NYSE Arca ‘Threshold’ Securities for Jan. 9

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                                    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
=====================================================================
                                                        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
=====================================================================
                                                        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
=====================================================================
                                                        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
=====================================================================
                                                        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
=====================================================================
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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