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
Tuesday, April 28,2015 4/28/2015 4:15:11 AM

Symbol Security Name Market Category Trigger Time
SUTR Sutor Technology Group Ltd R 4/27/2015 9:30:00 AM
CLDN Celladon Corporation Q 4/27/2015 9:30:00 AM
ASEI American Science & Engineering Q 4/27/2015 9:30:00 AM
AKRX Akorn Inc Q 4/27/2015 9:30:00 AM
AFMD Affimed N.V. Q 4/27/2015 9:30:10 AM
LPTH LightPath Technologies Cl A R 4/27/2015 9:30:10 AM
SILC Silicom Limited Q 4/27/2015 9:31:52 AM
KONE Kingtone Wirelessinfo Solution R 4/27/2015 9:32:27 AM
LOOK LookSmart Ltd R 4/27/2015 9:32:38 AM
WIN WINDSTREAM HLDGS INC Q 4/27/2015 9:36:18 AM
CALI China Auto Logistics Cmn R 4/27/2015 9:43:04 AM
MRGE Merge Healthcare Inc Q 4/27/2015 9:43:37 AM
IFON InfoSonic Corp R 4/27/2015 9:43:50 AM
KBSF KBS Fashion Group Ltd R 4/27/2015 9:43:54 AM
CRBP Corbus Pharma Hlds Cmn R 4/27/2015 9:47:15 AM
XBIT XBiotech Inc. Cmn Q 4/27/2015 9:47:22 AM
MICT Micronet Enertec Tech Cmn Stk R 4/27/2015 9:48:59 AM
CAPNW Capnia, Inc. Series A Warrant R 4/27/2015 9:53:39 AM
APIC Apigee Corporation Cm St Q 4/27/2015 9:54:52 AM
DSLV VelocityShares 3x Inverse Silv Q 4/27/2015 10:03:25 AM
CCCR China Commercial Credit, Inc. R 4/27/2015 10:12:38 AM
MNDO MIND C.T.I. Ltd. Q 4/27/2015 10:14:51 AM
VLTC VOLTARI CORP CMN R 4/27/2015 10:15:46 AM
FLKS Flex Pharma, Inc. Cmn Q 4/27/2015 10:20:04 AM
CAPR Capricor Therapeutics Cmn R 4/27/2015 10:44:53 AM
FES Forbes Energy Services Ltd Q 4/27/2015 10:45:55 AM
CRDC Cardica, Inc. Q 4/27/2015 10:48:02 AM
ESCR Escalera Resources Co. Q 4/27/2015 10:53:58 AM
ATRA Atara Biotherapeutics Cmn Q 4/27/2015 10:55:11 AM
AIRT Air T Inc R 4/27/2015 10:58:41 AM
AUMAW AR Capital Acquisition R 4/27/2015 11:04:47 AM
RGLS Regulus Therapeutics Inc. Q 4/27/2015 11:16:31 AM
CMCT CIM Commercial Trust Corp Q 4/27/2015 11:20:30 AM
PBCP Polonia Bancorp, Inc. R 4/27/2015 11:30:55 AM
CALA Calithera Biosciences Com Stk Q 4/27/2015 11:33:56 AM
FPRX Five Prime Therapeutics Cmn Q 4/27/2015 11:40:47 AM
INSY Insys Therapeutics Inc Cmn Stk Q 4/27/2015 11:41:03 AM
AXPWW Axion Power Intl Srs A Wt R 4/27/2015 11:43:16 AM
SRNE Sorrento Therapeutics Cmn R 4/27/2015 11:45:50 AM
ADXSW Advaxis, Inc. Warrants R 4/27/2015 11:48:14 AM
AERI Aerie Pharmaceuticals, Inc. Q 4/27/2015 11:52:37 AM
OSIS OSI Systems Inc Q 4/27/2015 11:53:56 AM
ADXS Advaxis, Inc. Common Stock R 4/27/2015 11:54:16 AM
TRTLW Terrapin 2 Acquisition Corp R 4/27/2015 11:56:07 AM
IMGN ImmunoGen, Inc. Q 4/27/2015 11:57:02 AM
NLST Netlist, Inc. Q 4/27/2015 11:57:35 AM
CARA Cara Therapeutics, Inc. Q 4/27/2015 11:58:34 AM
ANTH Anthera Pharmaceuticals, Inc. Q 4/27/2015 12:12:50 PM
EXEL Exelixis, Inc. Q 4/27/2015 12:15:38 PM
