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NYSE Arca ‘Threshold’ Securities for Nov. 1

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.

Ticker  Security Name                                   Days on List
AGQ     ProShares Ultra Silver                                    56
AOM     iShares S&P Moderate Allocation Fund                       8
BDD     PowerShares DB Base Metals Double Long ETN                11
BGU     Direxion Daily Large Cap Bull 3X Shares                   78
BGZ     Direxion Daily Large Cap Bear 3X Shares                   82
BRAQ    Global X Brazil Consumer ETF                               1
Ticker  Security Name                                   Days on List
BZQ     ProShares UltraShort MSCI Brazil                          17
CFT     iShares Barclays Credit Bond Fund                          2
DBV     PowerShares DB G10 Currency Harvest Fund                   3
DEF     Guggenheim Defensive Equity ETF                            6
DOG     ProShares Short Dow30                                     42
DRV     Direxion Daily Real Estate Bear 3x Shares                 79
DXD     ProShares UltraShort Dow30                                36
EBND    SPDR Barclays Capital Emerging Markets Local Bon           6
ECON    EGShares Emerging Markets Consumer ETF                     1
EDIV    SPDR S&P Emerging Markets Dividend ETF                    10
EDZ     Direxion Daily Emerging Markets Bear 3X Shares           156
EEV     ProShares UltraShort MSCI Emerging Markets                54
EIRL    iShares MSCI Ireland Capped Investable Market In          10
EPV     ProShares UltraShort MSCI Europe                          46
ERX     Direxion Daily Energy Bull 3X Shares                      75
ERY     Direxion Daily Energy Bear 3X Shares                     128
FAS     Direxion Daily Financial Bull 3X Shares                  385
Ticker  Security Name                                   Days on List
FAZ     Direxion Daily Financial Bear 3X Shares                  168
FDL     First Trust Morningstar Dividend Leaders Index            11
FEM     First Trust Emerging Markets AlphaDEX Fund                 7
FGD     First Trust DJ Global Select Dividend Index Fund           7
FIW     First Trust ISE Water Index Fund                           1
FNK     First Trust Mid Cap Value AlphaDEX Fund                    3
FNY     First Trust Mid Cap Growth AlphaDEX Fund                   3
FVD     First Trust Value Line Dividend Index Fund                 6
FXE     CurrencyShares Euro Trust                                  6
FXR     First Trust Industrials/Producer Durables AlphaD           1
FXU     First Trust Utilities AlphaDEX Fund                       10
FXY     CurrencyShares Japanese Yen Trust                         56
GGGG    Global X Pure Gold Miners ETF                              4
HDGE    Active Bear ETF/The                                       27
HHH     Internet HOLDRs Trust                                      5
IEV     iShares S&P Europe 350 Index Fund                          9
IWM     iShares Russell 2000 Index Fund                            3
Ticker  Security Name                                   Days on List
IXG     iShares S&P Global Financials Sector Index Fund            1
IYT     iShares Dow Jones Transportation Average Index F          28
KRE     SPDR KBW Regional Banking ETF                             56
MLN     Market Vectors Long Municipal Index ETF                    6
MVV     ProShares Ultra MidCap400                                 15
MWN     Direxion Daily Mid Cap Bear 3x Shares                      1
MZZ     ProShares UltraShort MidCap400                            62
OIH     Oil Services Holders Trust                                 1
PIE     PowerShares DWA Emerging Markets Technical Leade           3
PIZ     PowerShares DWA Developed Markets Technical Lead           1
QID     ProShares UltraShort QQQ                                  11
RPV     Rydex S&P 500 Pure Value ETF                               6
RTH     Retail HOLDRs Trust                                       21
RWK     RevenueShares Mid Cap ETF                                  1
RYH     Rydex S&P Equal Weight Healthcare ETF                     14
SBM     ProShares Short Basic Materials                           18
SCHD    Schwab US Dividend Equity ETF                              2
Ticker  Security Name                                   Days on List
SCHZ    Schwab U.S. Aggregate Bond ETF                             4
SKF     ProShares UltraShort Financials                           74
SMH     Semiconductor HOLDRs Trust                                13
SPHB    PowerShares S&P 500 High Beta Port ETF                    13
SRTY    ProShares UltraPro Short Russell2000                      10
TMF     Direxion Daily 20 Year Plus Treasury Bull 3x Sha         107
TNA     Direxion Daily Small Cap Bull 3X Shares                  149
TVIX    VelocityShares Daily 2x VIX Short Term ETN                56
TWM     ProShares UltraShort Russell2000                           8
TZA     Direxion Daily Small Cap Bear 3X Shares                  132
USO     United States Oil Fund LP                                 40
UST     ProShares Ultra 7-10 Year Treasury                         4
UYM     ProShares Ultra Basic Materials                            1
XLB     Materials Select Sector SPDR Fund                         61
XRT     SPDR S&P Retail ETF                                       15
YANG    Direxion Daily China 3X Bear Shares                       13
ZSL     ProShares UltraShort Silver                               46
NOTE: For more information on threshold securities, see:

SOURCE: New York Stock Exchange

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