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, October 23,2014 10/23/2014 4:15:04 AM

Symbol Security Name Market Category Trigger Time
NSPH Nanosphere, Inc. Q 10/22/2014 9:30:00 AM
CREE Cree, Inc. Q 10/22/2014 9:30:00 AM
HIMX Himax Technologies, Inc. ADSs Q 10/22/2014 9:30:00 AM
LPLA LPL Financial Holdings Cmn Q 10/22/2014 9:30:00 AM
DTLK Datalink Corporation Q 10/22/2014 9:30:03 AM
EGT Entertainment Gaming Asia R 10/22/2014 9:30:10 AM
CLUB Town Sports International Hold Q 10/22/2014 9:30:38 AM
BDBD Boulder Brands, Inc Q 10/22/2014 9:32:45 AM
ASPS Altisource Portfolio Solutions Q 10/22/2014 9:34:30 AM
WPCS WPCS INTL INC R 10/22/2014 9:34:42 AM
ANGI Angie's List, Inc. Q 10/22/2014 9:34:43 AM
ZIXI Zix Corporation Q 10/22/2014 9:35:00 AM
CYHHZ Community Health Systems, Inc. Q 10/22/2014 9:35:21 AM
BIIB Biogen Idec Inc. Q 10/22/2014 9:38:03 AM
VBFC Village Bank & Trust Financial R 10/22/2014 9:41:26 AM
MARA Marathon Patent Grp Inc R 10/22/2014 9:43:13 AM
MELA MELA Sciences Inc Common Stock R 10/22/2014 9:45:06 AM
CHCI Comstock Holding Cos., Inc. R 10/22/2014 9:46:43 AM
MBII Marrone Bio Innovations, Inc. Q 10/22/2014 9:55:45 AM
CTG Computer Task Group, Inc. Q 10/22/2014 10:02:52 AM
CBSTZ Cubist Pharmctcls CVR Q 10/22/2014 10:03:12 AM
LLEX Lilis Energy, Inc. Cmn Stk Q 10/22/2014 10:10:45 AM
OXBRW Oxbridge Re Hldgs Ltd Warrants R 10/22/2014 10:14:03 AM
WAFDW Washington Federal Inc Warrant Q 10/22/2014 10:15:10 AM
MDCO Medicines Company (The) Q 10/22/2014 10:16:02 AM
TSPT Transcept Pharmaceuticals, Inc Q 10/22/2014 10:24:17 AM
TFSCR 1347 Capital Corp. Rights R 10/22/2014 10:31:30 AM
VLYWW Valley Natl Bancorp Warrants R 10/22/2014 10:33:26 AM
SPPRO Supetel Hospitality Inc. PrefB Q 10/22/2014 10:35:35 AM
SHLDR Sears Holdings Corporation Rt Q 10/22/2014 10:35:43 AM
CALA Calithera Biosciences Com Stk Q 10/22/2014 11:11:36 AM
VRNGW Vringo, Inc. Warrants R 10/22/2014 11:23:34 AM
CALI China Auto Logistics Cmn Q 10/22/2014 11:25:32 AM
SAGE Sage Therapeutics Common Q 10/22/2014 12:04:49 PM
JACQW Collabrium Jpn Acq Warrant R 10/22/2014 12:11:25 PM
THRX Theravance Inc Q 10/22/2014 12:20:34 PM
TRCH Torchlight Energy Rsrc Cmn R 10/22/2014 1:17:29 PM
GLRI Glori Energy Inc Common Stock R 10/22/2014 1:22:12 PM
BSQR BSQUARE Corporation Q 10/22/2014 1:25:35 PM
LAKE Lakeland Industries Inc Q 10/22/2014 1:40:13 PM
CNIT China Information Technology Q 10/22/2014 1:59:25 PM
WTFCW Wintrust TARP Warrants Q 10/22/2014 2:07:15 PM
XGTI xG Technology, Inc Common Stk R 10/22/2014 2:21:15 PM
LINC Lincoln Educational Services C Q 10/22/2014 2:50:37 PM
SGYPW Synergy Pharma AWarrants R 10/22/2014 3:39:27 PM
ICLDW InterCloud Systems Wrnt R 10/22/2014 3:42:51 PM
AREX Approach Resources Inc. Q 10/22/2014 3:48:12 PM
FDML Federal-Mogul Holdings Cp Cmn Q 10/22/2014 3:51:19 PM
IRIX IRIDEX Corporation Q 10/22/2014 3:52:19 PM
GBIM GlobeImmune, Inc Cmn R 10/22/2014 3:53:52 PM
WSCI WSI Industries Inc R 10/22/2014 3:57:29 PM
ROIA Radio One Inc Cl A R 10/22/2014 3:58:51 PM
ROIAK Radio One Inc Cl D R 10/22/2014 3:59:10 PM
HERO Hercules Offshore Inc Q 10/22/2014 3:59:20 PM