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, July 2,2015 7/2/2015 4:30:13 PM

Symbol Security Name Market Category Trigger Time
XENE Xenon Pharmaceuticals Cm Sh Q 7/1/2015 9:30:00 AM
TVIX VelocityShares Daily 2X VIX Q 7/1/2015 9:30:00 AM
BLDP Ballard Power Systems Inc Q 7/1/2015 9:30:00 AM
LOCM Local Corporation R 7/1/2015 9:30:16 AM
SLTC Selectica Inc R 7/1/2015 9:30:20 AM
COOL Majesco Entertainment Company R 7/1/2015 9:30:40 AM
PSCF PowerShares S&P SmallCap Finan Q 7/1/2015 9:31:03 AM
TIGR TigerLogic Corporation R 7/1/2015 9:32:07 AM
NETE Net Element, Inc. R 7/1/2015 9:49:22 AM
HERO Hercules Offshore Inc Q 7/1/2015 9:51:15 AM
DELT Delta Technology Hld Ltd Ord R 7/1/2015 10:05:29 AM
TBIO Transgenomic Inc. Cmn Stk R 7/1/2015 10:09:35 AM
GAI Global-Tech Advance Innov Q 7/1/2015 10:09:56 AM
BNSO Bonso Electronics Int'l R 7/1/2015 10:15:56 AM
BVXV BiondVax Pharmaceuticals ADS R 7/1/2015 10:19:35 AM
MOKO MOKO Social Media Ltd ADR Q 7/1/2015 10:31:25 AM
WGBS WaferGen Bio-systems Cmn Stk R 7/1/2015 10:33:18 AM
ESCRP Escalera Resources Co. Pfd A Q 7/1/2015 10:35:20 AM
FXEN FX Energy Inc Q 7/1/2015 10:40:50 AM
ADXSW Advaxis, Inc. Warrants R 7/1/2015 10:52:25 AM
USEG U S Energy Corp R 7/1/2015 10:53:52 AM
BHACR Barington/Hilco Acq Cp Rights R 7/1/2015 10:54:34 AM
FREE FreeSeas Inc. R 7/1/2015 10:56:16 AM
CHEKW Check-Cap Ltd. Srs A Wt R 7/1/2015 11:01:08 AM
SPNE SeaSpine Holdings Cp Cmn Q 7/1/2015 11:02:51 AM
ADXS Advaxis, Inc. Common Stock R 7/1/2015 11:04:47 AM
DELTW Delta Tech Hldgs. Warrant R 7/1/2015 11:05:09 AM
APDNW Applied DNA Scien Warrant R 7/1/2015 11:10:30 AM
WAVX WAVE SYSTEMS CP CL A R 7/1/2015 11:20:09 AM
ESSX Essex Rental Cp Cmn Stk R 7/1/2015 11:34:22 AM
VPCO Vapor Corp. Common Stock R 7/1/2015 11:55:45 AM
ANCI American CareSource Hldgs R 7/1/2015 12:11:51 PM
EXXI Energy XXI Ltd Q 7/1/2015 12:41:34 PM
LENS Presbia PLC Ordinary Shs Q 7/1/2015 12:42:00 PM
BNFT Benefitfocus, Inc. Cmn Q 7/1/2015 12:43:07 PM
EXEL Exelixis, Inc. Q 7/1/2015 12:50:37 PM
EGLT Egalet Corporation Q 7/1/2015 12:53:34 PM
LIFE aTyr Pharma, Inc. Cm Q 7/1/2015 1:21:44 PM
MYOS MYOS Corporation Common Stk R 7/1/2015 1:25:30 PM
GLRI Glori Energy Inc Common Stock R 7/1/2015 1:29:38 PM
ESES Eco-Stim Energy Sltns Cmn R 7/1/2015 1:41:00 PM
COLL Collegium Pharmaceutical Cmn Q 7/1/2015 1:50:57 PM
ATRA Atara Biotherapeutics Cmn Q 7/1/2015 1:58:39 PM
RGSE Real Goods Solar, Inc. R 7/1/2015 2:01:16 PM
NXTDW Nxt-ID, Inc. Warrant R 7/1/2015 2:10:55 PM
ADAT Authentidate Holding Corp R 7/1/2015 2:43:32 PM
DSKX DS Healthcare Group Cmn Stk R 7/1/2015 2:59:11 PM
WHLRW Wheeler REIT Warrants R 7/1/2015 2:59:53 PM
DMRC Digimarc Corporation Q 7/1/2015 3:20:52 PM
ABEOW Abeona Therapeutics Wts R 7/1/2015 3:24:20 PM
AREX Approach Resources Inc. Q 7/1/2015 3:32:38 PM
