Bloomberg News

NYSE Arca ‘Threshold’ Securities for Feb. 29

March 01, 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                        6
AGQ     ProShares Ultra Silver                                    54
BABS    SPDR Nuveen Barclays Capital Build America Bond           10
BGZ     Direxion Daily Large Cap Bear 3X Shares                   55
BOIL    ProShares Ultra DJ-UBS Natural Gas ETF                     9
BSJF    Guggenheim BulletShares 2015 High Yield Corporat          27
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
CIU     iShares Barclays Intermediate Credit Bond Fund             2
COWS    Direxion Daily Agribusiness Bear 3X Shares                15
CRBQ    Jefferies TR/J CRB Global Commodity Equity Index           3
CZA     Guggenheim Mid-Cap Core ETF                                3
DOG     ProShares Short Dow30                                      6
DRN     Direxion Daily Real Estate Bull 3x Shares                 33
DSLV    VelocityShares 3x Inverse Silver ETN linked to S           3
EAPS    Pax MSCI EAFE ESG Index ETF                                4
EDC     Direxion Daily Emerging Markets Bull 3X Shares            67
EDZ     Direxion Daily Emerging Markets Bear 3X Shares           235
ERY     Direxion Daily Energy Bear 3X Shares                      22
EWO     iShares MSCI Austria Investable Market Index Fun           2
FAB     First Trust Multi Cap Value AlphaDEX Fund                  6
FAD     First Trust MultiCap Growth AlphaDEX Fund                  1
FAS     Direxion Daily Financial Bull 3X Shares                   68
FAZ     Direxion Daily Financial Bear 3X Shares                  247
FDD     First Trust STOXX European Select Dividend Incom           3
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
FDT     First Trust Developed Markets ex-US AlphaDEX Fun          13
FEM     First Trust Emerging Markets AlphaDEX Fund                22
FEZ     SPDR EURO STOXX 50 ETF                                    51
FXR     First Trust Industrials/Producer Durables AlphaD           5
GASX    Direxion Daily Natural Gas Related Bear 3X Share           1
GAZ     iPath Dow Jones-UBS Natural Gas Subindex Total R           9
GLL     ProShares UltraShort Gold                                  6
GUR     SPDR S&P Emerging Europe ETF                               4
HGI     Guggenheim International Multi-Asset Income ETF            2
INDL    Direxion Daily India Bull 3x Shares                        6
IYF     iShares Dow Jones US Financial Sector Index Fund          25
IYM     iShares Dow Jones US Basic Materials Sector Inde          27
IYT     iShares Dow Jones Transportation Average Index F          10
JKE     iShares Morningstar Large Growth Index Fund                3
KBWD    PowerShares KBW High Dividend Yield Financial Po          27
LVOL    Russell 1000 Low Volatility ETF                           11
MATH    Meidell Tactical Advantage ETF                             4
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
MORT    Market Vectors Mortgage REIT Income ETF                    3
MVV     ProShares Ultra MidCap400                                 13
PIE     PowerShares DWA Emerging Markets Technical Leade          11
PSQ     ProShares Short QQQ                                        2
REW     ProShares UltraShort Technology                            6
RYJ     Guggenheim Raymond James SB-1 Equity ETF                   1
SCO     ProShares UltraShort DJ-UBS Crude Oil                      3
SDOW    ProShares UltraPro Short Dow30                             2
SMB     Market Vectors Short Municipal ETF                         4
SMN     ProShares UltraShort Basic Materials                       5
SOXS    Direxion Daily Semiconductors Bear 3x Shares               4
SPHB    PowerShares S&P 500 High Beta Port ETF                    12
SPXU    ProShares UltraPro Short S&P 500                          28
SRTY    ProShares UltraPro Short Russell2000                       3
SVXY    ProShares Short VIX Short-Term Futures ETF                 9
TMF     Direxion Daily 20 Year Plus Treasury Bull 3x Sha          13
TMV     Direxion Daily 20 Year Plus Treasury Bear 3x Sha          13
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
TNA     Direxion Daily Small Cap Bull 3X Shares                  228
TYP     Direxion Daily Technology Bear 3X Shares                  31
TZA     Direxion Daily Small Cap Bear 3X Shares                  211
UCO     ProShares Ultra DJ-UBS Crude Oil                          33
UGA     United States Gasoline Fund LP                             3
UGLD    VelocityShares 3x Long Gold ETN linked to the S&          35
UVXY    ProShares Ultra VIX Short-Term Futures ETF                76
UWM     ProShares Ultra Russell2000                               13
VIIX    VelocityShares VIX Short Term ETN                          1
VXZ     iPATH S&P 500 VIX Mid-Term Futures ETN                     6
XME     SPDR S&P Metals & Mining ETF                               5
XRT     SPDR S&P Retail ETF                                       35
ZSL     ProShares UltraShort Silver                              125
=====================================================================
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: Stephen Rose in Washington at srose31@bloomberg.net

To contact the editor responsible for this story: Alex Tanzi at atanzi@bloomberg.net


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