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
Thursday, October 2,2014 10/2/2014 4:15:05 AM

Symbol Security Name Market Category Trigger Time
WPRT Westport Innovations Inc. Q 10/1/2014 9:30:00 AM
SPEX Spherix Incorporated R 10/1/2014 9:30:00 AM
MSON MISONIX Inc Q 10/1/2014 9:30:00 AM
ASEI American Science & Engineering Q 10/1/2014 9:31:45 AM
AMRK A-Mark Precious Metals, Inc. Q 10/1/2014 9:34:29 AM
CISAW CIS Acq. Ltd. Warrant R 10/1/2014 9:37:33 AM
NXTD Nxt-ID, Inc. Common Stock R 10/1/2014 9:40:33 AM
RGSE Real Goods Solar, Inc. R 10/1/2014 9:40:44 AM
GTLS Chart Industries Inc Q 10/1/2014 9:41:49 AM
GPRC GUANWEI RECYCLING R 10/1/2014 9:42:08 AM
HGSH China HGS Real Estate Cmn Stk R 10/1/2014 9:43:03 AM
QTNTW Quotient Limited Warrants Q 10/1/2014 9:46:14 AM
AEHR Aehr Test Systems R 10/1/2014 9:48:26 AM
DLIA dELiA*s Inc. Q 10/1/2014 9:48:38 AM
RCPI Rock Creek Pharma Inc Q 10/1/2014 9:49:10 AM
CBDE CBD Energy Ltd Ord Shs R 10/1/2014 9:52:00 AM
LOOK LookSmart Ltd R 10/1/2014 10:05:07 AM
ADXSW Advaxis, Inc. Warrants R 10/1/2014 10:06:08 AM
NXTDW Nxt-ID, Inc. Warrant R 10/1/2014 10:18:05 AM
SMLR Semler Scientific, Inc. R 10/1/2014 10:21:04 AM
CPRX Catalyst Pharmaceutical Partne R 10/1/2014 10:24:31 AM
ADHD Alcobra Ltd. Ordinary Shares Q 10/1/2014 10:25:08 AM
RITTW RIT Technologies WT exp 2018 R 10/1/2014 10:28:16 AM
RXDX Ignyta, Inc. Common Stock R 10/1/2014 10:32:09 AM
ACST Acasti Pharma, Inc. Cl A Cmn R 10/1/2014 10:32:23 AM
ROIAK Radio One Inc Cl D R 10/1/2014 10:34:23 AM
AFMD Affimed Therapeutics BV Cm St Q 10/1/2014 10:35:33 AM
RVLT Revolution Lighting Tech Cmn R 10/1/2014 10:35:43 AM
AGRX Agile Therapeutics, Inc. Cmn Q 10/1/2014 10:40:13 AM
OXBRW Oxbridge Re Hldgs Ltd Warrants R 10/1/2014 10:40:19 AM
SYNL Synalloy Corp Q 10/1/2014 10:40:53 AM
ASTI Ascent Solar Tech Cmn Stk R 10/1/2014 10:42:20 AM
CNET ChinaNet Online Holdings, Inc. R 10/1/2014 10:55:46 AM
IMNP Immune Pharma Cmn Stk R 10/1/2014 11:10:10 AM
ATLC Atlanticus Holdings Corp Q 10/1/2014 11:22:00 AM
WAVX WAVE SYSTEMS CP CL A R 10/1/2014 11:25:38 AM
MEILZ Methes Energies Cl B Warrant R 10/1/2014 11:31:12 AM
CCCL China Ceramics Co Cmn Stk Q 10/1/2014 11:31:16 AM
CNDO Coronado Biosciences Cmn Stk R 10/1/2014 11:38:25 AM
BBLU Blue Earth, Inc. Common Stock R 10/1/2014 11:43:47 AM
PTSX Point.360 Common Stock R 10/1/2014 11:50:19 AM
ICEL Cellular Dynamics Internationa Q 10/1/2014 11:51:07 AM
BYFC Broadway Financial Corporation R 10/1/2014 11:52:37 AM
BNSO Bonso Electronics Int'l R 10/1/2014 12:07:56 PM
SANW S&W Seed Company R 10/1/2014 12:15:08 PM
ISNS Image Sensing Systems Inc R 10/1/2014 12:21:09 PM
RTRX Retrophin, Inc. Common Stock Q 10/1/2014 12:25:31 PM
NWBOW Northwest Biotherapeutics, Inc R 10/1/2014 12:25:50 PM
TNXP Tonix Pharma Hldg Cmn Stk Q 10/1/2014 12:32:27 PM
ECTE ECHO THERAPEUTICS R 10/1/2014 12:33:21 PM
HART Harvard Apparatus Regnrtv Cmn R 10/1/2014 12:49:34 PM
JRJC China Finance Online Co. Limit Q 10/1/2014 12:57:54 PM
GEOS Geospace Technologies Q 10/1/2014 1:11:34 PM
XONE The ExOne Company Q 10/1/2014 1:15:27 PM
TROVW Trovagene inc warrant R 10/1/2014 1:20:06 PM
IRDMZ Iridium Comm Wts Q 10/1/2014 1:24:25 PM
RIBT RiceBran Technologies Cmn Stk R 10/1/2014 1:38:25 PM
TROV TrovaGene, Inc. Common Stock R 10/1/2014 1:39:07 PM
WHLRW Wheeler REIT Warrants R 10/1/2014 1:41:53 PM
LPCN Lipocine Inc. Common Stock R 10/1/2014 1:42:21 PM
ATOS Atossa Genetics Inc. R 10/1/2014 1:49:24 PM
SANWZ S&W Seed Company R 10/1/2014 1:52:30 PM
NEPT Neptune Tech & Bioresrc R 10/1/2014 2:00:06 PM
CVV CVD Equipment Corporation R 10/1/2014 2:00:50 PM
VTAE Vitae Pharmaceuticals Cmn St Q 10/1/2014 2:01:54 PM
BIOFR BioFuel Energy Corp. RT R 10/1/2014 2:01:58 PM
BAXS Baxano Surgical, Inc. Q 10/1/2014 2:02:41 PM
RDUS Radius Health, Inc. Cmn Stk Q 10/1/2014 2:15:52 PM
YOD YOU On Demand Holdings Cmn Stk R 10/1/2014 2:24:54 PM
PSDV pSivida Corp Common Stock Q 10/1/2014 2:25:42 PM
ANTH Anthera Pharmaceuticals, Inc. Q 10/1/2014 2:52:17 PM
SMIT Schmitt Industries Inc R 10/1/2014 2:53:10 PM
FFHL Fuwei Films (Holdings) Co Q 10/1/2014 3:02:38 PM
COSI COSI, INC. R 10/1/2014 3:03:08 PM
ICLDW InterCloud Systems Wrnt R 10/1/2014 3:13:33 PM
GLRI Glori Energy Inc Common Stock R 10/1/2014 3:14:43 PM
ENVI Envivio, Inc. Q 10/1/2014 3:22:51 PM
ROIA Radio One Inc Cl A R 10/1/2014 3:46:22 PM
EVRY EveryWare Global, Inc. Q 10/1/2014 3:48:43 PM
GLBZ Glen Burnie Bancorp R 10/1/2014 3:55:34 PM
MOBI Sky-mobi Limited Q 10/1/2014 3:58:39 PM
CFRXZ Contrafect Class B Warrants R 10/1/2014 3:59:25 PM
CELGZ Celgene Cp Cntgnt Value Rts Q 10/1/2014 3:59:55 PM