NYSE Arca ‘Threshold’ Securities for Feb. 23
By Michael J. Munoz -
2012-02-24T00:29:43Z
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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AGF PowerShares DB Agriculture Long ETN 2
AGQ ProShares Ultra Silver 50
ASEA Global X Asean 40 ETF 6
BABS SPDR Nuveen Barclays Capital Build America Bond 6
BGZ Direxion Daily Large Cap Bear 3X Shares 51
BOIL ProShares Ultra DJ-UBS Natural Gas ETF 5
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Consecutive
Ticker Security Name Days on List
=====================================================================
BSJE Guggenheim BulletShares 2014 High Yield Corporat 9
BSJF Guggenheim BulletShares 2015 High Yield Corporat 23
COWS Direxion Daily Agribusiness Bear 3X Shares 11
DOG ProShares Short Dow30 2
DRN Direxion Daily Real Estate Bull 3x Shares 29
EDC Direxion Daily Emerging Markets Bull 3X Shares 63
EDZ Direxion Daily Emerging Markets Bear 3X Shares 231
EES WisdomTree SmallCap Earnings Fund 8
EFAV iShares MSCI EAFE Minimum Volatility Index Fund 8
EQL ALPS Equal Sector Weight ETF 3
ERY Direxion Daily Energy Bear 3X Shares 18
FAB First Trust Multi Cap Value AlphaDEX Fund 2
FAS Direxion Daily Financial Bull 3X Shares 64
FAZ Direxion Daily Financial Bear 3X Shares 243
FDT First Trust Developed Markets ex-US AlphaDEX Fun 9
FEM First Trust Emerging Markets AlphaDEX Fund 18
FEZ SPDR EURO STOXX 50 ETF 47
=====================================================================
Consecutive
Ticker Security Name Days on List
=====================================================================
FXR First Trust Industrials/Producer Durables AlphaD 1
GAZ iPath Dow Jones-UBS Natural Gas Subindex Total R 5
GLL ProShares UltraShort Gold 2
GML SPDR S&P Emerging Latin America ETF 4
GSY Guggenheim Enhanced Short Duration Bond ETF 8
HYMB SPDR Nuveen S&P High Yield Municipal Bond ETF 4
INDL Direxion Daily India Bull 3x Shares 2
IYF iShares Dow Jones US Financial Sector Index Fund 21
IYM iShares Dow Jones US Basic Materials Sector Inde 23
IYT iShares Dow Jones Transportation Average Index F 6
KBWD PowerShares KBW High Dividend Yield Financial Po 23
LVL Guggenheim S&P Global Dividend Opportunities Ind 14
LVOL Russell 1000 Low Volatility ETF 7
MVV ProShares Ultra MidCap400 9
OIH Market Vectors Oil Service ETF 22
PCEF PowerShares CEF Income Composite Portfolio 3
PIE PowerShares DWA Emerging Markets Technical Leade 7
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Consecutive
Ticker Security Name Days on List
=====================================================================
PPH Market Vectors Pharmaceutical ETF 7
REW ProShares UltraShort Technology 2
RWJ RevenueShares Small Cap ETF 5
RZV Rydex S&P Smallcap 600 Pure Value ETF 5
SCHD Schwab US Dividend Equity ETF 77
SDIV Global X SuperDividend ETF 24
SLYV SPDR S&P 600 Small CapValue ETF 5
SMN ProShares UltraShort Basic Materials 1
SPHB PowerShares S&P 500 High Beta Port ETF 8
SPXU ProShares UltraPro Short S&P 500 24
SVXY ProShares Short VIX Short-Term Futures ETF 5
TMF Direxion Daily 20 Year Plus Treasury Bull 3x Sha 9
TMV Direxion Daily 20 Year Plus Treasury Bear 3x Sha 9
TNA Direxion Daily Small Cap Bull 3X Shares 224
TYP Direxion Daily Technology Bear 3X Shares 27
TZA Direxion Daily Small Cap Bear 3X Shares 207
UCO ProShares Ultra DJ-UBS Crude Oil 29
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Consecutive
Ticker Security Name Days on List
=====================================================================
UDOW ProShares UltraPro Dow30 2
UGLD VelocityShares 3x Long Gold ETN linked to the S& 31
UVXY ProShares Ultra VIX Short-Term Futures ETF 72
UWM ProShares Ultra Russell2000 9
VXZ iPATH S&P 500 VIX Mid-Term Futures ETN 2
XME SPDR S&P Metals & Mining ETF 1
XRT SPDR S&P Retail ETF 31
ZSL ProShares UltraShort Silver 121
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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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