NYSE Arca Noncompliant Issuers

NYSE Regulation publishes a list of issuers that are noncompliant with NYSE Arca quantitative/qualitative continued listing standards (collectively “.BC”) or that are delayed in filing an annual or interim report required pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (a late filer or “.LF”).  An issuer/issue is added to this list five business days after NYSE Regulation notifies the issuer of the deficiency/delinquency and is removed from the list one business day after the issue is resolved or the issuer is determined to be in compliance with continued listing standards.

Two indicators are disseminated to identify an issuer's noncompliance with the continued listing standards.  A .BC indicator is used for an issuer that is below compliance with the continued listing standards and a .LF indicator is used for an issuer that has failed to make a timely filing with the Securities and Exchange Commission. 

The continued listing standards are set forth in the NYSE Arca Equities Rules.  See Rule 5 and Rule 8 of the NYSE Arca Equities Rules for NYSE Arca continued listings standards and related procedures.

Issuer Name/SymbolIndicatorDeficiencyNotification Date
FQF Trust
.BCRecord/Beneficial Shareholders09/09/2014
ProShares Trust
.BCRecord/Beneficial Shareholders09/09/2014
ProShares Trust II
.BCRecord/Beneficial Shareholders09/09/2014