NYSE Arca ‘Threshold’ Securities for Feb. 22
By Michael J. Munoz -
2012-02-23T05:12:32Z
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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AGF PowerShares DB Agriculture Long ETN 1
AGQ ProShares Ultra Silver 49
ASEA Global X Asean 40 ETF 5
BABS SPDR Nuveen Barclays Capital Build America Bond 5
BGZ Direxion Daily Large Cap Bear 3X Shares 50
BOIL ProShares Ultra DJ-UBS Natural Gas ETF 4
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Consecutive
Ticker Security Name Days on List
=====================================================================
BSJE Guggenheim BulletShares 2014 High Yield Corporat 8
BSJF Guggenheim BulletShares 2015 High Yield Corporat 22
COWS Direxion Daily Agribusiness Bear 3X Shares 10
DOG ProShares Short Dow30 1
DRN Direxion Daily Real Estate Bull 3x Shares 28
EDC Direxion Daily Emerging Markets Bull 3X Shares 62
EDZ Direxion Daily Emerging Markets Bear 3X Shares 230
EES WisdomTree SmallCap Earnings Fund 7
EFAV iShares MSCI EAFE Minimum Volatility Index Fund 7
EQL ALPS Equal Sector Weight ETF 2
ERX Direxion Daily Energy Bull 3X Shares 13
ERY Direxion Daily Energy Bear 3X Shares 17
FAB First Trust Multi Cap Value AlphaDEX Fund 1
FAS Direxion Daily Financial Bull 3X Shares 63
FAZ Direxion Daily Financial Bear 3X Shares 242
FDT First Trust Developed Markets ex-US AlphaDEX Fun 8
FEM First Trust Emerging Markets AlphaDEX Fund 17
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Consecutive
Ticker Security Name Days on List
=====================================================================
FEZ SPDR EURO STOXX 50 ETF 46
GASL Direxion Daily Natural Gas Related Bull 3X Share 13
GAZ iPath Dow Jones-UBS Natural Gas Subindex Total R 4
GLL ProShares UltraShort Gold 1
GML SPDR S&P Emerging Latin America ETF 3
GSY Guggenheim Enhanced Short Duration Bond ETF 7
HYMB SPDR Nuveen S&P High Yield Municipal Bond ETF 3
INDL Direxion Daily India Bull 3x Shares 1
IYF iShares Dow Jones US Financial Sector Index Fund 20
IYM iShares Dow Jones US Basic Materials Sector Inde 22
IYT iShares Dow Jones Transportation Average Index F 5
KBWD PowerShares KBW High Dividend Yield Financial Po 22
KWT Market Vectors Solar Energy ETF 9
LVL Guggenheim S&P Global Dividend Opportunities Ind 13
LVOL Russell 1000 Low Volatility ETF 6
MVV ProShares Ultra MidCap400 8
OIH Market Vectors Oil Service ETF 21
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Consecutive
Ticker Security Name Days on List
=====================================================================
PCEF PowerShares CEF Income Composite Portfolio 2
PIE PowerShares DWA Emerging Markets Technical Leade 6
PPH Market Vectors Pharmaceutical ETF 6
PXF PowerShares FTSE RAFI Developed Markets ex-U.S. 7
REW ProShares UltraShort Technology 1
RWJ RevenueShares Small Cap ETF 4
RZV Rydex S&P Smallcap 600 Pure Value ETF 4
SCHD Schwab US Dividend Equity ETF 76
SDIV Global X SuperDividend ETF 23
SLYV SPDR S&P 600 Small CapValue ETF 4
SOIL Global X Fertilizers/Potash ETF 6
SPHB PowerShares S&P 500 High Beta Port ETF 7
SPXU ProShares UltraPro Short S&P 500 23
SVXY ProShares Short VIX Short-Term Futures ETF 4
TMF Direxion Daily 20 Year Plus Treasury Bull 3x Sha 8
TMV Direxion Daily 20 Year Plus Treasury Bear 3x Sha 8
TNA Direxion Daily Small Cap Bull 3X Shares 223
=====================================================================
Consecutive
Ticker Security Name Days on List
=====================================================================
TYP Direxion Daily Technology Bear 3X Shares 26
TZA Direxion Daily Small Cap Bear 3X Shares 206
UCO ProShares Ultra DJ-UBS Crude Oil 28
UDOW ProShares UltraPro Dow30 1
UGLD VelocityShares 3x Long Gold ETN linked to the S& 30
UVXY ProShares Ultra VIX Short-Term Futures ETF 71
UWM ProShares Ultra Russell2000 8
VXZ iPATH S&P 500 VIX Mid-Term Futures ETN 1
XRT SPDR S&P Retail ETF 30
ZSL ProShares UltraShort Silver 120
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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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