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 24,2014 7/24/2014 4:15:03 AM

Symbol Security Name Market Category Trigger Time
XLNX Xilinx, Inc. Q 7/23/2014 9:30:00 AM
MEET MeetMe, Inc. Common Stk R 7/23/2014 9:30:00 AM
LOCM Local Corporation R 7/23/2014 9:30:00 AM
CNMD CONMED Corp Q 7/23/2014 9:30:04 AM
IIJI Internet Initiative Japan ADR Q 7/23/2014 9:30:10 AM
LLNW Limelight Networks, Inc. Q 7/23/2014 9:30:49 AM
CBST Cubist Pharmaceuticals Inc Q 7/23/2014 9:32:46 AM
CBSTZ Cubist Pharmctcls CVR Q 7/23/2014 9:32:53 AM
HERO Hercules Offshore Inc Q 7/23/2014 9:35:49 AM
IRBT iRobot Corporation Q 7/23/2014 9:39:02 AM
FNJN Finjan Holdings, Inc. Cmn Stk R 7/23/2014 9:41:24 AM
RELV Reliv' International Inc Q 7/23/2014 9:45:38 AM
PRXI Premier Exhibitions Inc. Q 7/23/2014 9:46:46 AM
JAKK JAKKS Pacific Inc Q 7/23/2014 9:48:22 AM
MEILZ Methes Energies Cl B Warrant R 7/23/2014 9:52:48 AM
GBIM GlobeImmune, Inc Cmn R 7/23/2014 9:53:37 AM
NETE Net Element, Inc. R 7/23/2014 9:55:53 AM
GEVO Gevo Inc Q 7/23/2014 10:10:02 AM
CYTXW Cytori Therapeutics Warrants Q 7/23/2014 10:15:17 AM
OPTT Ocean Power Technologies, Inc. Q 7/23/2014 10:27:55 AM
BYFC Broadway Financial Corporation R 7/23/2014 11:16:05 AM
FREE FreeSeas Inc. R 7/23/2014 12:07:41 PM
GTIM Good Times Restaurants R 7/23/2014 12:51:58 PM
FDML Federal-Mogul Holdings Cp Cmn Q 7/23/2014 1:06:26 PM
LSCC Lattice Semiconductor Corp Q 7/23/2014 2:01:28 PM
BLVDW Boulevard Acq. Warrants R 7/23/2014 2:03:00 PM
CBAK China BAK Battery, Inc. Q 7/23/2014 2:14:44 PM
IDTI Integrated Device Technology Q 7/23/2014 2:19:24 PM
KNDI Kandi Technologies Group Cmn Q 7/23/2014 3:40:51 PM
CLDN Celladon Corporation Q 7/23/2014 3:56:53 PM