Bloomberg News

NYSE Arca ‘Threshold’ Securities for Feb. 27

February 27, 2012

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
=====================================================================
AGF     PowerShares DB Agriculture Long ETN                        4
AGQ     ProShares Ultra Silver                                    52
BABS    SPDR Nuveen Barclays Capital Build America Bond            8
BGZ     Direxion Daily Large Cap Bear 3X Shares                   53
BOIL    ProShares Ultra DJ-UBS Natural Gas ETF                     7
BSJF    Guggenheim BulletShares 2015 High Yield Corporat          25
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
COWS    Direxion Daily Agribusiness Bear 3X Shares                13
CRBQ    Jefferies TR/J CRB Global Commodity Equity Index           1
CZA     Guggenheim Mid-Cap Core ETF                                1
DOG     ProShares Short Dow30                                      4
DRN     Direxion Daily Real Estate Bull 3x Shares                 31
DSLV    VelocityShares 3x Inverse Silver ETN linked to S           1
EAPS    Pax MSCI EAFE ESG Index ETF                                2
EDC     Direxion Daily Emerging Markets Bull 3X Shares            65
EDZ     Direxion Daily Emerging Markets Bear 3X Shares           233
EFAV    iShares MSCI EAFE Minimum Volatility Index Fund           10
EQL     ALPS Equal Sector Weight ETF                               5
ERY     Direxion Daily Energy Bear 3X Shares                      20
FAB     First Trust Multi Cap Value AlphaDEX Fund                  4
FAS     Direxion Daily Financial Bull 3X Shares                   66
FAZ     Direxion Daily Financial Bear 3X Shares                  245
FDD     First Trust STOXX European Select Dividend Incom           1
FDT     First Trust Developed Markets ex-US AlphaDEX Fun          11
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
FEM     First Trust Emerging Markets AlphaDEX Fund                20
FEZ     SPDR EURO STOXX 50 ETF                                    49
FXR     First Trust Industrials/Producer Durables AlphaD           3
GAZ     iPath Dow Jones-UBS Natural Gas Subindex Total R           7
GLL     ProShares UltraShort Gold                                  4
GUR     SPDR S&P Emerging Europe ETF                               2
HYMB    SPDR Nuveen S&P High Yield Municipal Bond ETF              6
INDL    Direxion Daily India Bull 3x Shares                        4
IYF     iShares Dow Jones US Financial Sector Index Fund          23
IYM     iShares Dow Jones US Basic Materials Sector Inde          25
IYT     iShares Dow Jones Transportation Average Index F           8
JKE     iShares Morningstar Large Growth Index Fund                1
KBWD    PowerShares KBW High Dividend Yield Financial Po          25
LVOL    Russell 1000 Low Volatility ETF                            9
MATH    Meidell Tactical Advantage ETF                             2
MORT    Market Vectors Mortgage REIT Income ETF                    1
MVV     ProShares Ultra MidCap400                                 11
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
OIH     Market Vectors Oil Service ETF                            24
PCEF    PowerShares CEF Income Composite Portfolio                 5
PIE     PowerShares DWA Emerging Markets Technical Leade           9
PPH     Market Vectors Pharmaceutical ETF                          9
REW     ProShares UltraShort Technology                            4
RZV     Rydex S&P Smallcap 600 Pure Value ETF                      7
SCHD    Schwab US Dividend Equity ETF                             79
SCO     ProShares UltraShort DJ-UBS Crude Oil                      1
SMB     Market Vectors Short Municipal ETF                         2
SMN     ProShares UltraShort Basic Materials                       3
SOXS    Direxion Daily Semiconductors Bear 3x Shares               2
SPHB    PowerShares S&P 500 High Beta Port ETF                    10
SPXU    ProShares UltraPro Short S&P 500                          26
SRTY    ProShares UltraPro Short Russell2000                       1
SVXY    ProShares Short VIX Short-Term Futures ETF                 7
TMF     Direxion Daily 20 Year Plus Treasury Bull 3x Sha          11
TMV     Direxion Daily 20 Year Plus Treasury Bear 3x Sha          11
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
TNA     Direxion Daily Small Cap Bull 3X Shares                  226
TYP     Direxion Daily Technology Bear 3X Shares                  29
TZA     Direxion Daily Small Cap Bear 3X Shares                  209
UCO     ProShares Ultra DJ-UBS Crude Oil                          31
UDOW    ProShares UltraPro Dow30                                   4
UGA     United States Gasoline Fund LP                             1
UGLD    VelocityShares 3x Long Gold ETN linked to the S&          33
UVXY    ProShares Ultra VIX Short-Term Futures ETF                74
UWM     ProShares Ultra Russell2000                               11
VXZ     iPATH S&P 500 VIX Mid-Term Futures ETN                     4
XME     SPDR S&P Metals & Mining ETF                               3
XRT     SPDR S&P Retail ETF                                       33
ZSL     ProShares UltraShort Silver                              123
=====================================================================
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


The Good Business Issue
LIMITED-TIME OFFER SUBSCRIBE NOW
 
blog comments powered by Disqus