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, March 27,2015 3/27/2015 4:15:12 AM

Symbol Security Name Market Category Trigger Time
NLST Netlist, Inc. Q 3/26/2015 9:30:00 AM
SKYW SkyWest Inc Q 3/26/2015 9:30:00 AM
SCMP Sucampo Pharmaceuticals, Inc. Q 3/26/2015 9:30:00 AM
KONE Kingtone Wirelessinfo Solution R 3/26/2015 9:30:00 AM
TANH Tantech Holdings Common Shares R 3/26/2015 9:30:00 AM
SNDK SanDisk Corporation Q 3/26/2015 9:30:00 AM
AMDA Amedica Corporation R 3/26/2015 9:30:00 AM
ACFN Acorn Energy, Inc. Cmn Stk Q 3/26/2015 9:30:05 AM
WPCS WPCS INTL INC R 3/26/2015 9:31:23 AM
SPCB SuperCom, Ltd. R 3/26/2015 9:32:15 AM
AXPW Axion Power Intl Cmn Stk R 3/26/2015 9:32:31 AM
IMNP Immune Pharma Cmn Stk R 3/26/2015 9:34:11 AM
CMGE China Mobile Games and Ent Grp Q 3/26/2015 9:34:22 AM
HTBX Heat Biologics, Inc. R 3/26/2015 9:35:39 AM
REPH Recro Pharma, Inc. R 3/26/2015 9:36:51 AM
TRVN Trevena, Inc. Q 3/26/2015 9:37:22 AM
TBIO Transgenomic Inc. Cmn Stk R 3/26/2015 9:41:31 AM
VBLT Vascular Biogenics Ltd Ord Sh Q 3/26/2015 9:42:44 AM
LENS Presbia PLC Ordinary Shs Q 3/26/2015 9:49:55 AM
SEED Origin Agritech Limited Q 3/26/2015 9:52:16 AM
DISCB Discovery Comm Series B Q 3/26/2015 9:53:59 AM
ZSAN Zosano Pharma Corporation Cmn R 3/26/2015 9:55:54 AM
JOEZ Joe's Jeans Inc R 3/26/2015 10:02:27 AM
RGDO Regado BioSciences Cmn Stk R 3/26/2015 10:04:00 AM
SPPR Supertel Hospitality, Inc. Q 3/26/2015 10:05:09 AM
SPRO SmartPros Ltd R 3/26/2015 10:05:09 AM
RCON Recon Technology, Ltd. R 3/26/2015 10:07:51 AM
ASTI Ascent Solar Tech Cmn Stk R 3/26/2015 10:11:27 AM
GGACW Gernero Grp Acq Warrant R 3/26/2015 10:11:41 AM
PRSN Perseon Corporation R 3/26/2015 10:27:41 AM
SGNT Sagent Pharmaceuticals, Inc. Q 3/26/2015 10:29:48 AM
MTSI M/A-COM Technology Solutions H Q 3/26/2015 10:31:33 AM
FREE FreeSeas Inc. R 3/26/2015 10:33:43 AM
SUTR Sutor Technology Group Ltd R 3/26/2015 10:33:59 AM
CLRBW Cellectar Biosciences Wts R 3/26/2015 10:51:43 AM
KITE Kite Pharma, Inc. Cmn Q 3/26/2015 11:04:31 AM
EXAS Exact Sciences Corporation R 3/26/2015 11:11:08 AM
HSGX Histogenics Corp Cmn Stk Q 3/26/2015 11:12:37 AM
CRESW Cresud S.A.C.I.F. y A. Q 3/26/2015 11:12:39 AM
ATHX Athersys, Inc. R 3/26/2015 11:20:28 AM
EMCF Emclaire Fiinancial Cmn Stk R 3/26/2015 11:23:04 AM
QKLS QKL STORES INC R 3/26/2015 11:23:18 AM
CLLS Cellectis S.A. ADS Q 3/26/2015 11:24:33 AM
LIQD Liquid Holdings Group, Inc. Q 3/26/2015 11:43:44 AM
CYHHZ Community Health Systems, Inc. Q 3/26/2015 11:53:59 AM
AXPWW Axion Power Intl Srs A Wt R 3/26/2015 11:57:31 AM
CHNR China Natural Resources, Inc. R 3/26/2015 12:14:49 PM
QCCO QC Holdings, Inc. Q 3/26/2015 12:18:30 PM
WHLRW Wheeler REIT Warrants R 3/26/2015 12:42:52 PM
CHEKW Check-Cap Ltd. Srs A Wt R 3/26/2015 12:42:59 PM
WRLD World Acceptance Corporation Q 3/26/2015 12:43:38 PM
HDRAW Hydra Industries Acq Wts R 3/26/2015 12:54:38 PM
SCYX SCYNEXIS Inc Cmn Stk Q 3/26/2015 1:20:15 PM
MDVX Medovex Corp. Cmn R 3/26/2015 1:24:04 PM
CISAW CIS Acq. Ltd. Warrant R 3/26/2015 1:31:45 PM
MDVXW Medovex Corp Cl A Wt R 3/26/2015 1:37:19 PM
ESMC Escalon Medical Corp R 3/26/2015 1:43:12 PM
NVET Nexvet Biopharma plc Ord Q 3/26/2015 1:49:28 PM
MPET Magellan Petroleum Corp R 3/26/2015 1:51:01 PM
SPHS Sophiris Bio, Inc. Common Stk Q 3/26/2015 1:52:34 PM
RIBTW RiceBran Technologies Warrant R 3/26/2015 2:00:57 PM
DXM Dex Media Inc Q 3/26/2015 2:04:36 PM
OCLSW Oculus Innovative Sciences WT R 3/26/2015 2:23:40 PM
CBAY CymaBay Therapeutics Cmn Stk R 3/26/2015 2:37:44 PM
GULTU Gulf Coast Ultra Dp Rlty Tr Ut R 3/26/2015 2:42:35 PM
NVFY Nova Lifestyle, Inc. Cmn Stk Q 3/26/2015 3:11:51 PM
TEAR TearLab Corporation R 3/26/2015 3:39:09 PM
VLTC VOLTARI CORP CMN R 3/26/2015 3:44:30 PM
CFRXW Contrafect Class A Warrants R 3/26/2015 3:49:14 PM
GRVY GRAVITY Co., Ltd. R 3/26/2015 3:49:43 PM
GLRI Glori Energy Inc Common Stock R 3/26/2015 3:54:02 PM
INVT Inventergy Global, Inc. R 3/26/2015 3:58:29 PM
XGTI xG Technology, Inc Common Stk R 3/26/2015 4:00:00 PM