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NYSE Arca ‘Threshold’ Securities for Jan. 11

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.

=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
AGQ     ProShares Ultra Silver                                    21
AGZ     iShares Barclays Agency Bond Fund                          5
AOM     iShares S&P Moderate Allocation Fund                      14
BGU     Direxion Daily Large Cap Bull 3X Shares                   22
BGZ     Direxion Daily Large Cap Bear 3X Shares                   22
BSJD    Guggenheim BulletShares 2013 High Yield Corporat           7
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
CONG    Russell Consistent Growth ETF                              6
DDM     ProShares Ultra Dow30                                     15
DEF     Guggenheim Defensive Equity ETF                            7
DES     WisdomTree SmallCap Dividend Fund                          4
DUST    Direxion Daily Gold Miners Bear 3x Shares                  3
EDC     Direxion Daily Emerging Markets Bull 3X Shares            34
EDZ     Direxion Daily Emerging Markets Bear 3X Shares           202
EEMV    iShares MSCI Emerging Markets Minimum Volatility           2
EEV     ProShares UltraShort MSCI Emerging Markets               100
EQL     ALPS Equal Sector Weight ETF                               1
ERY     Direxion Daily Energy Bear 3X Shares                     174
FAS     Direxion Daily Financial Bull 3X Shares                   35
FAZ     Direxion Daily Financial Bear 3X Shares                  214
FDT     First Trust Developed Markets ex-US AlphaDEX Fun          14
FEM     First Trust Emerging Markets AlphaDEX Fund                 6
FEZ     SPDR EURO STOXX 50 ETF                                    18
FGD     First Trust DJ Global Select Dividend Index Fund           4
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
FPA     First Trust Asia Pacific ex-Japan AlphaDEX Fund            2
GBF     iShares Barclays Government/Credit Bond Fund               4
GRES    IQ Global Resources ETF                                   10
HYS     PIMCO 0-5 Year High Yield Corporate Bond Index F           4
IYC     iShares Dow Jones US Consumer Services Sector In           6
IYF     iShares Dow Jones US Financial Sector Index Fund           8
MLPN    Credit Suisse Cushing 30 MLP Index ETN                     5
MORT    Market Vectors Mortgage REIT Income ETF                    4
PKW     PowerShares Buyback Achievers Portfolio                   12
PPH     Market Vectors Pharmaceutical ETF/New                      3
PSJ     Powershares Dynamic Software Portfolio                     5
PSLV    Sprott Physical Silver Trust                               1
PSQ     ProShares Short QQQ                                       11
RJN     ELEMENTS Linked to the Rogers International Comm           4
RSXJ    Market Vectors Russia Small-Cap ETF                        4
RWO     SPDR Dow Jones Global Real Estate ETF                      6
SCHD    Schwab US Dividend Equity ETF                             48
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
SCHE    Schwab Emerging Markets Equity ETF                        13
SCHH    Schwab U.S. REIT ETF                                       6
SKF     ProShares UltraShort Financials                           23
SRS     ProShares UltraShort Real Estate                          13
SSO     ProShares Ultra S&P500                                     1
TMF     Direxion Daily 20 Year Plus Treasury Bull 3x Sha         153
TNA     Direxion Daily Small Cap Bull 3X Shares                  195
TVIX    VelocityShares Daily 2x VIX Short Term ETN               102
TZA     Direxion Daily Small Cap Bear 3X Shares                  178
UDOW    ProShares UltraPro Dow30                                   4
UGLD    VelocityShares 3x Long Gold ETN linked to the S&           2
UMDD    ProShares UltraPro MidCap400                               9
URE     ProShares Ultra Real Estate                                6
USO     United States Oil Fund LP                                 86
UVXY    ProShares Ultra VIX Short-Term Futures ETF                43
VIIX    VelocityShares VIX Short Term ETN                          2
VOOG    Vanguard S&P 500 Growth ETF                                4
XHB     SPDR S&P Homebuilders ETF                                 12
XLI     Industrial Select Sector SPDR Fund                        28
XRT     SPDR S&P Retail ETF                                        2
ZSL     ProShares UltraShort Silver                               92
=====================================================================
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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