Trade Date Download Link File Creation Timestamp Friday, September 30, 2016 Download 9/30/2016 11:00:20 PM Threshold Security List
Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
APRI APRICUS BIOSCIENCES, INC COM S S Y N BSPMBIOSTAR PHARMACEUTICALS INC CO S Y N CDC VICTORY PORTFOLIOS II CEMP US G Y N CFA VICTORY PORTFOLIOS II CEMP US G Y N CID VICTORY PORTFOLIOS II CEMP INT G Y N FEM FIRST TRUST EMERGING MARKETS A G Y N FKO FIRST TRUST SOUTH KOREA ALPHAD G Y N FPXI FIRST TR ETF II INTL IPO ETF ( G Y N FTSM FIRST TR ENHANCED TRADED FD IV G Y N FYT FIRST TRUST SMALL CAP VALUE A G Y N GALT GALECTIN THERAPEUTICS INC. COM S Y N HTBX HEAT BIOLOGICS INC COM STK (DE S Y N KWEB KRANESHARES TR CSI CHINA INTER G Y N LPTH LIGHTPATH TECHNOLOGIES INC S Y N MARA MARATHON PATENT GROUP INC COM S Y N MBVX MABVAX THERAPEUTICS HOLDINGS, S Y N RGSEREAL GOODS SOLAR INC CL A NEW S Y N SCTYSOLARCITY CORP Q Y N SOCL GLOBAL X SOCIAL MEDIA INDEX G Y N SOXX ISHARES PHLX SEMICONDUCTOR ETF G Y N TQQQ PROSHARES ULTRAPRO QQQ G Y N TVIX CREDIT SUISSE AG NASSAU BRH VE G Y N USLB POWERSHARES RUSSELL 1000 LOW B G Y N VGLT VANGUARD LG-TRM GOVT BD ETF G Y N VIGI VANGUARD WHITEHALL FDS INTL DI G Y N WATTENERGOUS CORP COM STK S Y N XCOM XTERA COMMUNICATIONS INC COM S G Y N
OTC Threshold Securities as of Sept 30, 2016 Threshold Issue Data Information Issue
09/30/2016 ACGBY Agricultural Bank of China Unsponsored American Depository Receipt (China) Other OTC N Y 09/30/2016 ACIIQ Arch Coal, Inc. Common Stock Other OTC N Y 09/30/2016 AVTO Avantogen Oncology, Inc. Common Stock Other OTC Y N 09/30/2016 AXPW Axion Power International, Inc. Common Stock Other OTC Y N 09/30/2016 BNKJF Bankers Petroleum Ltd Ordinary Shares (Canada) Other OTC N Y 09/30/2016 CRRFY Carrefour S A (F) Sponsored ADR (France) Other OTC N Y 09/30/2016 CCLAY Coca Cola Amatil Limited Sponsored ADR Other OTC N Y 09/30/2016 DMQHF DHX Media Ltd Ordinary Shares Vtg Shares (Canada) Other OTC N Y 09/30/2016 GARWF Golden Arrow Res Corp Common Shares (Canada) Other OTC N Y 09/30/2016 INQD INDOOR HARVEST CORP Common Stock Other OTC Y N 09/30/2016 ICLD INTERCLOUD SYS INC Common Stock Other OTC N Y 09/30/2016 ITOCY Itochu Corp American Depositary Shares Other OTC N Y 09/30/2016 JAMN Jammin Java Corp. Common Stock Other OTC Y N 09/30/2016 LTGHY Life Healthcare Group Holdings Ltd Unsponsored ADR (South Africa) Other OTC N Y 09/30/2016 TRKK Orbital Tracking Corp Common Stock OTCBB Y N 09/30/2016 OGZPY PJSC Gazprom American Depositary Receipts - Sponsored Other OTC N Y 09/30/2016 OAOFY PJSC Tatneft American Depositary Receipts - Sponsored Other OTC N Y 09/30/2016 PBSFY ProSiebenSat.1 Media SE American Depositary Receipts - Unsponsored Other OTC N Y 09/30/2016 SWGAY Swatch Group Ag (The) Unsponsored ADR (Switzerland) Other OTC N Y 09/30/2016 TKGBY Turkiye Garanti Bankasi A S American Depositary Shares Other OTC N Y 09/30/2016 XREE X Rail Enterprises, Inc. Common Stock Other OTC N Y