Short Sale Circuit Breaker

The SEC adopted amendments to Regulation SHO with a compliance date of November 10, 2010. Among the rule changes, the SEC introduced Rule 201 (Alternative Uptick Rule), a short sale-related circuit breaker that when triggered, will impose a restriction on prices at which securities may be sold short. The SEC also issued guidance for broker-dealers wishing to mark certain qualifying orders 201cshort exempt.201d For more details, refer to Amendments to Regulation SHO (Release 34-61595).

Trade Date Download Link File Creation Timestamp
Tuesday, September 2,2014 9/2/2014 4:30:04 PM

Symbol Security Name Market Category Trigger Time
OHGI One Horizon Group Common Stk R 8/29/2014 9:30:00 AM
LLEX Lilis Energy, Inc. Cmn Stk Q 8/29/2014 9:31:05 AM
UBIC UBIC, Inc Q 8/29/2014 9:31:55 AM
SGOC SGOCO Group, Ltd Ord Shr R 8/29/2014 9:37:40 AM
KNDI Kandi Technologies Group Cmn Q 8/29/2014 9:39:46 AM
IMRS IMRIS Inc. Q 8/29/2014 9:48:54 AM
CYTXW Cytori Therapeutics Warrants Q 8/29/2014 10:23:38 AM
ORPN Bio Blast Pharma Ltd. Q 8/29/2014 10:24:12 AM
DSKX DS Healthcare Group Cmn Stk R 8/29/2014 10:28:18 AM
CADC China Advd Cnstrctn Mtrls Grp R 8/29/2014 10:46:46 AM
BLVDW Boulevard Acq. Warrants R 8/29/2014 10:55:15 AM
PSBH PSB Holdings Inc R 8/29/2014 11:25:30 AM
QTNTW Quotient Limited Warrants Q 8/29/2014 11:33:21 AM
PSUN Pacific Sunwear of California Q 8/29/2014 12:02:13 PM
TRTLW Terrapin 2 Acquisition Corp R 8/29/2014 12:38:00 PM
EDMC Education Management Corporati Q 8/29/2014 2:16:27 PM
GGACW Gernero Grp Acq Warrant R 8/29/2014 3:46:33 PM
EXEL Exelixis, Inc. Q 9/2/2014 9:30:00 AM
SEVRR Sevcon, Inc. Rights R 9/2/2014 9:30:00 AM
VLTC VOLTARI CORP CMN R 9/2/2014 9:30:00 AM
RIBT RiceBran Technologies Cmn Stk R 9/2/2014 9:30:00 AM
SVA Sinovac Biotech, Ltd Ord Shrs Q 9/2/2014 9:30:00 AM
CONN Conns Inc Q 9/2/2014 9:30:00 AM
RIBTW RiceBran Technologies Warrant R 9/2/2014 9:30:31 AM
ASTM Aastrom Biosciences, Inc. R 9/2/2014 9:36:10 AM
ALDR Alder BioPharmaceuticals Cmn Q 9/2/2014 9:36:22 AM
CBSTZ Cubist Pharmctcls CVR Q 9/2/2014 9:36:51 AM
SGOC SGOCO Group, Ltd Ord Shr R 9/2/2014 9:39:30 AM
IVAN IVANHOE ENERGY INC R 9/2/2014 9:40:32 AM
KUTV Ku6 Media Co., Ltd ADSs Q 9/2/2014 9:44:56 AM
PTSX Point.360 Common Stock R 9/2/2014 9:45:23 AM
CBMX COMBIMATRIX CORP R 9/2/2014 9:52:46 AM
VRNGW Vringo, Inc. Warrants R 9/2/2014 10:11:24 AM
COVS Covisint Corporation Common Q 9/2/2014 10:24:16 AM
TROV TrovaGene, Inc. Common Stock R 9/2/2014 10:26:01 AM
TROVW Trovagene inc warrant R 9/2/2014 10:29:23 AM
IRDMZ Iridium Comm Wts Q 9/2/2014 10:58:44 AM
GALTW Galectin Therapeutics Inc. Wts R 9/2/2014 10:59:59 AM
BBLU Blue Earth, Inc. Common Stock R 9/2/2014 11:02:39 AM
NCTY The9 Limited Q 9/2/2014 11:10:55 AM
CRRS Corporate Resource Srv Cmn R 9/2/2014 11:36:43 AM
HCACW Hennessey Capital Acq Warrants R 9/2/2014 11:37:18 AM
CCCL China Ceramics Co Cmn Stk Q 9/2/2014 11:47:23 AM
DHRM Dehaier Medical Systems Limite R 9/2/2014 12:34:21 PM
TTOO T2 Biosystems, Inc. CS Q 9/2/2014 2:31:04 PM
SPPR Supertel Hospitality, Inc. Q 9/2/2014 3:12:48 PM
IKAN Ikanos Communications Inc R 9/2/2014 3:28:34 PM
ESMC Escalon Medical Corp R 9/2/2014 3:43:50 PM