    Direxion Daily Gold Miners Bull 2x Shares                 14
PFIG    PowerShares Fundamental Investment Grade Corpora           1
PKW     PowerShares Buyback Achievers Portfolio                    1
PSQ     ProShares Short QQQ                                       10
RETL    Direxion Daily Retail Bull 2X Shares                      11
REW     ProShares UltraShort Technology                            1
RTH     Retail HOLDRs Trust                                       40
RTL     iShares FTSE NAREIT Retail Capped Index Fund               2
SCHD    Schwab US Dividend Equity ETF                             21
SCHR    Schwab Intermediate-Term U.S. Treasury ETF                 1
SCO     ProShares UltraShort DJ-UBS Crude Oil                     11
SEF     ProShares Short Financials                                 2
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
SMH     Semiconductor HOLDRs Trust                                 4
SMN     ProShares UltraShort Basic Materials                       2
SOXL    Direxion Daily Semiconductors Bull 3x Shares               2
SSG     ProShares UltraShort Semiconductors                        3
SVXY    ProShares Short VIX Short-Term Futures ETF                13
TMF     Direxion Daily 20 Year Plus Treasury Bull 3x Sha         126
TNA     Direxion Daily Small Cap Bull 3X Shares                  168
TVIX    VelocityShares Daily 2x VIX Short Term ETN                75
TWM     ProShares UltraShort Russell2000                           3
TYP     Direxion Daily Technology Bear 3X Shares                  12
TZA     Direxion Daily Small Cap Bear 3X Shares                  151
UGLD    VelocityShares 3x Long Gold ETN linked to the S&          13
UHN     United States Heating Oil Fund LP                          6
UMDD    ProShares UltraPro MidCap400                               3
UPW     ProShares Ultra Utilities                                 10
USO     United States Oil Fund LP                                 59
UTH     Utilities HOLDRs Trust                                    14
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
UVXY    ProShares Ultra VIX Short-Term Futures ETF                16
UWM     ProShares Ultra Russell2000                               17
WDTI    WisdomTree Managed Futures Strategy Fund                   1
XLB     Materials Select Sector SPDR Fund                          5
XLF     Financial Select Sector SPDR Fund                          2
XLI     Industrial Select Sector SPDR Fund                         1
ZSL     ProShares UltraShort Silver                               65
=====================================================================
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

Press spacebar to pause and continue. Press esc to stop.

Bloomberg reserves the right to remove comments but is under no obligation to do so, or to explain individual moderation decisions.

Please enable JavaScript to view the comments powered by Disqus.