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 30,2014 10/30/2014 4:15:04 AM

Symbol Security Name Market Category Trigger Time
ARCP American Realty Capital Proper Q 10/29/2014 9:30:00 AM
XOOM Xoom Corporation Q 10/29/2014 9:30:00 AM
BBSI Barrett Business Services Q 10/29/2014 9:30:00 AM
AZPN Aspen Technology Inc Cmn Q 10/29/2014 9:30:00 AM
KEYW The KEYW Holding Corporation Q 10/29/2014 9:30:00 AM
RVSB Riverview Bancorp Inc Q 10/29/2014 9:30:11 AM
EPIQ EPIQ Systems Inc Q 10/29/2014 9:30:22 AM
AMCC Applied Micro Circuits Q 10/29/2014 9:31:01 AM
BBOX Black Box Corporation Q 10/29/2014 9:33:15 AM
EDMC Education Management Corporati Q 10/29/2014 9:37:59 AM
GCVRZ Sanofi CVR Q 10/29/2014 9:54:31 AM
SGNL Signal Genetics, Inc. Cmn Stk R 10/29/2014 10:01:41 AM
WLRHW WL Ross Holding Corp Warrant R 10/29/2014 10:07:14 AM
NXTDW Nxt-ID, Inc. Warrant R 10/29/2014 10:12:23 AM
ARCPP American Realty Capital Proper Q 10/29/2014 10:34:06 AM
TRTLW Terrapin 2 Acquisition Corp R 10/29/2014 10:34:37 AM
INNL Innocoll AG ADS Q 10/29/2014 10:47:10 AM
NSPH Nanosphere, Inc. R 10/29/2014 10:55:20 AM
CAMT Camtek Ltd Q 10/29/2014 11:07:33 AM
AXPW Axion Power Intl Cmn Stk R 10/29/2014 11:23:28 AM
ATRA Atara Biotherapeutics Cmn Q 10/29/2014 11:27:44 AM
RPRXZ Repros Therapeutics Srs B Wrnt R 10/29/2014 11:29:18 AM
EVRY EveryWare Global, Inc. Q 10/29/2014 11:33:41 AM
BBLU Blue Earth, Inc. Common Stock R 10/29/2014 11:34:49 AM
CLRB Cellectar Biosciences Cmn St R 10/29/2014 11:46:21 AM
AFSI AmTrust Financial Srvcs., Inc. Q 10/29/2014 12:17:31 PM
VGGL Viggle Inc. Common Stock R 10/29/2014 12:18:55 PM
PHMD PhotoMedex Inc Q 10/29/2014 12:24:14 PM
CGEN Compugen Ltd Q 10/29/2014 1:15:50 PM
RNA Prosensa Holding N.V. Q 10/29/2014 1:29:00 PM
ADXSW Advaxis, Inc. Warrants R 10/29/2014 1:29:33 PM
BAXS Baxano Surgical, Inc. Q 10/29/2014 1:33:09 PM
AXPWW Axion Power Intl Srs A Wt R 10/29/2014 1:44:56 PM
CPAH CounterPath Corporation Cmn R 10/29/2014 1:45:44 PM
HCACW Hennessey Capital Acq Warrants R 10/29/2014 1:57:24 PM
BREW Craft Brew Alliance, Inc Q 10/29/2014 2:01:15 PM
CLRBW Cellectar Biosciences Wts R 10/29/2014 2:06:55 PM
OBCI Ocean Bio-Chem Inc R 10/29/2014 2:08:44 PM
GBIM GlobeImmune, Inc Cmn R 10/29/2014 2:12:27 PM
TFSCW 1347 Capital Corp. Warrants R 10/29/2014 3:29:01 PM
TRCH Torchlight Energy Rsrc Cmn R 10/29/2014 3:34:36 PM
HNH Handy & Harman Ltd. R 10/29/2014 3:45:04 PM
CCUR Concurrent Computer Corp Q 10/29/2014 3:45:05 PM
RPXC RPX Corporation Q 10/29/2014 3:46:31 PM
DLIA dELiA*s Inc. Q 10/29/2014 3:56:19 PM
EVAR Lombard Medical, Inc. Ord Shs Q 10/29/2014 3:59:58 PM
ISNS Image Sensing Systems Inc R 10/29/2014 4:00:00 PM