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, August 21,2014 8/21/2014 4:15:04 AM

Symbol Security Name Market Category Trigger Time
RGSE Real Goods Solar, Inc. R 8/20/2014 9:30:00 AM
ZAZA ZaZa Energy Corporation R 8/20/2014 9:30:00 AM
GALTW Galectin Therapeutics Inc. Wts R 8/20/2014 9:30:00 AM
TEDU Tarena International Inc ADR Q 8/20/2014 9:30:11 AM
AMCF Andatee China Marine Fuel Serv R 8/20/2014 9:30:55 AM
RDCM RADCOM LTD R 8/20/2014 9:32:41 AM
FCEL FuelCell Energy, Inc. Q 8/20/2014 9:34:39 AM
VRNG Vringo, Inc. Common Stock R 8/20/2014 9:34:55 AM
SUTR Sutor Technology Group Ltd R 8/20/2014 9:35:55 AM
NIHD NII Holdings, Inc. Q 8/20/2014 9:37:50 AM
LRAD LRAD Corporation R 8/20/2014 9:45:43 AM
AKER Akers Biosciences Inc Cmn R 8/20/2014 9:47:23 AM
JRJC China Finance Online Co. Limit Q 8/20/2014 9:53:44 AM
QTNTW Quotient Limited Warrants Q 8/20/2014 9:56:11 AM
XNET Xunlei Limited ADR Q 8/20/2014 9:58:35 AM
VPCO Vapor Corp. Common Stock R 8/20/2014 10:05:20 AM
HGSH China HGS Real Estate Cmn Stk R 8/20/2014 10:24:53 AM
CRRS Corporate Resource Srv Cmn R 8/20/2014 11:02:00 AM
CAMBW Cambridge Cap Acq Warrants R 8/20/2014 11:08:23 AM
MICTW Micronet Enertec Technolog Wts R 8/20/2014 11:32:16 AM
CYTXW Cytori Therapeutics Warrants Q 8/20/2014 11:32:19 AM
VRNGW Vringo, Inc. Warrants R 8/20/2014 12:22:37 PM
DGLY Digital Ally, Inc. Cmn R 8/20/2014 1:33:26 PM
ITCI Intra-Cellular Therapies Cmn Q 8/20/2014 1:55:29 PM
KIOR KiOR, Inc. Q 8/20/2014 2:12:12 PM
CBMG Cellular Biomedicine Grp Cmn R 8/20/2014 2:38:19 PM
DSKX DS Healthcare Group Cmn Stk R 8/20/2014 2:39:34 PM
WMGIZ Wright Medical Group CVR Q 8/20/2014 3:05:35 PM
ATOS Atossa Genetics Inc. R 8/20/2014 3:13:13 PM
VIEW Viewtran Group, Inc. Q 8/20/2014 3:19:37 PM
FREE FreeSeas Inc. R 8/20/2014 3:45:00 PM
JACQW Collabrium Jpn Acq Warrant R 8/20/2014 3:50:31 PM