NYSE Arca ‘Threshold’ Securities for Jan. 12
By Michael J. Munoz -
2012-01-13T00:41:31Z
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 22
AOM iShares S&P Moderate Allocation Fund 15
BGU Direxion Daily Large Cap Bull 3X Shares 23
BGZ Direxion Daily Large Cap Bear 3X Shares 23
BSJD Guggenheim BulletShares 2013 High Yield Corporat 8
CONG Russell Consistent Growth ETF 7
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Consecutive
Ticker Security Name Days on List
=====================================================================
DBEF db-X MSCI EAFE Currency-Hedged Equity Fund 1
DDM ProShares Ultra Dow30 16
DEF Guggenheim Defensive Equity ETF 8
DES WisdomTree SmallCap Dividend Fund 5
DRN Direxion Daily Real Estate Bull 3x Shares 1
DUG ProShares UltraShort Oil & Gas 1
DUST Direxion Daily Gold Miners Bear 3x Shares 4
EDC Direxion Daily Emerging Markets Bull 3X Shares 35
EDZ Direxion Daily Emerging Markets Bear 3X Shares 203
EEMV iShares MSCI Emerging Markets Minimum Volatility 3
EEV ProShares UltraShort MSCI Emerging Markets 101
EQL ALPS Equal Sector Weight ETF 2
ERY Direxion Daily Energy Bear 3X Shares 175
FAS Direxion Daily Financial Bull 3X Shares 36
FAZ Direxion Daily Financial Bear 3X Shares 215
FDT First Trust Developed Markets ex-US AlphaDEX Fun 15
FEM First Trust Emerging Markets AlphaDEX Fund 7
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Consecutive
Ticker Security Name Days on List
=====================================================================
FEZ SPDR EURO STOXX 50 ETF 19
FGD First Trust DJ Global Select Dividend Index Fund 5
FPA First Trust Asia Pacific ex-Japan AlphaDEX Fund 3
FXO First Trust Financial AlphaDEX Fund 1
GBF iShares Barclays Government/Credit Bond Fund 5
GRES IQ Global Resources ETF 11
HILO EGShares Low Volatility Emerging Markets Dividen 1
HYS PIMCO 0-5 Year High Yield Corporate Bond Index F 5
JYF WisdomTree Dreyfus Japanese Yen Fund 1
MORT Market Vectors Mortgage REIT Income ETF 5
PKW PowerShares Buyback Achievers Portfolio 13
PPH Market Vectors Pharmaceutical ETF/New 4
PSJ Powershares Dynamic Software Portfolio 6
PSLV Sprott Physical Silver Trust 2
RJN ELEMENTS Linked to the Rogers International Comm 5
RSXJ Market Vectors Russia Small-Cap ETF 5
RWO SPDR Dow Jones Global Real Estate ETF 7
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Consecutive
Ticker Security Name Days on List
=====================================================================
SCHD Schwab US Dividend Equity ETF 49
SCHH Schwab U.S. REIT ETF 7
SCHZ Schwab U.S. Aggregate Bond ETF 1
SKF ProShares UltraShort Financials 24
SPHB PowerShares S&P 500 High Beta Port ETF 1
SRS ProShares UltraShort Real Estate 14
SSO ProShares Ultra S&P500 2
TNA Direxion Daily Small Cap Bull 3X Shares 196
TVIX VelocityShares Daily 2x VIX Short Term ETN 103
TZA Direxion Daily Small Cap Bear 3X Shares 179
UCO ProShares Ultra DJ-UBS Crude Oil 1
UDOW ProShares UltraPro Dow30 5
UGLD VelocityShares 3x Long Gold ETN linked to the S& 3
UMDD ProShares UltraPro MidCap400 10
URE ProShares Ultra Real Estate 7
USO United States Oil Fund LP 87
UVXY ProShares Ultra VIX Short-Term Futures ETF 44
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Consecutive
Ticker Security Name Days on List
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VIIX VelocityShares VIX Short Term ETN 3
VOOG Vanguard S&P 500 Growth ETF 5
XHB SPDR S&P Homebuilders ETF 13
XRT SPDR S&P Retail ETF 3
ZSL ProShares UltraShort Silver 93
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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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