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
Wednesday, November 26,2014 11/26/2014 4:15:04 AM

Symbol Security Name Market Category Trigger Time
WTSL The Wet Seal Inc Cl A Q 11/25/2014 9:30:00 AM
GOMO Sungy Mobile Limited ADS Q 11/25/2014 9:30:00 AM
RVLT Revolution Lighting Tech Cmn R 11/25/2014 9:30:00 AM
JACQW Collabrium Jpn Acq Warrant R 11/25/2014 9:30:00 AM
PTSX Point.360 Common Stock R 11/25/2014 9:31:31 AM
KZ KongZhong Corporation ADS Q 11/25/2014 9:32:23 AM
LLEX Lilis Energy, Inc. Cmn Stk Q 11/25/2014 9:36:48 AM
TIGR TigerLogic Corporation R 11/25/2014 9:39:54 AM
INVT Inventergy Global, Inc. R 11/25/2014 9:42:01 AM
SMACR Sino Mercury Acq Corp Right R 11/25/2014 9:46:42 AM
TRTLW Terrapin 2 Acquisition Corp R 11/25/2014 9:53:48 AM
VBTX Veritex Holdings, Inc. Cmn Q 11/25/2014 9:57:29 AM
COOL Majesco Entertainment Company R 11/25/2014 10:23:49 AM
NFEC NF Energy Saving Corporation R 11/25/2014 10:41:50 AM
OVRL Overland Storage, Inc. R 11/25/2014 10:56:37 AM
SUTR Sutor Technology Group Ltd R 11/25/2014 11:15:05 AM
TRCH Torchlight Energy Rsrc Cmn R 11/25/2014 11:16:25 AM
ECTE ECHO THERAPEUTICS R 11/25/2014 11:19:52 AM
NDRM NeuroDerm Ltd. Ord Shares Q 11/25/2014 11:43:59 AM
FRED Fred's Inc Q 11/25/2014 12:17:44 PM
QTNTW Quotient Limited Warrants Q 11/25/2014 12:23:25 PM
PHMD PhotoMedex Inc Q 11/25/2014 1:10:59 PM
PSTR PostRock Energy Corporation Q 11/25/2014 1:23:27 PM
ATRA Atara Biotherapeutics Cmn Q 11/25/2014 1:24:56 PM
ICLDW InterCloud Systems Wrnt R 11/25/2014 1:28:54 PM
CAMBW Cambridge Cap Acq Warrants R 11/25/2014 1:52:38 PM
HABT The Habit Restrts Cl A Cm Q 11/25/2014 2:15:29 PM
IMRS IMRIS Inc. Q 11/25/2014 2:47:52 PM
HART Harvard Apparatus Regnrtv Cmn R 11/25/2014 3:03:02 PM
RLJE RLJ Entertainment Inc R 11/25/2014 3:40:31 PM
EYES Second Sight Medical Cmn R 11/25/2014 3:43:42 PM
VRNG Vringo, Inc. Common Stock R 11/25/2014 3:52:53 PM
BECN Beacon Roofing Supply, Inc. Q 11/25/2014 3:52:58 PM
EEI Ecology and Environment Inc Q 11/25/2014 3:55:48 PM