Trade Date Download Link File Creation Timestamp Friday, January 13, 2017 Download 1/13/2017 11:00:19 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 BBH VANECK VECTORS ETF TR BIOTECH G Y N BOTZ GLOBAL X FDSROBOTICS & ARTIFIC G Y N CDC VICTORY PORTFOLIOS II CEMP US G Y N CDL VICTORY PORTFOLIOS II CEMP US G Y N CEZ VICTORY PORTFOLIOS II CEMP EME G Y N DWAC ELKHORN ETF TR COMMODITY ROTAT G Y N ETRM ENTEROMEDICS INC COM PAR $.01 S Y N FDIV FIRST TRUST STRATEGIC INCOME G Y N FDT FIRST TRUST DEVELOPED MARKETS G Y N FTXO FIRST TR ETF VI NASDAQ BK ETF G Y N FYC FIRST TRUST SMALL CAP GROWTH A G Y N FYT FIRST TRUST SMALL CAP VALUE A G Y N GALTW GALECTIN THERAPEUTICS INC WARR S Y N GEVOGEVO INC COM PAR $.01 S Y N GNRX VANECK VECTORS ETF TR GENERIC G Y N HMNY HELIOS & MATHESON ANALYTICS C S Y N HTBX HEAT BIOLOGICS INC COM STK (DE S Y N IDXG INTERPACE DIAGNOSTICS GROUP IN S Y N KBWY POWERSHARES KBW PREMIUM YIELD G Y N NURO NEUROMETRIX INC COM STK NEW (D S Y N OPXA OPEXA THERAPEUTICS, INC. COM P S Y N OREX OREXIGEN THERAPEUTICS, INC. CO Q Y N PPH VANECK VECTORS TR PHARMACEUTIC G Y N PSCE POWERSHARES S&P SMALLCAP ENERG G Y N PSCF POWERSHARES S&P SMALLCAP FINAN G Y N PSCI POWERSHARES S&P SMALLCAP INDUS G Y N RDVY FIRST TRUST RISING DIVIDEND AC G Y N RFDI FIRST TRUST ETF III RIVERFRONT G Y N SINO SINO-GLOBAL SHIPPING AMERICA.L S Y N SKLN SKYLINE MEDICAL INC. COM PAR $ S Y N SNSR GLOBAL X FDSINTERNET OF THINGS G Y N TVIX CREDIT SUISSE AG NASSAU BRH VE G Y N URRE URANIUM RES INC COM STK (DE) S Y N VIIX CREDIT SUISSE NASSAU BRH VS VI G Y N VTWO VANGUARD RUSSELL 2000 ETF G Y N VYMI VANGUARD WHITEHALL FDS INTL HI G Y N XGTI XG TECHNOLOGY INC COM PAR $.00 S Y N
OTC Threshold Securities as of Jan 13, 2017 Threshold Issue Data Information Issue
01/13/2017 TGOPY 3i Group Plc Unsponsored ADR (UK) Other OTC N Y 01/13/2017 ACSAY ACS Actividades De Construccion Y Servicios SA Unsponsored ADR (Spain) Other OTC N Y 01/13/2017 BTLCY British Land Co Sponsored ADR (UK) Other OTC N Y 01/13/2017 CURM CUR Media, Inc. Common Stock Other OTC Y N 01/13/2017 CRRFY Carrefour S A (F) Sponsored ADR (France) Other OTC N Y 01/13/2017 DIISY Direct Line Insurance Group PLC American Depositary Receipts - Unsponsored Other OTC N Y 01/13/2017 GTOMY Gemalto NV Sponsored ADR (Netherlands) Other OTC N Y 01/13/2017 GRWG Growgeneration Corp Common Stock Other OTC Y N 01/13/2017 IMPUY Impala Platinum Holdings Ltd Sponsored ADR (South Africa) Other OTC N Y 01/13/2017 JSAIY J Sainsbury Plc Sponsored ADR NEW (UK) Other OTC N Y 01/13/2017 JBAXY Julius Baer Group Ltd Unsponsored ADR (Switzerland) Other OTC N Y 01/13/2017 KAYS Kaya Holdings, Inc. Common Stock Other OTC N Y 01/13/2017 KMTUY Komatsu Ltd Ord American Depositary Shares Other OTC N Y 01/13/2017 MSLOY Mitsui Osk Lines Ltd Unsponsored ADR (Japan) Other OTC N Y 01/13/2017 SPLIF NUTRITIONAL HIGH INTL INC Ordinary Shares (Canada) Other OTC N Y 01/13/2017 NRBAY Nordea Bank AB Sponsored ADR (Sweden) Other OTC N Y 01/13/2017 NDEV Novus Acquisition & Development Corp. Common Stock Other OTC N Y 01/13/2017 TRKK Orbital Tracking Corp Common Stock OTCBB Y N 01/13/2017 OTSKY Otsuka Holdings Co. Ltd, Tokyo Unsponsored ADR (Japan) Other OTC N Y 01/13/2017 LUKOY PJSC Lukoil American Depositary Receipts - Sponsored Other OTC N Y 01/13/2017 SHCAY Sharp Corp (Osaka) American Depositary Shares Other OTC N Y 01/13/2017 SMFKY Smurfit Kappa Group Plc American Depositary Shares (Dublin) Other OTC N Y 01/13/2017 TOSYY Toshiba Corp Unsponsored ADR (Japan) Other OTC N Y 01/13/2017 WLWHY Woolworths Holdings Ltd Sponsored GDR New (South Africa) Other OTC N Y 01/13/2017 XREE X Rail Enterprises, Inc. Common Stock Other OTC N Y