Trade Date Download Link File Creation Timestamp Thursday, October 20, 2016 Download 10/20/2016 11:00:21 PM Threshold Security List
Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
AIRR FIRST TR VI RBA AMERN INDL REN G Y N BSPM BIOSTAR PHARMACEUTICALS INC CO S Y N CDC VICTORY PORTFOLIOS II CEMP US G Y N CFA VICTORY PORTFOLIOS II CEMP US G Y N DRAM DATARAM CORP COM PAR $ NEW 201 S Y N DWAC ELKHORN ETF TR COMMODITY ROTAT G Y N EKSO EKSO BIONICS HLDGS INC COM NE S Y N FEM FIRST TRUST EMERGING MARKETS A G Y N FYT FIRST TRUST SMALL CAP VALUE A G Y N GLDI CREDIT SUISSE X-LINKS GOLD SHS G Y N INVT INVENTERGY GLOBAL INC NEW COM S Y N LVHD LEGG MASON ETF EQUITY TR LOW V G Y N MCUR MACROCURE LTD SHS (ISR) G Y N ONEQ FIDELITY NASDAQ COMPOSITE INDE G Y N PPH VANECK VECTORS TR PHARMACEUTIC G Y N QQEW FIRST TR NASDAQ 100 EQUAL WEIG G Y N RDVY FIRST TR ETF FIRST TR NASDAQ R G Y N RGSEREAL GOODS SOLAR INC CL A NEW S Y N SLVO CREDIT SUISSE X-LINKS SILVER S G Y N SNSR GLOBAL X FDSINTERNET OF THINGS G Y N SPU SKYPEOPLE FRUIT JUICE INC COM G Y N TQQQ PROSHARES ULTRAPRO QQQ G Y N TVIX CREDIT SUISSE AG NASSAU BRH VE G Y N UBIO PROSHARES TR ULTRAPRO NASDAQ B G Y N VYMI VANGUARD WHITEHALL FDS INTL HI G Y N
OTC Threshold Securities as of Oct 20, 2016 Threshold Issue Data Information Issue
10/20/2016 ABRTY Abertis Infraestructuras S.A. Unsponsored ADR (Spain) Other OTC N Y 10/20/2016 AMADY Amadeus IT Group SA American Depositary Receipts - Unsponsored Other OTC N Y 10/20/2016 AMMJ American Cannabis Company, Inc. Common Stock Other OTC Y N 10/20/2016 AMLH American Leisure Holdings, Inc. Common Stock Other OTC Y N 10/20/2016 AVTO Avantogen Oncology, Inc. Common Stock Other OTC Y N 10/20/2016 AXPWAxion Power International, Inc. Common Stock Other OTC Y N 10/20/2016 JALABe Active Holdings, Inc. Common Stock Other OTC Y N 10/20/2016 CCLAY Coca Cola Amatil Limited Sponsored ADR Other OTC N Y 10/20/2016 GARWF Golden Arrow Res Corp Common Shares (Canada) Other OTC N Y 10/20/2016 HOWWY Hopewell Holdings Ltd American Depositary Shares Other OTC N Y 10/20/2016 MYDX MyDx, Inc. Common Stock Other OTC Y N 10/20/2016 NEWC New Colombia Resources, Incorporated Common Stock Other OTC Y N 10/20/2016 TRKK Orbital Tracking Corp Common Stock OTCBB Y N 10/20/2016 OGZPY PJSC Gazprom American Depositary Receipts - Sponsored Other OTC N Y 10/20/2016 SLCJY SLC Agricola Sa Sponsored American Depository Receipt (Brazil) Other OTC N Y 10/20/2016 SCAZP Sanchez Energy Corporation Perpetual Preferred Convertible Series B Other OTC Y N 10/20/2016 SHECY Shin-Etsu Chemical Co Ltd Unsponsored ADR (Japan) Other OTC N Y 10/20/2016 SWGAY Swatch Group Ag (The) Unsponsored ADR (Switzerland) Other OTC N Y 10/20/2016 XREE X Rail Enterprises, Inc. Common Stock Other OTC N Y