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, May 27,2015 5/27/2015 4:15:12 AM

Symbol Security Name Market Category Trigger Time
FORD Forward Industries Inc R 5/26/2015 9:30:00 AM
IMRS IMRIS Inc. Q 5/26/2015 9:30:00 AM
TACOW Levy Acq. Corp. Warrants R 5/26/2015 9:30:00 AM
CNYD CHINA YIDA HOLDING, CO R 5/26/2015 9:30:00 AM
CPGI China Packaging Gp R 5/26/2015 9:30:00 AM
KUTV Ku6 Media Co., Ltd ADSs Q 5/26/2015 9:30:00 AM
CYRN CYREN Ltd R 5/26/2015 9:30:16 AM
RXII RXi Pharmaceuticals Corp R 5/26/2015 9:41:29 AM
VRTB Vestin Realty Mortgage II, Inc Q 5/26/2015 9:42:43 AM
MAGS Magal Security Systems Ltd Q 5/26/2015 9:45:56 AM
PBIB Porter Bancorp Inc R 5/26/2015 9:46:34 AM
CDRB Code Rebel Corp Common Stk R 5/26/2015 9:53:14 AM
RIBTW RiceBran Technologies Warrant R 5/26/2015 9:54:10 AM
NVFY Nova Lifestyle, Inc. Cmn Stk Q 5/26/2015 10:03:29 AM
CTRV ContraVir Pharm. Inc. R 5/26/2015 10:06:17 AM
CFRXZ Contrafect Class B Warrants R 5/26/2015 10:06:56 AM
BVXVW BiondVax Pharmaceuticals Wts R 5/26/2015 10:15:20 AM
SGYPW Synergy Pharma AWarrants R 5/26/2015 10:19:11 AM
SUTR Sutor Technology Group Ltd R 5/26/2015 10:28:49 AM
MOBI Sky-mobi Limited Q 5/26/2015 10:41:57 AM
GMAN Gordmans Stores, Inc. Q 5/26/2015 10:42:06 AM
NSPH Nanosphere, Inc. R 5/26/2015 10:55:20 AM
EMITF Elbit Imaging Ltd. Ord Shs Q 5/26/2015 11:05:06 AM
TANH Tantech Holdings Common Shares R 5/26/2015 11:16:38 AM
CLUB Town Sports International Hold Q 5/26/2015 11:22:09 AM
SPPR Supertel Hospitality, Inc. Q 5/26/2015 11:27:34 AM
CAPNW Capnia, Inc. Series A Warrant R 5/26/2015 11:36:47 AM
LENS Presbia PLC Ordinary Shs Q 5/26/2015 11:55:52 AM
RADA Rada Electronic Industries Ltd R 5/26/2015 12:36:37 PM
XGTIW xG Technology, Inc R 5/26/2015 12:58:01 PM
DSKX DS Healthcare Group Cmn Stk R 5/26/2015 1:29:00 PM
CRDC Cardica, Inc. Q 5/26/2015 1:51:50 PM
QUNR Qunar Cayman Islands Ltd ADS Q 5/26/2015 1:56:28 PM
WRES Warren Resources ,Inc. Q 5/26/2015 2:07:24 PM
CHLN China Housing & Land Develop R 5/26/2015 2:22:42 PM
ALIM Alimera Sciences Inc Q 5/26/2015 2:51:52 PM
TOUR Tuniu Corporation ADS Q 5/26/2015 2:55:47 PM
MYOS MYOS Corporation Common Stk R 5/26/2015 2:56:36 PM
KBIO KaloBios Pharmaceuticals, Inc. Q 5/26/2015 3:15:20 PM
MOKO MOKO Social Media Ltd ADR Q 5/26/2015 3:25:46 PM
HDRAW Hydra Industries Acq Wts R 5/26/2015 3:40:55 PM
MARK Remark Media, Inc. Cmn Stk R 5/26/2015 3:43:18 PM
LTBR Lightbridge Corp Cmn Stk R 5/26/2015 3:43:39 PM
MEIL Methes Energies R 5/26/2015 3:50:48 PM
LIQD Liquid Holdings Group, Inc. Q 5/26/2015 3:52:10 PM