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 1,2014 8/1/2014 4:30:05 PM

Symbol Security Name Market Category Trigger Time
MDAS MedAssets, Inc. Q 7/31/2014 9:30:00 AM
EDAP EDAP TMS SA ADR Q 7/31/2014 9:30:00 AM
GLUU Glu Mobile Inc. Q 7/31/2014 9:30:00 AM
SHOO Steven Madden Ltd Q 7/31/2014 9:30:00 AM
GEVO Gevo Inc Q 7/31/2014 9:30:00 AM
CLUB Town Sports International Hold Q 7/31/2014 9:30:00 AM
EHTH eHealth Inc Q 7/31/2014 9:30:00 AM
QUIK QuickLogic Corporation Q 7/31/2014 9:30:00 AM
TTEK Tetra Tech Inc Q 7/31/2014 9:30:01 AM
GGAL Grupo Financiero Galicia ADS R 7/31/2014 9:30:01 AM
GRFS Grifols, S.A. Q 7/31/2014 9:30:03 AM
WSTL Westell Technologies, Inc. Q 7/31/2014 9:30:04 AM
PTIE Pain Therapeutics Q 7/31/2014 9:30:12 AM
NANO Nanometrics Incorporated Q 7/31/2014 9:30:13 AM
XONE The ExOne Company Q 7/31/2014 9:30:13 AM
SPHS Sophiris Bio, Inc. Common Stk Q 7/31/2014 9:30:21 AM
HTWR Heartware International Inc Q 7/31/2014 9:30:22 AM
CIDM CINEDIGM CORP Q 7/31/2014 9:30:35 AM
SGBK Stonegate Bank Cmn Stk Q 7/31/2014 9:30:44 AM
DHIL Diamond Hill Investment Cl A Q 7/31/2014 9:30:45 AM
ARCB ArcBest Corp Q 7/31/2014 9:30:47 AM
ISIL Intersil Corporation Q 7/31/2014 9:31:03 AM
CMCO Columbus McKinnon Corporation Q 7/31/2014 9:31:38 AM
FEIC FEI Company Q 7/31/2014 9:32:05 AM
ISNS Image Sensing Systems Inc R 7/31/2014 9:32:20 AM
RMGN RMG NETWORKS HOLDING Q 7/31/2014 9:33:47 AM
INVT Inventergy Global, Inc. R 7/31/2014 9:35:22 AM
CRESW Cresud S.A.C.I.F. y A. Q 7/31/2014 9:38:42 AM
SMSI Smith Micro Software Inc Q 7/31/2014 9:43:09 AM
GCVRZ Sanofi CVR Q 7/31/2014 9:46:54 AM
CBMG Cellular Biomedicine Grp Cmn R 7/31/2014 9:47:52 AM
NWBOW Northwest Biotherapeutics, Inc R 7/31/2014 9:51:09 AM
PDII PDI Inc Q 7/31/2014 9:55:14 AM
SZYM Solazyme, Inc. Q 7/31/2014 10:00:49 AM
ANIK Anika Therapeutics Inc Q 7/31/2014 10:04:00 AM
GALTW Galectin Therapeutics Inc. Wts R 7/31/2014 10:05:15 AM
EDGW Edgewater Technology Inc Q 7/31/2014 10:12:47 AM
SGYPW Synergy Pharma AWarrants R 7/31/2014 10:17:55 AM
VRNGW Vringo, Inc. Warrants R 7/31/2014 10:19:58 AM
SPPR Supertel Hospitality, Inc. Q 7/31/2014 10:26:30 AM
ALDX Aldeyra Therapeutics Cmn Stk R 7/31/2014 10:35:30 AM
SANWZ S&W Seed Company R 7/31/2014 10:37:54 AM
SCYX SCYNEXIS Inc Cmn Stk Q 7/31/2014 10:42:30 AM
WPCS WPCS INTL INC R 7/31/2014 10:43:26 AM
PTSX Point.360 Common Stock R 7/31/2014 10:49:12 AM
CTHR Charles & Colvard Ltd Q 7/31/2014 10:59:13 AM