AAVL Avalanche Biotechnologie Cm St Q 4/27/2015 12:15:58 PM
AGTC Applied Genetic Technologies C Q 4/27/2015 12:17:01 PM
ZIOP ZIOPHARM Oncology Inc R 4/27/2015 12:18:25 PM
AMDA Amedica Corporation R 4/27/2015 12:19:34 PM
AMRN Amarin Corporation PLC ADS Q 4/27/2015 12:20:38 PM
NLNK NewLink Genetics Corporation Q 4/27/2015 12:21:00 PM
CNYD CHINA YIDA HOLDING, CO R 4/27/2015 12:21:55 PM
PTCT PTC Therapeutics, Inc. Cmn Stk Q 4/27/2015 12:22:37 PM
LIQD Liquid Holdings Group, Inc. Q 4/27/2015 12:29:21 PM
PMD Psychemedics Corporation R 4/27/2015 12:33:46 PM
CBMG Cellular Biomedicine Grp Cmn Q 4/27/2015 12:34:52 PM
ADRO Aduro Biotech, Inc. Cmn Q 4/27/2015 12:36:28 PM
ENZN Enzon Pharma, Inc. R 4/27/2015 12:43:24 PM
WATT Energous Corporation Cmn R 4/27/2015 12:45:24 PM
EPRS EPIRUS Biopharma Inc R 4/27/2015 12:46:37 PM
OPXAW Opexa Therapeutics Warrant R 4/27/2015 1:02:28 PM
WAFDW Washington Federal Inc Warrant Q 4/27/2015 1:03:00 PM
CLRB Cellectar Biosciences Cmn St R 4/27/2015 1:03:04 PM
CISAW CIS Acq. Ltd. Warrant R 4/27/2015 1:04:08 PM
FBIO Fortress Biotech, Inc. R 4/27/2015 1:05:21 PM
CLDX Celldex Therapeutics, Inc. Q 4/27/2015 1:15:44 PM
MOBL MobileIron, Inc. Cmn Stk Q 4/27/2015 1:22:10 PM
CBYL Carbylan Therapeutics, Inc. Cm Q 4/27/2015 1:27:21 PM
AMOT Allied Motion Technologies Q 4/27/2015 1:28:50 PM
TRIL Trillium Therapeutics Cmn Shs R 4/27/2015 1:42:18 PM
RMGN RMG NETWORKS HOLDING Q 4/27/2015 1:43:46 PM
OPXA OPEXA THERAPEUTICS R 4/27/2015 1:46:47 PM
SANWZ S&W Seed Company R 4/27/2015 2:07:08 PM
CHCI Comstock Holding Cos., Inc. R 4/27/2015 2:07:33 PM
FORD Forward Industries Inc R 4/27/2015 2:14:43 PM
OTIC Otonomy, Inc. Q 4/27/2015 2:41:47 PM
ANY Sphere 3D Corp. Q 4/27/2015 2:43:45 PM
DSKY iDreamSky Technology Limit ADS Q 4/27/2015 2:45:56 PM
REPH Recro Pharma, Inc. R 4/27/2015 2:56:57 PM
ESCRP Escalera Resources Co. Pfd A Q 4/27/2015 3:06:24 PM
SIXD 6D Global Technologies Cmn R 4/27/2015 3:06:30 PM
PTBI PlasmaTech Biophrma Cmn R 4/27/2015 3:08:24 PM
RGDO Regado BioSciences Cmn Stk R 4/27/2015 3:14:34 PM
ZFGN Zafgen Inc Common Stock Q 4/27/2015 3:22:10 PM
TRCH Torchlight Energy Rsrc Cmn R 4/27/2015 3:23:45 PM
ONCE Spark Therapeutics, Inc. Cmn Q 4/27/2015 3:27:50 PM
HRTX Heron Therapeutics Cmn R 4/27/2015 3:29:15 PM
NEON Neonode Inc. R 4/27/2015 3:30:23 PM
PTX Pernix Therapeutics Hldgs Cm Q 4/27/2015 3:31:41 PM
FLXN Flexion Therapeutics, Inc. Q 4/27/2015 3:34:28 PM
TTHI Transition Therapeutics Inc Q 4/27/2015 3:34:32 PM
VRNGW Vringo, Inc. Warrants R 4/27/2015 3:39:42 PM
CPRX Catalyst Pharmaceutical Partne R 4/27/2015 3:41:57 PM
CYHHZ Community Health Systems, Inc. Q 4/27/2015 3:43:55 PM
JUNO Juno Therapeutics, Inc. COM Q 4/27/2015 3:48:23 PM