REXX Rex Energy Corporation Q 7/1/2015 3:44:35 PM
CBLI Cleveland BioLabs Inc R 7/1/2015 3:48:41 PM
WPCS WPCS INTL INC R 7/2/2015 9:30:00 AM
LILA Liberty LiLAC Class A Ord Shs Q 7/2/2015 9:30:00 AM
LILAK Liberty LiLAC Class C Ord Shs Q 7/2/2015 9:30:00 AM
NETE Net Element, Inc. R 7/2/2015 9:30:00 AM
REIS Reis, Inc Q 7/2/2015 9:30:12 AM
ISCA International Speedway Cl A Q 7/2/2015 9:31:16 AM
SPNE SeaSpine Holdings Cp Cmn Q 7/2/2015 9:33:21 AM
PSTR PostRock Energy Corp Cmn Q 7/2/2015 9:35:29 AM
FREE FreeSeas Inc. R 7/2/2015 9:36:38 AM
CAPNW Capnia, Inc. Series A Warrant R 7/2/2015 9:36:42 AM
IPDN Professional Diversity Network R 7/2/2015 9:37:00 AM
AXPW Axion Power Intl Cmn Stk R 7/2/2015 9:38:41 AM
INTX Intersections Inc Q 7/2/2015 9:38:59 AM
MDCO Medicines Company (The) Q 7/2/2015 9:41:44 AM
TECU Tecumseh Products Co Cmn Stk Q 7/2/2015 9:42:52 AM
AXPWW Axion Power Intl Srs A Wt R 7/2/2015 9:43:05 AM
ABEOW Abeona Therapeutics Wts R 7/2/2015 9:50:05 AM
LLEX Lilis Energy, Inc. Cmn Stk Q 7/2/2015 9:50:31 AM
VTAE Vitae Pharmaceuticals Cmn St Q 7/2/2015 10:07:41 AM
AMCF Andatee China Marine Fuel Serv R 7/2/2015 10:11:48 AM
XGTIW xG Technology, Inc R 7/2/2015 10:23:38 AM
LOXO Loxo Oncology, Inc. CS Q 7/2/2015 10:35:49 AM
ETRM EnteroMedics Inc R 7/2/2015 10:37:30 AM
HTCH Hutchinson Technology Inc Q 7/2/2015 10:40:12 AM
CFRXZ Contrafect Class B Warrants R 7/2/2015 10:40:53 AM
MPET Magellan Petroleum Corp R 7/2/2015 10:43:33 AM
CREG China Recycling Energy Corp Q 7/2/2015 11:09:56 AM
ADAT Authentidate Holding Corp R 7/2/2015 11:16:15 AM
MEILW Methes Energies Cl A Warrant R 7/2/2015 11:20:47 AM
CRDC Cardica, Inc. R 7/2/2015 11:24:12 AM
ATRM ATRM Holdings, Inc. R 7/2/2015 11:32:24 AM
WAVX WAVE SYSTEMS CP CL A R 7/2/2015 11:41:47 AM
PHMD PhotoMedex Inc Q 7/2/2015 11:51:48 AM
BLRX BioLineRx Ltd. R 7/2/2015 11:56:46 AM
GPP Green Plains Partners Cmn Un Q 7/2/2015 12:34:34 PM
ZIONW Zions Bancorporation Wts Q 7/2/2015 12:56:15 PM
USEG U S Energy Corp R 7/2/2015 2:05:17 PM
CFRXW Contrafect Class A Warrants R 7/2/2015 2:19:43 PM
RITT RIT Technologies Ltd R 7/2/2015 2:20:23 PM
CBYL Carbylan Therapeutics, Inc. Cm Q 7/2/2015 2:27:50 PM
PRTO Proteon Therapeutics Cm Stk Q 7/2/2015 2:31:01 PM
GGACR Garnero Grp Acq Right R 7/2/2015 3:07:14 PM
CDRB Code Rebel Corp Common Stk R 7/2/2015 3:07:30 PM
EMMSP Emmis Communications Pfd A Q 7/2/2015 3:11:07 PM
SPEX Spherix Incorporated R 7/2/2015 3:12:34 PM
JYNT The Joint Corp Cmn R 7/2/2015 3:15:17 PM
VRTA Vestin Realty Mortgage I Inc R 7/2/2015 3:18:15 PM
INPH Interphase Corporation R 7/2/2015 3:43:12 PM
TROVW Trovagene inc warrant R 7/2/2015 3:45:20 PM
BGMD BG Medicine, Inc. R 7/2/2015 3:45:28 PM
RGDX Response Genetics Inc R 7/2/2015 3:53:18 PM
DXM Dex Media Inc Q 7/2/2015 3:58:50 PM