Threshold Securities - NYSE Arca
A Threshold Security is defined by Rule 203(c)(6) of the SEC's Regulation SHO as any equity security of an issuer that is registered under Section 12, or that is required to file reports pursuant to Section 15(d) of the Exchange Act where for five consecutive settlement days: (1) there are aggregate fails to deliver at a registered clearing agency of 10,000 shares or more per security; (2) the level of fails is equal to at least one-half of one percent of the issuer's total shares outstanding; and (3) the security is included on a list published by a self regulatory organization.
Reg SHO is designed to fulfill several objectives, including: (a) the establishment of uniform locate and delivery requirements in order to address problems associated with failures to deliver, and (b) the creation of uniform marking requirements for sales of all equity securities.
Accordingly NYSE Amex will post a list of threshold securities on this site for every settlement day.
Note: The Threshold List will not be generated on bank holidays when the Depository Trust & Clearing Corporation is closed but equity exchanges are open.
Due to a system malfunction, incorrect Regulation SHO Threshold Securities Lists for NYSE Arca were published for September 21, 2009 through October 20, 2009. The corrected lists are published on this page under the appropriate dates.
The original Regulation SHO Threshold Lists are accessible by clicking on this link
Due to a technical problem that was recently discovered, for 66 trade dates between January 1, 2010 and February 22, 2011, the Threshold Securities Lists published for NYSE, NYSE Amex and NYSE Arca incorrectly omitted securities that met the requirements for a Threshold Security. The Threshold Securities Lists for those trade dates were republished on February 24, 2011 with corrected information. The affected dates are noted by an asterisk.
The NYSE Arca Threshold Securities List for the period of June 15 to June 21, 2011 incorrectly assigned symbol CZN to DIREXION SHS ETF CHINA BULL 3X. In fact, the symbol had changed from CZN to YINN. Entries on the Threshold List for this period should have contained the symbol YINN for this issue. All other information is correct.
Historical NYSE Arca Threshold List