OPTT Ocean Power Technologies, Inc. Q 7/31/2014 11:01:32 AM
MINI Mobile Mini Inc Q 7/31/2014 11:08:13 AM
NCTY The9 Limited Q 7/31/2014 11:09:11 AM
CREG China Recycling Energy Corp Q 7/31/2014 11:10:58 AM
EROC Eagle Rock Energy Partners LP Q 7/31/2014 11:17:06 AM
TASR TASER International Inc Q 7/31/2014 11:17:18 AM
GLAD Gladstone Capital Corporation Q 7/31/2014 11:24:17 AM
RXDX Ignyta, Inc. Common Stock R 7/31/2014 11:25:06 AM
MBLX Metabolix, Inc. Q 7/31/2014 11:32:20 AM
BBRY BlackBerry Limited Q 7/31/2014 12:31:59 PM
JASNW Jason Industries, Inc. Warrant R 7/31/2014 12:58:41 PM
BNSO Bonso Electronics Int'l R 7/31/2014 1:14:11 PM
LIQD Liquid Holdings Group, Inc. Q 7/31/2014 1:22:43 PM
AUDC AudioCodes Ltd Q 7/31/2014 2:07:46 PM
MEILZ Methes Energies Cl B Warrant R 7/31/2014 2:13:14 PM
INSY Insys Therapeutics Inc Cmn Stk Q 7/31/2014 2:34:49 PM
RCPI Rock Creek Pharma Inc Q 7/31/2014 3:01:36 PM
KFRC Kforce Inc Q 7/31/2014 3:22:19 PM
ESYS Elecsys Corporation R 7/31/2014 3:26:21 PM
SINO Sino-Global Shipping America, R 7/31/2014 3:46:02 PM
ENTR Entropic Communications Inc Q 7/31/2014 3:52:47 PM
ADXSW Advaxis, Inc. Warrants R 7/31/2014 3:59:27 PM
YRCW YRC Worldwide Inc Q 8/1/2014 9:30:00 AM
KEYW The KEYW Holding Corporation Q 8/1/2014 9:30:00 AM
ABTL Autobytel Inc R 8/1/2014 9:30:00 AM
PXLW Pixelworks Inc Q 8/1/2014 9:30:00 AM
BOTA Biota Pharmaceuticals, Inc. Q 8/1/2014 9:30:00 AM
WWWW Web.com Group, Inc. Q 8/1/2014 9:30:00 AM
ADNC Audience, Inc. Q 8/1/2014 9:30:00 AM
MXWL Maxwell Technologies Q 8/1/2014 9:30:00 AM
IMMR Immersion Corporation Q 8/1/2014 9:30:00 AM
SREV ServiceSource Intl, Inc. Q 8/1/2014 9:30:00 AM
GPRO GoPro, Inc. Class A Common St Q 8/1/2014 9:30:00 AM
ARRS ARRIS GROUP INC Q 8/1/2014 9:30:04 AM
JIVE Jive Software, Inc. Q 8/1/2014 9:30:35 AM
RGSE Real Goods Solar, Inc. R 8/1/2014 9:31:02 AM
EBIO Eleven Biotherapeutics, Inc. Q 8/1/2014 9:31:10 AM
CBMG Cellular Biomedicine Grp Cmn R 8/1/2014 9:31:12 AM
GALTW Galectin Therapeutics Inc. Wts R 8/1/2014 9:32:09 AM
MEILZ Methes Energies Cl B Warrant R 8/1/2014 9:32:21 AM
CTRL Control4 Corporation Q 8/1/2014 9:34:16 AM
SCYX SCYNEXIS Inc Cmn Stk Q 8/1/2014 9:34:30 AM
STAA STAAR Surgical Company Q 8/1/2014 9:35:12 AM
ABDC Alcentra Capital Corp. CM Q 8/1/2014 9:35:41 AM
QTNTW Quotient Limited Warrants Q 8/1/2014 9:47:41 AM
ENTR Entropic Communications Inc Q 8/1/2014 9:50:43 AM
SGOC SGOCO Group, Ltd Ord Shr R 8/1/2014 9:56:16 AM
