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
Friday, November 21,2014 11/21/2014 4:30:04 PM

Symbol Security Name Market Category Trigger Time
IRDMB Iridium 6.75% Sr B Cum Cnv Pd Q 11/20/2014 9:30:00 AM
DWCH Datawatch Corp R 11/20/2014 9:30:00 AM
LXRX Lexicon Pharmaceuticals, Inc. Q 11/20/2014 9:30:00 AM
SBLKL StarBulk 8% Senior Nts 2019 Q 11/20/2014 9:30:02 AM
LQDT Liquidity Services, Inc Q 11/20/2014 9:30:04 AM
VRML Vermillion, Inc. R 11/20/2014 9:34:44 AM
RCPI Rock Creek Pharma Inc Q 11/20/2014 9:42:49 AM
BAXS Baxano Surgical, Inc. Q 11/20/2014 9:42:58 AM
BIOC Biocept Inc R 11/20/2014 9:45:10 AM
CISAW CIS Acq. Ltd. Warrant R 11/20/2014 9:49:20 AM
FREE FreeSeas Inc. R 11/20/2014 9:56:20 AM
RLJE RLJ Entertainment Inc R 11/20/2014 10:05:05 AM
ATOS Atossa Genetics Inc. R 11/20/2014 10:13:47 AM
OSN Ossen Innovation Co Ltd R 11/20/2014 10:30:12 AM
MEILZ Methes Energies Cl B Warrant R 11/20/2014 10:31:11 AM
OXBRW Oxbridge Re Hldgs Ltd Warrants R 11/20/2014 10:56:36 AM
EAGLW Silver Eagle Acquisition Wts R 11/20/2014 11:29:07 AM
NXTDW Nxt-ID, Inc. Warrant R 11/20/2014 11:34:38 AM
KBSF KBS Fashion Group Ltd R 11/20/2014 11:36:01 AM
ICLDW InterCloud Systems Wrnt R 11/20/2014 11:41:53 AM
VRNGW Vringo, Inc. Warrants R 11/20/2014 11:46:36 AM
WPCS WPCS INTL INC R 11/20/2014 11:53:24 AM
CYAN Cyanotech Corporation R 11/20/2014 12:22:14 PM
AMDA Amedica Corporation R 11/20/2014 12:22:40 PM
PTSX Point.360 Common Stock R 11/20/2014 1:26:22 PM
ABIO ARCA BIOPHARMA, INC. R 11/20/2014 1:39:07 PM
FES Forbes Energy Services Ltd Q 11/20/2014 1:51:01 PM
NSEC National Security Group Inc Q 11/20/2014 2:18:02 PM
ANY Sphere 3D Corp Common Shares Q 11/20/2014 2:52:42 PM
HOTRW Chanticleer Warrants R 11/20/2014 3:14:40 PM
COCO Corinthian Colleges Inc Q 11/20/2014 3:16:10 PM
TROVW Trovagene inc warrant R 11/20/2014 3:20:44 PM
AUMAW AR Capital Acquisition R 11/20/2014 3:36:54 PM
CERE Ceres, Inc. R 11/20/2014 3:38:55 PM
ATLC Atlanticus Holdings Corp Q 11/20/2014 3:45:31 PM
CLRB Cellectar Biosciences Cmn St R 11/20/2014 3:47:54 PM
PME Pingtan Marine Enterprise R 11/20/2014 3:50:46 PM
RMTI Rockwell Medical, Inc. Q 11/20/2014 3:53:13 PM
ARIS ARI Network Services Cmn R 11/20/2014 3:57:32 PM
MOLG MOL Global, Inc. ADS Q 11/21/2014 9:30:00 AM
OTIV On Track Innovations Ordinary Q 11/21/2014 9:30:00 AM
GEOS Geospace Technologies Q 11/21/2014 9:30:06 AM
AMDA Amedica Corporation R 11/21/2014 9:30:45 AM
INNL Innocoll AG ADS Q 11/21/2014 9:33:20 AM
SPHS Sophiris Bio, Inc. Common Stk Q 11/21/2014 9:34:57 AM
CERE Ceres, Inc. R 11/21/2014 9:35:08 AM
COCO Corinthian Colleges Inc Q 11/21/2014 9:37:00 AM
BBGI Beasley Broadcast Group Inc Q 11/21/2014 9:42:28 AM
NYMX Nymox Pharmaceutical Corp R 11/21/2014 9:43:34 AM
CACH Cache Inc. Q 11/21/2014 9:48:27 AM
ARUN Aruba Networks, Inc. Q 11/21/2014 9:48:55 AM
PARN Parnell Pharmaceuticals Ord Q 11/21/2014 10:17:12 AM
OHGI One Horizon Group Common Stk R 11/21/2014 10:18:57 AM
EYES Second Sight Medical Cmn R 11/21/2014 10:19:05 AM
WHLRW Wheeler REIT Warrants R 11/21/2014 10:40:54 AM
GGACW Gernero Grp Acq Warrant R 11/21/2014 11:01:14 AM
VRNGW Vringo, Inc. Warrants R 11/21/2014 11:13:11 AM
JTPY JetPay Corporation R 11/21/2014 11:15:31 AM
RLJE RLJ Entertainment Inc R 11/21/2014 11:21:13 AM
BAXS Baxano Surgical, Inc. Q 11/21/2014 11:27:55 AM
NXTDW Nxt-ID, Inc. Warrant R 11/21/2014 11:31:22 AM
RMGN RMG NETWORKS HOLDING Q 11/21/2014 11:35:48 AM
NBS Neostem, Inc. Common Stock R 11/21/2014 11:42:05 AM
AUMAW AR Capital Acquisition R 11/21/2014 11:43:11 AM
EMCF Emclaire Fiinancial Cmn Stk R 11/21/2014 11:49:12 AM
PHMD PhotoMedex Inc Q 11/21/2014 12:03:32 PM
LXRX Lexicon Pharmaceuticals, Inc. Q 11/21/2014 12:36:27 PM
HCACW Hennessey Capital Acq Warrants R 11/21/2014 12:54:01 PM
BRDR Borderfree Inc Cmn Stk Q 11/21/2014 12:56:33 PM
SWSH Swisher Hygiene, Inc. Cmn R 11/21/2014 1:05:25 PM
CLTX Celsus Therapeutics Plc ADR R 11/21/2014 1:05:29 PM
VLCCF Knightsbridge Shipping Ltd Cm Q 11/21/2014 1:19:52 PM
HABT The Habit Restrts Cl A Cm Q 11/21/2014 1:24:18 PM
VGGL Viggle Inc. Common Stock R 11/21/2014 1:49:12 PM
AXPWW Axion Power Intl Srs A Wt R 11/21/2014 1:59:20 PM
MEILZ Methes Energies Cl B Warrant R 11/21/2014 2:28:53 PM
VRTA Vestin Realty Mortgage I Inc Q 11/21/2014 3:37:02 PM
CLRBW Cellectar Biosciences Wts R 11/21/2014 3:45:20 PM
DLIA dELiA*s Inc. R 11/21/2014 3:47:52 PM