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, October 24,2014 10/24/2014 4:30:04 PM

Symbol Security Name Market Category Trigger Time
VPCO Vapor Corp. Common Stock R 10/23/2014 9:30:00 AM
ADHD Alcobra Ltd. Ordinary Shares Q 10/23/2014 9:30:00 AM
UTEK Ultratech Inc Q 10/23/2014 9:30:00 AM
AIRM Air Methods Corporation Q 10/23/2014 9:30:00 AM
TVIX VelocityShares Daily 2X VIX Q 10/23/2014 9:30:00 AM
FREE FreeSeas Inc. R 10/23/2014 9:30:00 AM
IPCM IPC The Hospitalist Company Q 10/23/2014 9:30:00 AM
FLL Full House Resorts Inc Cmn Stk R 10/23/2014 9:30:00 AM
ZAZA ZaZa Energy Corporation R 10/23/2014 9:30:00 AM
MERC Mercer International Inc Q 10/23/2014 9:30:02 AM
SQI SciQuest, Inc. Q 10/23/2014 9:30:08 AM
SHLDR Sears Holdings Corporation Rt Q 10/23/2014 9:30:10 AM
CBSTZ Cubist Pharmctcls CVR Q 10/23/2014 9:32:02 AM
SLMAP SLM Corp 6.97% Cum Srs A Pfd Q 10/23/2014 9:34:22 AM
OXBRW Oxbridge Re Hldgs Ltd Warrants R 10/23/2014 9:38:41 AM
CALI China Auto Logistics Cmn Q 10/23/2014 9:39:38 AM
GALTU Galectin Therapeutics Inc. R 10/23/2014 9:41:11 AM
TRIB Trinity Biotech PLC ADR Q 10/23/2014 9:50:06 AM
ISNS Image Sensing Systems Inc R 10/23/2014 9:51:51 AM
SGNL Signal Genetics, Inc. Cmn Stk R 10/23/2014 10:06:01 AM
AMCF Andatee China Marine Fuel Serv R 10/23/2014 10:07:07 AM
GALTW Galectin Therapeutics Inc. Wts R 10/23/2014 10:10:53 AM
IRDMZ Iridium Comm Wts Q 10/23/2014 10:37:45 AM
ADXSW Advaxis, Inc. Warrants R 10/23/2014 10:53:55 AM
BSDM BSD Medical Corporation R 10/23/2014 10:58:53 AM
FATE Fate Therapeutics Inc Cmn Q 10/23/2014 11:03:13 AM
BBLU Blue Earth, Inc. Common Stock R 10/23/2014 11:03:54 AM
OPHC OPTIMUMBANK HLDGS R 10/23/2014 11:22:32 AM
SUTR Sutor Technology Group Ltd R 10/23/2014 11:33:26 AM
CBLI Cleveland BioLabs Inc R 10/23/2014 12:09:32 PM
NXTDW Nxt-ID, Inc. Warrant R 10/23/2014 12:15:05 PM
VLYWW Valley Natl Bancorp Warrants R 10/23/2014 1:01:44 PM
PRPH ProPhase Labs, Inc. Q 10/23/2014 1:32:20 PM
CRESW Cresud S.A.C.I.F. y A. Q 10/23/2014 2:20:55 PM
DLIA dELiA*s Inc. Q 10/23/2014 2:28:53 PM
JAKK JAKKS Pacific Inc Q 10/23/2014 2:31:57 PM
SCOK SinoCoking Coal and Coke R 10/23/2014 3:30:32 PM
SPPRO Supetel Hospitality Inc. PrefB Q 10/23/2014 3:34:21 PM
DSKX DS Healthcare Group Cmn Stk R 10/23/2014 3:34:30 PM
EGT Entertainment Gaming Asia R 10/23/2014 3:34:58 PM
BOSC BOS Better Online Solutions R 10/23/2014 3:59:02 PM
QKLS QKL STORES INC R 10/23/2014 4:00:00 PM
SHLDR Sears Holdings Corporation Rt Q 10/24/2014 9:30:00 AM
FBRC FBR & CO. COMMON STK Q 10/24/2014 9:30:00 AM
HUBG Hub Group Inc Cl A Q 10/24/2014 9:30:00 AM
SYNA Synaptics Inc. Q 10/24/2014 9:30:00 AM
DBVT DBV Technologies S.A. ADS Q 10/24/2014 9:30:00 AM
