NYSE Arca ‘Threshold’ Securities for March 28

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
=====================================================================
ASEA    Global X Asean 40 ETF                                      8
BBH     Market Vectors Biotech ETF                                 1
BGU     Direxion Daily Large Cap Bull 3X Shares                    8
BGZ     Direxion Daily Large Cap Bear 3X Shares                   75
BSCC    Guggenheim BulletShares 2012 Corporate Bond ETF            1
BSJF    Guggenheim BulletShares 2015 High Yield Corporat          47
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
DNO     United States Short Oil Fund LP                            1
DSUM    PowerShares Chinese Yuan Dim Sum Bond Portfolio            4
DXJ     WisdomTree Japan Hedged Equity Fund                        1
EBND    SPDR Barclays Capital Emerging Markets Local Bon           2
ECON    EGShares Emerging Markets Consumer ETF                     5
EDZ     Direxion Daily Emerging Markets Bear 3X Shares           255
ERX     Direxion Daily Energy Bull 3X Shares                      12
EUM     ProShares Short MSCI Emerging Markets                     10
EWRM    Guggenheim Russell MidCap Equal Weight ETF                 2
EWZS    iShares MSCI Brazil Small Cap Index Fund                  13
FAS     Direxion Daily Financial Bull 3X Shares                   88
FAZ     Direxion Daily Financial Bear 3X Shares                  267
FEM     First Trust Emerging Markets AlphaDEX Fund                 2
FMU     Focus Morningstar US Market Index ETF                      2
FVD     First Trust Value Line Dividend Index Fund                 5
FXN     First Trust Energy AlphaDEX Fund                           2
FXR     First Trust Industrials/Producer Durables AlphaD          25
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
FYX     First Trust Small Cap Core AlphaDEX Fund                   1
GWL     SPDR S&P World ex-US ETF                                   7
GXG     Global X FTSE Colombia 20 ETF                              4
HILO    EGShares Low Volatility Emerging Markets Dividen           3
IAT     iShares Dow Jones US Regional Banks Index Fund             4
IBND    SPDR Barclays Capital International Corporate Bo           9
ITB     iShares Dow Jones US Home Construction Index Fun           3
IYG     iShares Dow Jones US Financial Services Index Fu           3
IYT     iShares Dow Jones Transportation Average Index F          30
IYY     iShares Dow Jones US Index Fund                            3
KLD     iShares MSCI USA ESG Select Social Index Fund              9
KRE     SPDR S&P Regional Banking ETF                              5
MVV     ProShares Ultra MidCap400                                 33
NUGT    Direxion Daily Gold Miners Bull 3x Shares                  6
OIH     Market Vectors Oil Service ETF                             3
PBP     PowerShares S&P 500 BuyWrite Portfolio                     2
PMR     PowerShares Dynamic Retail Portfolio                      13
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
PSQ     ProShares Short QQQ                                       22
PTO     PowerShares Ibbotson Alternative Completion Port           4
QLD     ProShares Ultra QQQ                                       15
RKH     Market Vectors Bank and Brokerage ETF                      4
RPV     Guggenheim S&P 500 Pure Value ETF                          9
SLY     SPDR S&P 600 Small CapETF                                  3
SPHB    PowerShares S&P 500 High Beta Port ETF                     4
SRS     ProShares UltraShort Real Estate                           5
SRTY    ProShares UltraPro Short Russell2000                       5
SSG     ProShares UltraShort Semiconductors                        4
SSO     ProShares Ultra S&P500                                    14
SVXY    ProShares Short VIX Short-Term Futures ETF                29
TAN     Guggenheim Solar ETF                                       6
TGEM    EGShares Telecom GEMS ETF                                  5
TMF     Direxion Daily 20 Year Plus Treasury Bull 3x Sha          33
TNA     Direxion Daily Small Cap Bull 3X Shares                  248
TRXT    Pimco Total Return ETF                                     5
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
TVIX    VelocityShares Daily 2x VIX Short Term ETN                 7
TWM     ProShares UltraShort Russell2000                          20
TYH     Direxion Daily Technology Bull 3X Shares                  17
TYP     Direxion Daily Technology Bear 3X Shares                  51
TZA     Direxion Daily Small Cap Bear 3X Shares                  231
UCO     ProShares Ultra DJ-UBS Crude Oil                          53
UGLD    VelocityShares 3x Long Gold ETN linked to the S&          55
UPRO    ProShares UltraPro S&P 500                                 3
VIXY    ProShares VIX Short-Term Futures ETF                       5
XME     SPDR S&P Metals & Mining ETF                              11
XOP     SPDR S&P Oil & Gas Exploration & Production ETF            3
ZSL     ProShares UltraShort Silver                              145
=====================================================================
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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