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
Friday, August 28,2015 8/28/2015 4:30:15 PM

Symbol Security Name Market Category Trigger Time
HCKT Hackett Group Inc (The) Q 8/27/2015 9:30:00 AM
FLWS 1-800-FLOWERS.COM Inc Cl A Q 8/27/2015 9:30:00 AM
GPP Green Plains Partners Cmn Un Q 8/27/2015 9:30:11 AM
TESS TESSCO Tech Q 8/27/2015 9:30:43 AM
ELON Echelon Corporation Q 8/27/2015 9:31:05 AM
FRED Fred's Inc Q 8/27/2015 9:31:20 AM
ESCR Escalera Resources Co. R 8/27/2015 9:33:19 AM
XGTI xG Technology, Inc Common Stk R 8/27/2015 9:34:07 AM
NETE Net Element, Inc. R 8/27/2015 9:34:25 AM
CRDC Cardica, Inc. R 8/27/2015 9:40:43 AM
IESC Integrated Electrical Services Q 8/27/2015 9:41:48 AM
SPEX Spherix Incorporated R 8/27/2015 9:43:26 AM
LINC Lincoln Educational Services C Q 8/27/2015 9:46:02 AM
NWBOW Northwest Biotherapeutics, Inc R 8/27/2015 9:48:49 AM
EYEGW Eyegate Pharmaceuticals Wts R 8/27/2015 10:11:21 AM
GLBS Globus Maritime Limited Q 8/27/2015 10:13:15 AM
DHXM DHX Media Variable Vtg Shs Q 8/27/2015 10:14:46 AM
CYTX Cytori Therapeutics Inc. Q 8/27/2015 10:18:31 AM
LALT PowerShares Mlt-Strt Alt Port Q 8/27/2015 10:24:17 AM
ACFC Atlantic Coast Financial Corp Q 8/27/2015 10:31:33 AM
CFRXW Contrafect Class A Warrants R 8/27/2015 10:33:28 AM
APWC Asia Pacific Wire & Cable Copr Q 8/27/2015 10:34:50 AM
PRSNW Perseon Corporation Warrant R 8/27/2015 10:40:47 AM
CCCR China Commercial Credit, Inc. R 8/27/2015 10:49:52 AM
LLEX Lilis Energy, Inc. Cmn Stk Q 8/27/2015 11:30:00 AM
ABEOW Abeona Therapeutics Wts R 8/27/2015 11:51:34 AM
DXM Dex Media Inc Q 8/27/2015 12:09:38 PM
WAFDW Washington Federal Inc Warrant Q 8/27/2015 12:10:32 PM
PRKR ParkerVision Inc R 8/27/2015 12:25:38 PM
SHIP Seanergy Maritime Hld Corp R 8/27/2015 1:03:44 PM
ADAT Authentidate Holding Corp R 8/27/2015 1:24:09 PM
GMAN Gordmans Stores, Inc. Q 8/27/2015 1:42:45 PM
OMEX Odyssey Marine Exploriation R 8/27/2015 2:03:20 PM
MDGS Medigus Ltd ADS R 8/27/2015 2:15:40 PM
ZAZA ZaZa Energy Corporation R 8/27/2015 2:22:47 PM
THST Truett Hurst Class A Commmon R 8/27/2015 2:25:00 PM
VXDN AccuShares Spot CBOE VIX Down Q 8/27/2015 3:16:03 PM
AETI American Electric Technologies R 8/27/2015 3:18:01 PM
BVXVW BiondVax Pharmaceuticals Wts R 8/27/2015 3:37:08 PM
ZAIS ZAIS Group Holdings Cl A Cmn R 8/27/2015 3:41:26 PM
MEILZ Methes Energies Cl B Warrant R 8/27/2015 3:59:29 PM
ADAT Authentidate Holding Corp R 8/28/2015 9:30:00 AM
BEBE bebe stores inc Q 8/28/2015 9:30:00 AM
FORD Forward Industries Inc R 8/28/2015 9:30:00 AM
AMCF Andatee China Marine Fuel Serv R 8/28/2015 9:30:00 AM
SIXD 6D Global Technologies Cmn R 8/28/2015 9:30:07 AM
ESCR Escalera Resources Co. R 8/28/2015 9:30:39 AM
LOOK LookSmart Ltd R 8/28/2015 9:33:46 AM
OSN Ossen Innovation Co Ltd R 8/28/2015 9:38:13 AM
GBSN Great Basin Scientific Cmn R 8/28/2015 9:41:37 AM
PDII PDI Inc Q 8/28/2015 9:46:26 AM
SNMX Senomyx Inc Q 8/28/2015 9:46:45 AM
CAPN Capnia, Inc. Common Stk R 8/28/2015 10:01:56 AM
PRGNL Paragon Shipping Inc. Q 8/28/2015 10:28:15 AM
LNTH Lantheus Holdings, Inc. Cmn Q 8/28/2015 11:14:50 AM
JAGX Jaguar Animal Health, Inc. Cmn R 8/28/2015 11:38:36 AM
ESCRP Escalera Resources Co. Pfd A R 8/28/2015 11:47:16 AM
DHXM DHX Media Variable Vtg Shs Q 8/28/2015 11:49:03 AM
EGT Entertainment Gaming Asia R 8/28/2015 12:24:33 PM
PRPH ProPhase Labs, Inc. Q 8/28/2015 1:00:53 PM
AKER Akers Biosciences Inc Cmn R 8/28/2015 1:19:09 PM
GGACW Gernero Grp Acq Warrant R 8/28/2015 1:21:38 PM
BIOD Biodel Inc. R 8/28/2015 1:30:39 PM
SHLDW Sears Holdings Corporation Wrt Q 8/28/2015 1:44:39 PM
MYOS MYOS Corporation Common Stk R 8/28/2015 1:53:48 PM
SKLN Skyline Medical Inc. Cmn Stk R 8/28/2015 2:07:25 PM
CHCI Comstock Holding Cos., Inc. R 8/28/2015 2:52:44 PM
AMBCW Ambac Financial Group, Inc. Q 8/28/2015 2:56:52 PM
CARV Carver Bancorp Inc R 8/28/2015 3:12:44 PM
LINC Lincoln Educational Services C Q 8/28/2015 3:21:21 PM
DRWI DragonWave Inc Cmn R 8/28/2015 3:50:02 PM
DRWIW DragonWave Inc Warrants R 8/28/2015 3:56:00 PM
ARIS ARI Network Services Cmn R 8/28/2015 3:58:50 PM