Bloomberg News

NYSE Arca ‘Threshold’ Securities for March 27

March 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
=====================================================================
ASEA    Global X Asean 40 ETF                                      7
BGU     Direxion Daily Large Cap Bull 3X Shares                    7
BGZ     Direxion Daily Large Cap Bear 3X Shares                   74
BSJF    Guggenheim BulletShares 2015 High Yield Corporat          46
DSUM    PowerShares Chinese Yuan Dim Sum Bond Portfolio            3
EBND    SPDR Barclays Capital Emerging Markets Local Bon           1
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
ECON    EGShares Emerging Markets Consumer ETF                     4
EDIV    SPDR S&P Emerging Markets Dividend ETF                     6
EDZ     Direxion Daily Emerging Markets Bear 3X Shares           254
ERX     Direxion Daily Energy Bull 3X Shares                      11
EUM     ProShares Short MSCI Emerging Markets                      9
EWRM    Guggenheim Russell MidCap Equal Weight ETF                 1
EWZS    iShares MSCI Brazil Small Cap Index Fund                  12
FAS     Direxion Daily Financial Bull 3X Shares                   87
FAZ     Direxion Daily Financial Bear 3X Shares                  266
FEM     First Trust Emerging Markets AlphaDEX Fund                 1
FMU     Focus Morningstar US Market Index ETF                      1
FVD     First Trust Value Line Dividend Index Fund                 4
FXN     First Trust Energy AlphaDEX Fund                           1
FXR     First Trust Industrials/Producer Durables AlphaD          24
GWL     SPDR S&P World ex-US ETF                                   6
GXG     Global X FTSE Colombia 20 ETF                              3
HILO    EGShares Low Volatility Emerging Markets Dividen           2
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
IAT     iShares Dow Jones US Regional Banks Index Fund             3
IBND    SPDR Barclays Capital International Corporate Bo           8
IOIL    IQ Global Oil Small Cap ETF                                6
IPD     SPDR S&P International Consumer Discretionary Se           6
ITB     iShares Dow Jones US Home Construction Index Fun           2
IYG     iShares Dow Jones US Financial Services Index Fu           2
IYT     iShares Dow Jones Transportation Average Index F          29
IYY     iShares Dow Jones US Index Fund                            2
KBWD    PowerShares KBW High Dividend Yield Financial Po           8
KLD     iShares MSCI USA ESG Select Social Index Fund              8
KRE     SPDR S&P Regional Banking ETF                              4
MVV     ProShares Ultra MidCap400                                 32
NUGT    Direxion Daily Gold Miners Bull 3x Shares                  5
OIH     Market Vectors Oil Service ETF                             2
PBP     PowerShares S&P 500 BuyWrite Portfolio                     1
PMR     PowerShares Dynamic Retail Portfolio                      12
PSQ     ProShares Short QQQ                                       21
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
PTO     PowerShares Ibbotson Alternative Completion Port           3
QLD     ProShares Ultra QQQ                                       14
RKH     Market Vectors Bank and Brokerage ETF                      3
RPV     Guggenheim S&P 500 Pure Value ETF                          8
SLY     SPDR S&P 600 Small CapETF                                  2
SPHB    PowerShares S&P 500 High Beta Port ETF                     3
SRS     ProShares UltraShort Real Estate                           4
SRTY    ProShares UltraPro Short Russell2000                       4
SSG     ProShares UltraShort Semiconductors                        3
SSO     ProShares Ultra S&P500                                    13
SVXY    ProShares Short VIX Short-Term Futures ETF                28
TAN     Guggenheim Solar ETF                                       5
TGEM    EGShares Telecom GEMS ETF                                  4
TMF     Direxion Daily 20 Year Plus Treasury Bull 3x Sha          32
TMV     Direxion Daily 20 Year Plus Treasury Bear 3x Sha          32
TNA     Direxion Daily Small Cap Bull 3X Shares                  247
TRXT    Pimco Total Return ETF                                     4
=====================================================================
                                                        Consecutive
Ticker  Security Name                                   Days on List
=====================================================================
TVIX    VelocityShares Daily 2x VIX Short Term ETN                 6
TWM     ProShares UltraShort Russell2000                          19
TYH     Direxion Daily Technology Bull 3X Shares                  16
TYP     Direxion Daily Technology Bear 3X Shares                  50
TZA     Direxion Daily Small Cap Bear 3X Shares                  230
UCO     ProShares Ultra DJ-UBS Crude Oil                          52
UGLD    VelocityShares 3x Long Gold ETN linked to the S&          54
UPRO    ProShares UltraPro S&P 500                                 2
VIXY    ProShares VIX Short-Term Futures ETF                       4
XME     SPDR S&P Metals & Mining ETF                              10
XOP     SPDR S&P Oil & Gas Exploration & Production ETF            2
XRT     SPDR S&P Retail ETF                                       54
ZSL     ProShares UltraShort Silver                              144
=====================================================================
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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