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
Monday, August 3,2015 8/3/2015 4:15:13 AM

Symbol Security Name Market Category Trigger Time
QLGC QLogic Corp Q 7/31/2015 9:30:00 AM
OCLSW Oculus Innovative Sciences WT R 7/31/2015 9:30:00 AM
ROVI Rovi Corporation Common Stock Q 7/31/2015 9:30:00 AM
OUTR Outerwall Inc. Q 7/31/2015 9:30:00 AM
PBIB Porter Bancorp Inc R 7/31/2015 9:30:00 AM
ARWAR Arowana Inc. Rights R 7/31/2015 9:30:00 AM
SZYM Solazyme, Inc. Q 7/31/2015 9:30:00 AM
RADA Rada Electronic Industries Ltd R 7/31/2015 9:30:00 AM
SQI SciQuest, Inc. Q 7/31/2015 9:30:00 AM
AVHI A V Homes, Inc Q 7/31/2015 9:30:00 AM
CPSI Computer Programs and Systems Q 7/31/2015 9:30:00 AM
OCLS OCULUS INNOVATIVE SC R 7/31/2015 9:30:00 AM
EYEG Eyegate Pharmaceuticals Cm R 7/31/2015 9:30:00 AM
COHU Cohu Inc Q 7/31/2015 9:30:12 AM
OMCL Omnicell Inc Q 7/31/2015 9:30:12 AM
PRKR ParkerVision Inc R 7/31/2015 9:30:45 AM
BCOV Brightcove Inc. Q 7/31/2015 9:30:52 AM
LENS Presbia PLC Ordinary Shs Q 7/31/2015 9:31:26 AM
LINE Linn Energy LLC Q 7/31/2015 9:32:05 AM
VVUS Vivus, Inc. Q 7/31/2015 9:33:17 AM
HERO Hercules Offshore Inc Q 7/31/2015 9:33:27 AM
CLUB Town Sports International Hold Q 7/31/2015 9:35:05 AM
LSCC Lattice Semiconductor Corp Q 7/31/2015 9:35:31 AM
CYRXW CryoPort, Inc. Warrants R 7/31/2015 9:35:42 AM
KOOL Cesca Therapeutics Inc. R 7/31/2015 9:38:58 AM
TRCH Torchlight Energy Rsrc Cmn R 7/31/2015 9:40:12 AM
APRI Apricus Biosciences, Inc R 7/31/2015 9:40:28 AM
DAIO Data I/O Corporation R 7/31/2015 9:41:48 AM
ASPS Altisource Portfolio Solutions Q 7/31/2015 9:42:49 AM
FREE FreeSeas Inc. R 7/31/2015 9:43:11 AM
AMCC Applied Micro Circuits Q 7/31/2015 9:43:55 AM
CATYW Cathay General Bancorp Q 7/31/2015 9:48:41 AM
SGOC SGOCO Group, Ltd Ord Shr R 7/31/2015 9:50:41 AM
AMCF Andatee China Marine Fuel Serv R 7/31/2015 9:50:55 AM
CDRB Code Rebel Corp Common Stk R 7/31/2015 9:50:58 AM
LOOK LookSmart Ltd R 7/31/2015 9:52:53 AM
LNCO Linn Co, LLC Q 7/31/2015 9:59:31 AM
MERC Mercer International Inc Q 7/31/2015 10:00:50 AM
QUIK QuickLogic Corporation Q 7/31/2015 10:01:35 AM
CHEF The Chefs Warehouse Inc Q 7/31/2015 10:02:34 AM
NXTD Nxt-ID, Inc. Common Stock R 7/31/2015 10:09:27 AM
VTVT vTv Therapeutics Inc Cl A Cm Q 7/31/2015 10:10:23 AM
GCVRZ Sanofi CVR Q 7/31/2015 10:10:53 AM
OPXAW Opexa Therapeutics Warrant R 7/31/2015 10:18:08 AM
VPCO Vapor Corp. Common Stock R 7/31/2015 10:23:36 AM
NXTDW Nxt-ID, Inc. Warrant R 7/31/2015 10:34:51 AM
IKGH Iao Kun Group Holding Co. Ltd. Q 7/31/2015 10:37:31 AM
HART Harvard Apparatus Regnrtv Cmn R 7/31/2015 10:54:16 AM
NWBOW Northwest Biotherapeutics, Inc R 7/31/2015 10:59:19 AM
CDOR Condor Hospitality Trust, Inc. Q 7/31/2015 11:17:15 AM
MTBC Medical Transcription Blng Cmn R 7/31/2015 11:20:01 AM
MGRC McGrath RentCorp Q 7/31/2015 11:22:43 AM
MEIL Methes Energies R 7/31/2015 11:26:22 AM
QUMU QUMU CORPORATION Q 7/31/2015 11:39:36 AM
CAPNW Capnia, Inc. Series A Warrant R 7/31/2015 11:44:43 AM
FMI Foundation Medicine, Inc. Cmn Q 7/31/2015 11:53:56 AM
CLRBW Cellectar Biosciences Wts R 7/31/2015 11:58:32 AM
MCEP Mid-Con Energy Partners, LP Q 7/31/2015 12:40:54 PM
COSI COSI, INC. R 7/31/2015 12:49:11 PM
CTRL Control4 Corporation Q 7/31/2015 12:52:44 PM
AEPI AEP Industries Inc Q 7/31/2015 1:10:21 PM
SNSS Sunesis Pharmaceuticals Inc R 7/31/2015 1:23:07 PM
IPDN Professional Diversity Network R 7/31/2015 1:33:03 PM
AGFSW AgroFresh Solu Warrants Q 7/31/2015 1:48:20 PM
BCOR Blucora, Inc. Common Stock Q 7/31/2015 2:37:12 PM
VNR Vanguard Natural Resources Cm Q 7/31/2015 3:10:23 PM
WPCS WPCS INTL INC R 7/31/2015 3:18:18 PM
CYBE CyberOptics Corporation Q 7/31/2015 3:23:43 PM
DRWI DragonWave Inc Cmn Q 7/31/2015 3:32:21 PM
DWCH Datawatch Corp R 7/31/2015 3:34:57 PM
WRES Warren Resources ,Inc. Q 7/31/2015 3:36:25 PM
KBAL Kimball International Cl B Q 7/31/2015 3:40:05 PM
DAEG Daegis Inc R 7/31/2015 3:43:11 PM
HGSH China HGS Real Estate Cmn Stk R 7/31/2015 3:49:58 PM