NYSE Arca ‘Threshold’ Securities for Jan. 9
By Michael J. Munoz -
2012-01-10T00:32:08Z
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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AGQ ProShares Ultra Silver 19
AGZ iShares Barclays Agency Bond Fund 3
AOM iShares S&P Moderate Allocation Fund 12
BGU Direxion Daily Large Cap Bull 3X Shares 20
BGZ Direxion Daily Large Cap Bear 3X Shares 20
BSJD Guggenheim BulletShares 2013 High Yield Corporat 5
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Consecutive
Ticker Security Name Days on List
=====================================================================
CONG Russell Consistent Growth ETF 4
DDM ProShares Ultra Dow30 13
DEF Guggenheim Defensive Equity ETF 5
DES WisdomTree SmallCap Dividend Fund 2
DOG ProShares Short Dow30 6
DRV Direxion Daily Real Estate Bear 3x Shares 6
DSI iShares MSCI KLD 400 Social Index Fund 5
DUST Direxion Daily Gold Miners Bear 3x Shares 1
EDC Direxion Daily Emerging Markets Bull 3X Shares 32
EDZ Direxion Daily Emerging Markets Bear 3X Shares 200
EEV ProShares UltraShort MSCI Emerging Markets 98
ERY Direxion Daily Energy Bear 3X Shares 172
FAS Direxion Daily Financial Bull 3X Shares 33
FAZ Direxion Daily Financial Bear 3X Shares 212
FDT First Trust Developed Markets ex-US AlphaDEX Fun 12
FEM First Trust Emerging Markets AlphaDEX Fund 4
FEZ SPDR EURO STOXX 50 ETF 16
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Consecutive
Ticker Security Name Days on List
=====================================================================
FGD First Trust DJ Global Select Dividend Index Fund 2
GBF iShares Barclays Government/Credit Bond Fund 2
GRES IQ Global Resources ETF 8
HYS PIMCO 0-5 Year High Yield Corporate Bond Index F 2
IEO iShares Dow Jones US Oil & Gas Exploration & Pro 6
IPFF iShares S&P International Preferred Stock Index 5
IYC iShares Dow Jones US Consumer Services Sector In 4
IYF iShares Dow Jones US Financial Sector Index Fund 6
KLD iShares MSCI USA ESG Select Social Index Fund 5
LVL Guggenheim S&P Global Dividend Opportunities Ind 7
MLPN Credit Suisse Cushing 30 MLP Index ETN 3
MORT Market Vectors Mortgage REIT Income ETF 2
PKW PowerShares Buyback Achievers Portfolio 10
PPA PowerShares Aerospace & Defense Portfolio 5
PPH Market Vectors Pharmaceutical ETF/New 1
PSJ Powershares Dynamic Software Portfolio 3
PSQ ProShares Short QQQ 9
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Consecutive
Ticker Security Name Days on List
=====================================================================
RJN ELEMENTS Linked to the Rogers International Comm 2
RSXJ Market Vectors Russia Small-Cap ETF 2
RWO SPDR Dow Jones Global Real Estate ETF 4
SCHD Schwab US Dividend Equity ETF 46
SCHE Schwab Emerging Markets Equity ETF 11
SCHH Schwab U.S. REIT ETF 4
SKF ProShares UltraShort Financials 21
SRS ProShares UltraShort Real Estate 11
SVXY ProShares Short VIX Short-Term Futures ETF 38
TMF Direxion Daily 20 Year Plus Treasury Bull 3x Sha 151
TNA Direxion Daily Small Cap Bull 3X Shares 193
TVIX VelocityShares Daily 2x VIX Short Term ETN 100
TZA Direxion Daily Small Cap Bear 3X Shares 176
UDOW ProShares UltraPro Dow30 2
UMDD ProShares UltraPro MidCap400 7
URE ProShares Ultra Real Estate 4
URTY ProShares UltraPro Russell2000 23
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Consecutive
Ticker Security Name Days on List
=====================================================================
USLV VelocityShares 3x Long Silver ETN linked to the 21
USO United States Oil Fund LP 84
UVXY ProShares Ultra VIX Short-Term Futures ETF 41
VOOG Vanguard S&P 500 Growth ETF 2
XHB SPDR S&P Homebuilders ETF 10
XLI Industrial Select Sector SPDR Fund 26
XMPT Market Vectors CEF Municipal Income ETF 4
XSD SPDR S&P Semiconductor ETF 5
ZSL ProShares UltraShort Silver 90
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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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