Trade Date Download Link File Creation Timestamp Thursday, October 06, 2016 Download 10/6/2016 11:00:03 PM Threshold Security List
Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
ALTY GLOBAL X FDS SUPERDIVIDEND ALT G Y N APRI APRICUS BIOSCIENCES, INC COM S S Y N BSPM BIOSTAR PHARMACEUTICALS INC CO S Y N CATH GLOBAL X FDS GLOBAL X S&P 500 G 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 DWAC ELKHORN ETF TR COMMODITY ROTAT 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 FYC FIRST TRUST SMALL CAP GROWTH A G Y N FYT FIRST TRUST SMALL CAP VALUE A G Y N GALT GALECTIN THERAPEUTICS INC. COM S Y N KWEB KRANESHARES TR CSI CHINA INTER G Y N LPTH LIGHTPATH TECHNOLOGIES INC S Y N PNQI POWERSHARES NASDAQ INTERNET PO G Y N RGSEREAL GOODS SOLAR INC CL A NEW S Y N SOCL GLOBAL X SOCIAL MEDIA INDEX G Y N SOXX ISHARES PHLX SEMICONDUCTOR ETF G Y N SRET GLOBAL X FDS SUPERDIVIDEND REI G Y N TQQQ PROSHARES ULTRAPRO QQQ G Y N TVIX CREDIT SUISSE AG NASSAU BRH VE G Y N ZBIO PROSHARES TR ULTRAPRO SHORT NA G Y N
OTC Threshold Securities as of Oct 6, 2016 Threshold Issue Data Information Issue
10/06/2016 AMLH American Leisure Holdings, Inc. Common Stock Other OTC Y N 10/06/2016 AVTO Avantogen Oncology, Inc. Common Stock Other OTC Y N 10/06/2016 AXPW Axion Power International, Inc. Common Stock Other OTC Y N 10/06/2016 DMQHF DHX Media Ltd Ordinary Shares Vtg Shares (Canada) Other OTC N Y 10/06/2016 GARWF Golden Arrow Res Corp Common Shares (Canada) Other OTC N Y 10/06/2016 INQD INDOOR HARVEST CORP Common Stock Other OTC Y N 10/06/2016 ICLD INTERCLOUD SYS INC Common Stock Other OTC N Y 10/06/2016 NILSY MMC Norilsk Nickel PJSC American Depositary Receipts - Sponsored Other OTC N Y 10/06/2016 MYDX MyDx, Inc. Common Stock Other OTC Y N 10/06/2016 OIBRQ OI SA Sponsored ADR representing Preferred (Brazil) Other OTC N Y 10/06/2016 OGZPY PJSC Gazprom American Depositary Receipts - Sponsored Other OTC N Y 10/06/2016 PBSFY ProSiebenSat.1 Media SE American Depositary Receipts - Unsponsored Other OTC N Y 10/06/2016 SRGHY Shoprite Holdings Ltd Ord SPONSORED ADR Other OTC N Y 10/06/2016 SWGAY Swatch Group Ag (The) Unsponsored ADR (Switzerland) Other OTC N Y 10/06/2016 TLRS Timberline Resources Corp. Common Stock Other OTC N Y 10/06/2016 TKGBY Turkiye Garanti Bankasi A S American Depositary Shares Other OTC N Y 10/06/2016 WLKR Walker Innovation Inc. Common Stock Other OTC Y N 10/06/2016 XREE X Rail Enterprises, Inc. Common Stock Other OTC N Y