Trade Date Download Link File Creation Timestamp Monday, February 13, 2017 Download 2/13/2017 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 BIS PROSHARES TR ULTRASHORT NASDAQ G Y N BNTC BENITEC BIOPHARMA LT (AUSTRALI S Y N BOTZ GLOBAL X FDSROBOTICS & ARTIFIC G Y N BSPMBIOSTAR PHARMACEUTICALS INC CO S Y N CATH GLOBAL X FDS GLOBAL X S&P 500 G Y N CIBR FIRST TR FD II NASDAQ CYBERSEC G Y N DFNL DAVIS FUNDAMENTAL ETF TR SELE G Y N DRAM DATARAM CORP COM PAR $ NEW 201 S Y N DRYSDRYSHIPS INC COM STK (MHL) S Y N ENZL ISHARES TR MSCI NEW ZEALAND CA G Y N EVGBC EATON VANCE NEXTSHARES TR GLOB G Y N FAD FIRST TR MULTI CAP GROWTH ALPH G Y N FBZ FIRST TRUST BRAZIL ALPHADEX FU G Y N FDT FIRST TRUST DEVELOPED MARKETS G Y N FEMB FIRST TR ETF EMERGING MARKETS G Y N FGM FIRST TRUST GERMANY ALPHADEX F G Y N FLN FIRST TRUST LATIN AMERICA ALPH G Y N FNCX FUNCTIONX INC NEW COM PAR$.001 S Y N FSZ FIRST TRUST SWITZERLAND ALPHAD G Y N FTXO FIRST TR ETF VI NASDAQ BK ETF G Y N GEVOGEVO INC COM PAR $.01 S Y N GLBS GLOBUS MARITIME LIMITED SHS NE S Y N HYZD WISDOMTREE TR INTEREST RATE HE G Y N KBWR POWERSHARES KBW REGL BK PORT G Y N NAKD NAKED BRAND GROUP INC COM NEW S Y N NOVN NOVAN INC COM G Y N OCRX OCERA THERAPEUTICS INC COM STK G Y N OSN OSSEN INNOVATION CO LTD SPONSO S Y N PULM PULMATRIX INC COM G Y N RDVY FIRST TRUST RISING DIVIDEND AC G Y N RFDI FIRST TRUST ETF III RIVERFRONT G Y N RGSEREAL GOODS SOLAR INC CL A NEW S Y N ROBO ROBO GLOBAL ROBOTICS AND AUTOM G Y N SKLN SKYLINE MEDICAL INC. COM PAR $ S Y N SOCLGLOBAL X SOCIAL MEDIA INDEX G Y N SRET GLOBAL X FDS SUPERDIVIDEND REI G Y N TELL TELLURIAN INC NEW COM STK (DE) S Y N URRE URANIUM RES INC COM STK (DE) S Y N VIGI VANGUARD WHITEHALL FDS INTL DI G Y N XGTI XG TECHNOLOGY INC COM PAR $.00 S Y N ZBIO PROSHARES TR ULTRAPRO SHORT NA G Y N
OTC Threshold Securities as of Feb 13, 2017 Threshold Issue Data Information Issue
02/13/2017 ACSAY ACS Actividades De Construccion Y Servicios SA Unsponsored ADR (Spain) Other OTC N Y 02/13/2017 ANIOY Acerinox SA Unsponsored ADR (Spain) Other OTC N Y 02/13/2017 AKBTY Akbank Turk Anonim Sirketi ADR (Turkey) Other OTC N Y 02/13/2017 AZFL Amazonas Florestal Ltd Common Stock Other OTC N Y 02/13/2017 APNHY Aspen Pharmacare Holdings plc Unsponsored ADR (South Africa) Other OTC N Y 02/13/2017 BKHYY Bank Hapoalim BM Sponsored ADR (Israel) Other OTC N Y 02/13/2017 CJJY C&J Energy Svcs Inc New Other OTC N Y 02/13/2017 CURM CUR Media, Inc. Common Stock Other OTC Y N 02/13/2017 BLOZF Cannabix Technologies Inc. Ordinary Shares (Canada) Other OTC N Y 02/13/2017 CRRFY Carrefour S A (F) Sponsored ADR (France) Other OTC N Y 02/13/2017 EONGY E.ON SE Sponsored ADR (Germany) Other OTC N Y 02/13/2017 ENGIY