NYSE Arca ‘Threshold’ Securities for Dec. 14

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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AADR    WCM/BNY Mellon Focused Growth ADR ETF                      2
AGQ     ProShares Ultra Silver                                     3
AOK     iShares S&P Conservative Allocation Fund                   4
BGU     Direxion Daily Large Cap Bull 3X Shares                    4
BGZ     Direxion Daily Large Cap Bear 3X Shares                    4
BSCH    Guggenheim BulletShares 2017 Corporate Bond ETF            2
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                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
DSUM    PowerShares Chinese Yuan Dim Sum Bond Portfolio            7
DUG     ProShares UltraShort Oil & Gas                            21
DUST    Direxion Daily Gold Miners Bear 2x Shares                 17
ECON    EGShares Emerging Markets Consumer ETF                     6
EDC     Direxion Daily Emerging Markets Bull 3X Shares            16
EDZ     Direxion Daily Emerging Markets Bear 3X Shares           184
EEV     ProShares UltraShort MSCI Emerging Markets                82
EPV     ProShares UltraShort MSCI Europe                          74
ERX     Direxion Daily Energy Bull 3X Shares                     103
ERY     Direxion Daily Energy Bear 3X Shares                     156
FAS     Direxion Daily Financial Bull 3X Shares                   17
FAZ     Direxion Daily Financial Bear 3X Shares                  196
FEM     First Trust Emerging Markets AlphaDEX Fund                 9
FXY     CurrencyShares Japanese Yen Trust                          6
HAO     Guggenheim China Small Cap ETF                             5
IPAL    VelocityShares 2x Palladium ETN linked to S&P GS           4
IPU     SPDR S&P International Utilities Sector ETF                7
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                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
ITM     Market Vectors Intermediate Municipal ETF                  2
LHB     Direxion Daily Latin America Bear 3X Shares                2
NUGT    Direxion Daily Gold Miners Bull 2x Shares                 23
PTO     PowerShares Ibbotson Alternative Completion Port           5
RHS     Rydex S&P Equal Weight Consumer Staples ETF                2
RTH     Retail HOLDRs Trust                                       49
SCHD    Schwab US Dividend Equity ETF                             30
SCHM    Schwab U.S. Mid-Cap ETF                                    5
SCHZ    Schwab U.S. Aggregate Bond ETF                             5
SDOW    ProShares UltraPro Short Dow30                             4
SKF     ProShares UltraShort Financials                            5
SMH     Semiconductor HOLDRs Trust                                13
SOXS    Direxion Daily Semiconductors Bear 3x Shares               2
SVXY    ProShares Short VIX Short-Term Futures ETF                22
TMF     Direxion Daily 20 Year Plus Treasury Bull 3x Sha         135
TMV     Direxion Daily 20 Year Plus Treasury Bear 3x Sha           9
TNA     Direxion Daily Small Cap Bull 3X Shares                  177
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                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
TVIX    VelocityShares Daily 2x VIX Short Term ETN                84
TYP     Direxion Daily Technology Bear 3X Shares                   1
TZA     Direxion Daily Small Cap Bear 3X Shares                  160
UGLD    VelocityShares 3x Long Gold ETN linked to the S&          22
URTY    ProShares UltraPro Russell2000                             7
USLV    VelocityShares 3x Long Silver ETN linked to the            5
USO     United States Oil Fund LP                                 68
UVXY    ProShares Ultra VIX Short-Term Futures ETF                25
VIIX    VelocityShares VIX Short Term ETN                          5
XLB     Materials Select Sector SPDR Fund                         14
XLI     Industrial Select Sector SPDR Fund                        10
XPH     SPDR S&P Pharmaceuticals ETF                               1
ZSL     ProShares UltraShort Silver                               74
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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