DRYS DryShips Inc. Q 10/24/2014 9:30:00 AM
OPHC OPTIMUMBANK HLDGS R 10/24/2014 9:30:00 AM
EDMC Education Management Corporati Q 10/24/2014 9:30:00 AM
JBSS John B Sanfilippo & Son Inc Q 10/24/2014 9:30:03 AM
SUTR Sutor Technology Group Ltd R 10/24/2014 9:30:05 AM
MERC Mercer International Inc Q 10/24/2014 9:30:07 AM
TGE TGC Industries Inc Q 10/24/2014 9:30:35 AM
DSKX DS Healthcare Group Cmn Stk R 10/24/2014 9:31:49 AM
COCO Corinthian Colleges Inc Q 10/24/2014 9:32:10 AM
AXPW Axion Power Intl Cmn Stk R 10/24/2014 9:32:41 AM
NPSP NPS Pharmaceuticals Inc Q 10/24/2014 9:33:44 AM
TESS TESSCO Tech Q 10/24/2014 9:36:45 AM
LAYN Layne Christensen Co Q 10/24/2014 9:37:06 AM
GENE Genetic Technologies Ltd ADS R 10/24/2014 9:37:13 AM
ADHD Alcobra Ltd. Ordinary Shares Q 10/24/2014 9:45:55 AM
ICLDW InterCloud Systems Wrnt R 10/24/2014 9:49:43 AM
QIWI QIWI plc ADR Q 10/24/2014 9:49:54 AM
TIGR TigerLogic Corporation R 10/24/2014 10:01:32 AM
FNFG First Niagara Financial Group Q 10/24/2014 10:01:59 AM
CBDE CBD Energy Ltd Ord Shs R 10/24/2014 10:06:05 AM
XTLB XTL Biopharmaceuticals Ltd ADS R 10/24/2014 10:16:09 AM
VPCO Vapor Corp. Common Stock R 10/24/2014 10:17:13 AM
TOPS TOP Ships Inc Q 10/24/2014 10:28:58 AM
PSUN Pacific Sunwear of California Q 10/24/2014 10:37:39 AM
CHOP China Gerui Advanced Materials Q 10/24/2014 10:38:31 AM
EGOV NIC Inc Q 10/24/2014 11:01:47 AM
APTO Aptose Biosciences, Inc. Cmn R 10/24/2014 11:06:11 AM
ZAZA ZaZa Energy Corporation R 10/24/2014 11:07:30 AM
KOSS Koss Corp Q 10/24/2014 11:18:19 AM
EVRY EveryWare Global, Inc. Q 10/24/2014 11:24:58 AM
FNJN Finjan Holdings, Inc. Cmn Stk R 10/24/2014 11:34:54 AM
TSPT Transcept Pharmaceuticals, Inc Q 10/24/2014 11:41:27 AM
LAKE Lakeland Industries Inc Q 10/24/2014 12:14:17 PM
GPRO GoPro, Inc. Class A Common St Q 10/24/2014 12:16:38 PM
TRTLW Terrapin 2 Acquisition Corp R 10/24/2014 12:22:02 PM
SPRO SmartPros Ltd R 10/24/2014 12:23:41 PM
CACH Cache Inc. Q 10/24/2014 1:41:07 PM
CFRXZ Contrafect Class B Warrants R 10/24/2014 1:47:44 PM
OCLS OCULUS INNOVATIVE SC R 10/24/2014 1:48:26 PM
NXTDW Nxt-ID, Inc. Warrant R 10/24/2014 1:51:28 PM
SGYPW Synergy Pharma AWarrants R 10/24/2014 2:11:26 PM
WMGIZ Wright Medical Group CVR Q 10/24/2014 2:21:58 PM
WTSL The Wet Seal Inc Cl A Q 10/24/2014 2:32:58 PM
NXTD Nxt-ID, Inc. Common Stock R 10/24/2014 3:11:17 PM
MBII Marrone Bio Innovations, Inc. Q 10/24/2014 3:19:01 PM
SYMX Synthesis Energy Sytems Inc Q 10/24/2014 3:29:14 PM
AMRN Amarin Corporation PLC ADS Q 10/24/2014 3:39:02 PM
CBSTZ Cubist Pharmctcls CVR Q 10/24/2014 3:54:33 PM
ATRM Aetrium Inc R 10/24/2014 3:55:19 PM
ESCR Escalera Resources Co. Q 10/24/2014 3:59:28 PM