Bloomberg News

NYSE Arca ‘Threshold’ Securities for March 5

March 05, 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                        9
AGQ     ProShares Ultra Silver                                    57
BABS    SPDR Nuveen Barclays Capital Build America Bond           13
BGZ     Direxion Daily Large Cap Bear 3X Shares                   58
BNO     United States Brent Oil Fund LP                            3
BOIL    ProShares Ultra DJ-UBS Natural Gas ETF                    12
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
BRAQ    Global X Brazil Consumer ETF                               1
BSCH    Guggenheim BulletShares 2017 Corporate Bond ETF            3
BSJF    Guggenheim BulletShares 2015 High Yield Corporat          30
CIU     iShares Barclays Intermediate Credit Bond Fund             5
COWS    Direxion Daily Agribusiness Bear 3X Shares                18
CRBQ    Jefferies TR/J CRB Global Commodity Equity Index           6
DIG     ProShares Ultra Oil & Gas                                  2
DOG     ProShares Short Dow30                                      9
DSLV    VelocityShares 3x Inverse Silver ETN linked to S           6
DTD     WisdomTree Total Dividend Fund                             3
DUST    Direxion Daily Gold Miners Bear 3x Shares                  3
EAPS    Pax MSCI EAFE ESG Index ETF                                7
EDZ     Direxion Daily Emerging Markets Bear 3X Shares           238
ERY     Direxion Daily Energy Bear 3X Shares                      25
EWO     iShares MSCI Austria Investable Market Index Fun           5
FAD     First Trust MultiCap Growth AlphaDEX Fund                  4
FAS     Direxion Daily Financial Bull 3X Shares                   71
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
FAZ     Direxion Daily Financial Bear 3X Shares                  250
FDD     First Trust STOXX European Select Dividend Incom           6
FEM     First Trust Emerging Markets AlphaDEX Fund                25
FRAK    Market Vectors Unconventional Oil & Gas ETF                3
FXR     First Trust Industrials/Producer Durables AlphaD           8
GASX    Direxion Daily Natural Gas Related Bear 3X Share           4
GAZ     iPath Dow Jones-UBS Natural Gas Subindex Total R          12
GUR     SPDR S&P Emerging Europe ETF                               7
HGI     Guggenheim International Multi-Asset Income ETF            5
IJS     iShares S&P SmallCap 600 Value Index Fund                  1
IYT     iShares Dow Jones Transportation Average Index F          13
JKE     iShares Morningstar Large Growth Index Fund                6
MVV     ProShares Ultra MidCap400                                 16
OLO     PowerShares DB Crude Oil Long ETN                          3
PBP     PowerShares S&P 500 BuyWrite Portfolio                     1
PIE     PowerShares DWA Emerging Markets Technical Leade          14
PSQ     ProShares Short QQQ                                        5
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
PXF     PowerShares FTSE RAFI Developed Markets ex-U.S.            2
RJN     ELEMENTS Linked to the Rogers International Comm           1
RYJ     Guggenheim Raymond James SB-1 Equity ETF                   4
SCO     ProShares UltraShort DJ-UBS Crude Oil                      6
SDOW    ProShares UltraPro Short Dow30                             5
SPHB    PowerShares S&P 500 High Beta Port ETF                    15
SPXU    ProShares UltraPro Short S&P 500                          31
SRTY    ProShares UltraPro Short Russell2000                       6
SVXY    ProShares Short VIX Short-Term Futures ETF                12
TMF     Direxion Daily 20 Year Plus Treasury Bull 3x Sha          16
TMV     Direxion Daily 20 Year Plus Treasury Bear 3x Sha          16
TNA     Direxion Daily Small Cap Bull 3X Shares                  231
TVIZ    VelocityShares Daily 2x VIX Medium Term ETN                2
TWM     ProShares UltraShort Russell2000                           3
TWTI    RBS Oil Trendpilot ETN                                     1
TYP     Direxion Daily Technology Bear 3X Shares                  34
TZA     Direxion Daily Small Cap Bear 3X Shares                  214
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
UCO     ProShares Ultra DJ-UBS Crude Oil                          36
UGA     United States Gasoline Fund LP                             6
UGLD    VelocityShares 3x Long Gold ETN linked to the S&          38
USLV    VelocityShares 3x Long Silver ETN linked to the            2
UVXY    ProShares Ultra VIX Short-Term Futures ETF                79
UWM     ProShares Ultra Russell2000                               16
VIIX    VelocityShares VIX Short Term ETN                          4
VROM    Global X Auto ETF                                          1
VXZ     iPATH S&P 500 VIX Mid-Term Futures ETN                     9
XRT     SPDR S&P Retail ETF                                       38
ZSL     ProShares UltraShort Silver                              128
=====================================================================
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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