NYSE Arca ‘Threshold’ Securities for Jan. 12

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                                    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
=====================================================================
                                                        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
=====================================================================
                                                        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
=====================================================================
                                                        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
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
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
=====================================================================
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

Bloomberg reserves the right to remove comments but is under no obligation to do so, or to explain individual moderation decisions.

Please enable JavaScript to view the comments powered by Disqus.