NYSE Arca ‘Threshold’ Securities for Dec. 1
By Michael J. Munoz -
2011-12-02T00:22:00Z
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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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
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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
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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
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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
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Consecutive
Ticker Security Name Days on List
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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
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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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