Bloomberg News

NYSE Arca ‘Threshold’ Securities for March 13

March 13, 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                       15
BABS    SPDR Nuveen Barclays Capital Build America Bond           19
BGZ     Direxion Daily Large Cap Bear 3X Shares                   64
BOIL    ProShares Ultra DJ-UBS Natural Gas ETF                    18
BRAQ    Global X Brazil Consumer ETF                               7
BSCH    Guggenheim BulletShares 2017 Corporate Bond ETF            9
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
BSJF    Guggenheim BulletShares 2015 High Yield Corporat          36
COWS    Direxion Daily Agribusiness Bear 3X Shares                24
DEF     Guggenheim Defensive Equity ETF                            6
DIG     ProShares Ultra Oil & Gas                                  8
DSLV    VelocityShares 3x Inverse Silver ETN linked to S          12
DUST    Direxion Daily Gold Miners Bear 3x Shares                  9
EDZ     Direxion Daily Emerging Markets Bear 3X Shares           244
EEV     ProShares UltraShort MSCI Emerging Markets                 6
EIS     iShares MSCI Israel Capped Index Fund                      3
EQL     ALPS Equal Sector Weight ETF                               3
ERX     Direxion Daily Energy Bull 3X Shares                       1
EWO     iShares MSCI Austria Investable Market Index Fun          11
EWZS    iShares MSCI Brazil Small Cap Index Fund                   2
EZM     WisdomTree MidCap Earnings Fund                            5
FAD     First Trust MultiCap Growth AlphaDEX Fund                 10
FAS     Direxion Daily Financial Bull 3X Shares                   77
FAZ     Direxion Daily Financial Bear 3X Shares                  256
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
FEG     Focus Morningstar Energy Index ETF                         6
FXR     First Trust Industrials/Producer Durables AlphaD          14
GAZ     iPath Dow Jones-UBS Natural Gas Subindex Total R          18
GUR     SPDR S&P Emerging Europe ETF                              13
ICN     WisdomTree Dreyfus Indian Rupee Fund                       2
IGN     iShares S&P North American Technology-Multimedia           4
IST     SPDR S&P International Telecommunications Sector           2
IYT     iShares Dow Jones Transportation Average Index F          19
JKE     iShares Morningstar Large Growth Index Fund               12
MVV     ProShares Ultra MidCap400                                 22
NORW    Global X Norway Norway ETF                                 4
PEK     Market Vectors China ETF                                   5
PMR     PowerShares Dynamic Retail Portfolio                       2
PSQ     ProShares Short QQQ                                       11
PWZ     PowerShares Insured California Municipal Bond Po           3
PXF     PowerShares FTSE RAFI Developed Markets ex-U.S.            8
PYZ     PowerShares Dynamic Basic Materials Sector Portf           3
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
PZT     PowerShares Insured New York Municipal Bond Port           3
QLD     ProShares Ultra QQQ                                        4
RBL     SPDR S&P Russia ETF                                        3
RETS    Direxion Daily Retail Bear 3X Shares                       2
RJN     ELEMENTS Linked to the Rogers International Comm           7
RWM     ProShares Short Russell2000                                3
RZG     Guggenheim S&P Smallcap 600 Pure Growth ETF                1
SCO     ProShares UltraShort DJ-UBS Crude Oil                     12
SPHB    PowerShares S&P 500 High Beta Port ETF                    21
SRTY    ProShares UltraPro Short Russell2000                      12
SSO     ProShares Ultra S&P500                                     3
SVXY    ProShares Short VIX Short-Term Futures ETF                18
TMF     Direxion Daily 20 Year Plus Treasury Bull 3x Sha          22
TMV     Direxion Daily 20 Year Plus Treasury Bear 3x Sha          22
TNA     Direxion Daily Small Cap Bull 3X Shares                  237
TVIZ    VelocityShares Daily 2x VIX Medium Term ETN                8
TWM     ProShares UltraShort Russell2000                           9
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
TYH     Direxion Daily Technology Bull 3X Shares                   6
TYP     Direxion Daily Technology Bear 3X Shares                  40
TZA     Direxion Daily Small Cap Bear 3X Shares                  220
UCO     ProShares Ultra DJ-UBS Crude Oil                          42
UGA     United States Gasoline Fund LP                            12
UGLD    VelocityShares 3x Long Gold ETN linked to the S&          44
USLV    VelocityShares 3x Long Silver ETN linked to the            8
USMV    iShares MSCI USA Minimum Volatility Index Fund             4
VIIX    VelocityShares VIX Short Term ETN                         10
XLB     Materials Select Sector SPDR Fund                          3
XLI     Industrial Select Sector SPDR Fund                         5
XLY     Consumer Discretionary Select Sector SPDR Fund             3
XRT     SPDR S&P Retail ETF                                       44
ZSL     ProShares UltraShort Silver                              134
=====================================================================
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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