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NYSE Arca ‘Threshold’ Securities for Dec. 30

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                                    14
AOK     iShares S&P Conservative Allocation Fund                  15
AOM     iShares S&P Moderate Allocation Fund                       7
BGU     Direxion Daily Large Cap Bull 3X Shares                   15
BGZ     Direxion Daily Large Cap Bear 3X Shares                   15
BSCH    Guggenheim BulletShares 2017 Corporate Bond ETF           13
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
CLY     iShares 10+ Year Credit Bond Fund                          9
DDM     ProShares Ultra Dow30                                      8
DIG     ProShares Ultra Oil & Gas                                  5
DOG     ProShares Short Dow30                                      1
DRV     Direxion Daily Real Estate Bear 3x Shares                  1
EDC     Direxion Daily Emerging Markets Bull 3X Shares            27
EDZ     Direxion Daily Emerging Markets Bear 3X Shares           195
EEV     ProShares UltraShort MSCI Emerging Markets                93
EFZ     ProShares Short MSCI EAFE                                  5
ERY     Direxion Daily Energy Bear 3X Shares                     167
EWZS    iShares MSCI Brazil Small Cap Index Fund                   5
FAS     Direxion Daily Financial Bull 3X Shares                   28
FAZ     Direxion Daily Financial Bear 3X Shares                  207
FDT     First Trust Developed Markets ex-US AlphaDEX Fun           7
FEZ     SPDR EURO STOXX 50 ETF                                    11
GREK    Global X FTSE Greece 20 ETF                                7
GRES    IQ Global Resources ETF                                    3
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
IEO     iShares Dow Jones US Oil & Gas Exploration & Pro           1
IYF     iShares Dow Jones US Financial Sector Index Fund           1
IYT     iShares Dow Jones Transportation Average Index F           4
KBWR    PowerShares KBW Regional Banking Portfolio                 3
KRE     SPDR S&P Regional Banking ETF                              3
LVL     Guggenheim S&P Global Dividend Opportunities Ind           2
MLN     Market Vectors Long Municipal Index ETF                   10
PKW     PowerShares Buyback Achievers Portfolio                    5
PSQ     ProShares Short QQQ                                        4
PXH     PowerShares FTSE RAFI Emerging Markets Portfolio           5
SCHD    Schwab US Dividend Equity ETF                             41
SCHE    Schwab Emerging Markets Equity ETF                         6
SKF     ProShares UltraShort Financials                           16
SRS     ProShares UltraShort Real Estate                           6
SVXY    ProShares Short VIX Short-Term Futures ETF                33
TAO     Guggenheim China Real Estate ETF                           5
TMF     Direxion Daily 20 Year Plus Treasury Bull 3x Sha         146
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
TMV     Direxion Daily 20 Year Plus Treasury Bear 3x Sha          20
TNA     Direxion Daily Small Cap Bull 3X Shares                  188
TVIX    VelocityShares Daily 2x VIX Short Term ETN                95
TZA     Direxion Daily Small Cap Bear 3X Shares                  171
UCO     ProShares Ultra DJ-UBS Crude Oil                           5
UMDD    ProShares UltraPro MidCap400                               2
URTY    ProShares UltraPro Russell2000                            18
USLV    VelocityShares 3x Long Silver ETN linked to the           16
USO     United States Oil Fund LP                                 79
UST     ProShares Ultra 7-10 Year Treasury                         5
UVXY    ProShares Ultra VIX Short-Term Futures ETF                36
VIXM    ProShares VIX Mid-Term Futures ETF                         8
XHB     SPDR S&P Homebuilders ETF                                  5
XLB     Materials Select Sector SPDR Fund                         25
XLI     Industrial Select Sector SPDR Fund                        21
XLY     Consumer Discretionary Select Sector SPDR Fund             4
ZSL     ProShares UltraShort Silver                               85
=====================================================================
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: Sarina Yoo in Seoul at kyoo3@bloomberg.net

To contact the editor responsible for this story: Alex Tanzi at atanzi@bloomberg.net

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