CACH Cache Inc. Q 8/1/2014 10:01:41 AM
NCTY The9 Limited Q 8/1/2014 10:08:19 AM
INSY Insys Therapeutics Inc Cmn Stk Q 8/1/2014 10:10:17 AM
CRESW Cresud S.A.C.I.F. y A. Q 8/1/2014 10:15:10 AM
EMITF Elbit Imaging Ltd. Q 8/1/2014 10:18:16 AM
VISN VisionChina Media, Inc. Q 8/1/2014 10:36:49 AM
GEVO Gevo Inc Q 8/1/2014 10:38:31 AM
VBIV VBI Vaccines Inc. R 8/1/2014 10:42:35 AM
INVT Inventergy Global, Inc. R 8/1/2014 10:45:41 AM
ORPN Bio Blast Pharma Ltd. Q 8/1/2014 10:48:23 AM
WPRT Westport Innovations Inc. Q 8/1/2014 10:52:19 AM
ROYL Royale Energy Inc R 8/1/2014 10:53:52 AM
XTLB XTL Biopharmaceuticals Ltd ADS R 8/1/2014 11:02:43 AM
CFRXU ContraFect Corporation Unit R 8/1/2014 11:04:20 AM
EVRY EveryWare Global, Inc. Q 8/1/2014 11:13:16 AM
KBALB Kimball International Cl B Q 8/1/2014 11:16:09 AM
RPRX Repros Therapeutics Inc. R 8/1/2014 11:17:12 AM
IKAN Ikanos Communications Inc R 8/1/2014 11:17:43 AM
MBLX Metabolix, Inc. Q 8/1/2014 11:23:03 AM
QBAK Qualstar Corporation R 8/1/2014 11:25:19 AM
CREG China Recycling Energy Corp Q 8/1/2014 11:29:37 AM
CYHHZ Community Health Systems, Inc. Q 8/1/2014 11:32:00 AM
ALDX Aldeyra Therapeutics Cmn Stk R 8/1/2014 11:43:37 AM
AAVL Avalanche Biotechnologie Cm St Q 8/1/2014 11:47:41 AM
SPRO SmartPros Ltd R 8/1/2014 11:49:27 AM
OXBRW Oxbridge Re Hldgs Ltd Warrants R 8/1/2014 11:51:37 AM
ARDX Ardelyx, Inc. Cmn Stk Q 8/1/2014 11:54:01 AM
EIGI Endurance Int Grp Holdings Inc Q 8/1/2014 11:57:07 AM
VGGL Viggle Inc. Common Stock R 8/1/2014 12:02:42 PM
GGAL Grupo Financiero Galicia ADS R 8/1/2014 12:14:22 PM
CDTI Clean Diesel Technologies, Inc R 8/1/2014 12:14:52 PM
HBMD Howard Bancorp Common Stock R 8/1/2014 12:52:54 PM
COOL Majesco Entertainment Company R 8/1/2014 12:54:12 PM
FNJN Finjan Holdings, Inc. Cmn Stk R 8/1/2014 12:58:30 PM
ZAZA ZaZa Energy Corporation R 8/1/2014 1:14:44 PM
SGI Silicon Graphics Int'l Corp Q 8/1/2014 1:18:09 PM
OXBR Oxbridge Re Hldgs Ord Shares R 8/1/2014 1:26:25 PM
TSYS TeleCommunication Systems Inc Q 8/1/2014 1:36:21 PM
UNIS Unilife Corporation Q 8/1/2014 2:18:53 PM
ISNS Image Sensing Systems Inc R 8/1/2014 2:31:56 PM
AMRN Amarin Corporation PLC ADS Q 8/1/2014 2:56:33 PM
CASM CAS Medical Systems Inc. R 8/1/2014 3:34:32 PM
COSI COSI, INC. R 8/1/2014 3:47:24 PM
PTX Pernix Therapeutics Hldgs Cm Q 8/1/2014 3:49:15 PM
RCON Recon Technology, Ltd. R 8/1/2014 3:50:56 PM
RCPI Rock Creek Pharma Inc Q 8/1/2014 3:51:07 PM
ISRL Isramco Inc R 8/1/2014 4:00:00 PM