NYSE Arca ‘Threshold’ Securities for Jan. 10
By Michael J. Munoz -
2012-01-11T02:10:43Z
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 20
AGZ iShares Barclays Agency Bond Fund 4
AOM iShares S&P Moderate Allocation Fund 13
BGU Direxion Daily Large Cap Bull 3X Shares 21
BGZ Direxion Daily Large Cap Bear 3X Shares 21
BSJD Guggenheim BulletShares 2013 High Yield Corporat 6
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Consecutive
Ticker Security Name Days on List
=====================================================================
CONG Russell Consistent Growth ETF 5
DDM ProShares Ultra Dow30 14
DEF Guggenheim Defensive Equity ETF 6
DES WisdomTree SmallCap Dividend Fund 3
DOG ProShares Short Dow30 7
DRV Direxion Daily Real Estate Bear 3x Shares 7
DSI iShares MSCI KLD 400 Social Index Fund 6
DUST Direxion Daily Gold Miners Bear 3x Shares 2
EDC Direxion Daily Emerging Markets Bull 3X Shares 33
EDZ Direxion Daily Emerging Markets Bear 3X Shares 201
EEMV iShares MSCI Emerging Markets Minimum Volatility 1
EEV ProShares UltraShort MSCI Emerging Markets 99
ERY Direxion Daily Energy Bear 3X Shares 173
FAS Direxion Daily Financial Bull 3X Shares 34
FAZ Direxion Daily Financial Bear 3X Shares 213
FDT First Trust Developed Markets ex-US AlphaDEX Fun 13
FEM First Trust Emerging Markets AlphaDEX Fund 5
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Consecutive
Ticker Security Name Days on List
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FEZ SPDR EURO STOXX 50 ETF 17
FGD First Trust DJ Global Select Dividend Index Fund 3
FPA First Trust Asia Pacific ex-Japan AlphaDEX Fund 1
GBF iShares Barclays Government/Credit Bond Fund 3
GRES IQ Global Resources ETF 9
HYS PIMCO 0-5 Year High Yield Corporate Bond Index F 3
IYC iShares Dow Jones US Consumer Services Sector In 5
IYF iShares Dow Jones US Financial Sector Index Fund 7
KLD iShares MSCI USA ESG Select Social Index Fund 6
LVL Guggenheim S&P Global Dividend Opportunities Ind 8
MLPN Credit Suisse Cushing 30 MLP Index ETN 4
MORT Market Vectors Mortgage REIT Income ETF 3
PKW PowerShares Buyback Achievers Portfolio 11
PPH Market Vectors Pharmaceutical ETF/New 2
PSJ Powershares Dynamic Software Portfolio 4
PSQ ProShares Short QQQ 10
RJN ELEMENTS Linked to the Rogers International Comm 3
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Consecutive
Ticker Security Name Days on List
=====================================================================
RSXJ Market Vectors Russia Small-Cap ETF 3
RWO SPDR Dow Jones Global Real Estate ETF 5
SCHD Schwab US Dividend Equity ETF 47
SCHE Schwab Emerging Markets Equity ETF 12
SCHH Schwab U.S. REIT ETF 5
SKF ProShares UltraShort Financials 22
SRS ProShares UltraShort Real Estate 12
TMF Direxion Daily 20 Year Plus Treasury Bull 3x Sha 152
TNA Direxion Daily Small Cap Bull 3X Shares 194
TVIX VelocityShares Daily 2x VIX Short Term ETN 101
TZA Direxion Daily Small Cap Bear 3X Shares 177
UDOW ProShares UltraPro Dow30 3
UGLD VelocityShares 3x Long Gold ETN linked to the S& 1
UMDD ProShares UltraPro MidCap400 8
URE ProShares Ultra Real Estate 5
URTY ProShares UltraPro Russell2000 24
USO United States Oil Fund LP 85
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Consecutive
Ticker Security Name Days on List
=====================================================================
UVXY ProShares Ultra VIX Short-Term Futures ETF 42
VIIX VelocityShares VIX Short Term ETN 1
VOOG Vanguard S&P 500 Growth ETF 3
XHB SPDR S&P Homebuilders ETF 11
XLI Industrial Select Sector SPDR Fund 27
XMPT Market Vectors CEF Municipal Income ETF 5
XRT SPDR S&P Retail ETF 1
XSD SPDR S&P Semiconductor ETF 6
ZSL ProShares UltraShort Silver 91
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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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