ENGIE American Depositary Receipts - Sponsored Other OTC N Y 02/13/2017 ENLAY Enel Societa Per Azioni Unsponsored ADR (Italy) Other OTC N Y 02/13/2017 GVDNY Givaudan SA Unsponsored ADR (Switzerland) Other OTC N Y 02/13/2017 GBOOY Grupo Financiero Banorte, S.A.B. De C.V Sponsored ADR (Mexico) Other OTC N Y 02/13/2017 ICLD INTERCLOUD SYS INC Common Stock Other OTC N Y 02/13/2017 IMPUY Impala Platinum Holdings Ltd Sponsored ADR (South Africa) Other OTC N Y 02/13/2017 IHLDY Imperial Holdings Limited Sponsored ADR NEW (South Africa) Other OTC N Y 02/13/2017 JSAIY J Sainsbury Plc Sponsored ADR NEW (UK) Other OTC N Y 02/13/2017 JENGF Just Energy Group Inc. Cum Red Perp Pfd Series A (Canada) Other OTC N Y 02/13/2017 KROTY Kroton Educacional SA, Brazil Sponsored ADR (Brazil) Other OTC N Y 02/13/2017 LNSTY LONDON STK EXCHANGE GROUP American Depositary Receipts - Unsponsored (United Kingdom) Other OTC N Y 02/13/2017 LEMIF Leading Edge Materials Corp. Common Shares Other OTC N Y 02/13/2017 LTGHY Life Healthcare Group Holdings Ltd Unsponsored ADR (South Africa) Other OTC N Y 02/13/2017 MIDLF Midland Expl Inc Common shares (Canada) Other OTC N Y 02/13/2017 MRAAY Murata Manufacturing Co Ltd Unsponsored ADR (Japan) Other OTC N Y 02/13/2017 NPSNY Naspers Limited N Shs Sponsored American Depositary Receipt Representing Class N Shares (South Africa) Other OTC N Y 02/13/2017 NVGT Novagant Corp. Common Stock Other OTC Y N 02/13/2017 BTUUQ PEABODY ENERGY CORP Common Stock Other OTC N Y 02/13/2017 OGZPY PJSC Gazprom American Depositary Receipts - Sponsored Other OTC N Y 02/13/2017 PBSFY ProSiebenSat.1 Media SE American Depositary Receipts - Unsponsored Other OTC N Y 02/13/2017 PSCR Proto Script Pharmaceutical Corp. Common Stock Other OTC Y N 02/13/2017 RTOKY Rentokil Initial Plc (Fgn) American Depositary Shares Other OTC N Y 02/13/2017 RMHB Rocky Mountain High Brands, Inc. Common Stock Other OTC N Y 02/13/2017 SBRCY Sberbank Russia Sponsored American Depository Receipt (Russia) Other OTC N Y 02/13/2017 SLSDF Select Sands Corp. Common Shares Other OTC N Y 02/13/2017 SHCAY Sharp Corp (Osaka) American Depositary Shares Other OTC N Y 02/13/2017 SMFKY Smurfit Kappa Group Plc American Depositary Shares (Dublin) Other OTC N Y 02/13/2017 SRGZ Star Gold Corp. Common Stock Other OTC Y N 02/13/2017 TLSNY Telia Company AB American Depositary Receipts - Unsponsored Other OTC N Y 02/13/2017 VDMCY Vodacom Group Ltd. Sponsored ADR Other OTC N Y 02/13/2017 WLWHY Woolworths Holdings Ltd Sponsored GDR New (South Africa) Other OTC N Y 02/13/2017 XREE X Rail Enterprises, Inc. Common Stock Other OTC N Y 02/13/2017 ZURVY Zurich Insurance Group Limited Sponsored American Depositary Shares Other OTC N Y