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
Monday, December 22,2014 12/22/2014 4:30:05 PM

Symbol Security Name Market Category Trigger Time
IMGN ImmunoGen, Inc. Q 12/19/2014 9:30:00 AM
JASNW Jason Industries, Inc. Warrant R 12/19/2014 9:30:00 AM
FRBA First Bank Common Stock Q 12/19/2014 9:30:00 AM
FINL The Finish Line Inc Cl A Q 12/19/2014 9:30:00 AM
PTBI PlasmaTech Biophrma Cmn R 12/19/2014 9:30:00 AM
CYCC Cyclacel Pharmaceuticals, Inc. Q 12/19/2014 9:30:00 AM
VSCI Vision-Sciences Inc R 12/19/2014 9:30:00 AM
SUTR Sutor Technology Group Ltd R 12/19/2014 9:30:03 AM
ROIAK Radio One Inc Cl D R 12/19/2014 9:30:06 AM
BGMD BG Medicine, Inc. R 12/19/2014 9:31:40 AM
OTIC Otonomy, Inc. Q 12/19/2014 9:34:54 AM
SYRX Sysorex Global Holdings Cp Cmn R 12/19/2014 9:36:19 AM
OPHC OPTIMUMBANK HLDGS R 12/19/2014 9:44:59 AM
SANWZ S&W Seed Company R 12/19/2014 9:52:56 AM
CACH Cache Inc. Q 12/19/2014 9:54:52 AM
BLCM Bellicum Pharmaceuticals Comm Q 12/19/2014 9:59:27 AM
GBIM GlobeImmune, Inc Cmn R 12/19/2014 10:05:02 AM
GTXI GTx Inc Q 12/19/2014 10:17:09 AM
HDRAR Hydra Industries Acq Rights R 12/19/2014 10:18:48 AM
THTI THT Heat Transfer Technology R 12/19/2014 10:25:14 AM
WHLRW Wheeler REIT Warrants R 12/19/2014 10:54:37 AM
CBSTZ Cubist Pharmctcls CVR Q 12/19/2014 11:16:39 AM
BSDM BSD Medical Corporation R 12/19/2014 11:37:29 AM
PSTR PostRock Energy Corporation Q 12/19/2014 11:46:44 AM
BBLU Blue Earth, Inc. Common Stock R 12/19/2014 11:53:55 AM
SPHS Sophiris Bio, Inc. Common Stk Q 12/19/2014 12:05:08 PM
MOMO Momo Inc. ADS Q 12/19/2014 12:08:12 PM
EYES Second Sight Medical Cmn R 12/19/2014 12:12:11 PM
OXBRW Oxbridge Re Hldgs Ltd Warrants R 12/19/2014 12:16:21 PM
AXPWW Axion Power Intl Srs A Wt R 12/19/2014 12:18:58 PM
AIRT Air T Inc R 12/19/2014 12:52:26 PM
RXII RXi Pharmaceuticals Corp R 12/19/2014 12:57:30 PM
TATT TAT Technologies Ltd Q 12/19/2014 12:58:37 PM
OFLX Omega Flex Inc Q 12/19/2014 1:04:52 PM
UBNT Ubiquiti Networks, Inc. Q 12/19/2014 1:12:27 PM
GALTW Galectin Therapeutics Inc. Wts R 12/19/2014 1:15:28 PM
NVGN Novogen Limited ADR R 12/19/2014 2:00:52 PM
HDRAW Hydra Industries Acq Wts R 12/19/2014 2:20:19 PM
CLWT Euro Tech Holdings Co Ltd R 12/19/2014 2:45:02 PM
VRTA Vestin Realty Mortgage I Inc Q 12/19/2014 2:57:15 PM
OGXI OncoGenex Pharmaceuticals Inc R 12/19/2014 3:06:49 PM
PBMD PRIMA BIOMED LTD Q 12/19/2014 3:23:09 PM
AMDA Amedica Corporation R 12/19/2014 3:31:34 PM
DLHC DLH Holdings Corp. R 12/19/2014 3:32:36 PM
AQXP Aquinox Pharmaceuticals, Inc. Q 12/19/2014 3:34:19 PM
FNJN Finjan Holdings, Inc. Cmn Stk R 12/19/2014 3:41:45 PM
WHLM Wilhelmina Intl Cmn Stk R 12/19/2014 3:48:10 PM
MBLX Metabolix, Inc. Q 12/19/2014 3:50:00 PM
LNDC Landec Corporation (DE) Q 12/19/2014 3:50:03 PM
CLRB Cellectar Biosciences Cmn St R 12/19/2014 3:50:06 PM
BCLI Brainstorm Cell Therptcs Cmn R 12/19/2014 3:50:40 PM
UNTY Unity Bancorp, Inc. Q 12/19/2014 3:51:20 PM
DMRC Digimarc Corporation Q 12/19/2014 3:51:22 PM
TIGR TigerLogic Corporation R 12/19/2014 3:53:42 PM
QRHC Quest Resource Holding Cp Cmn R 12/19/2014 3:54:31 PM
PRKR ParkerVision Inc R 12/19/2014 3:59:31 PM
GWGH GWG Holdings Inc Common Stock R 12/19/2014 3:59:31 PM
IKAN Ikanos Communications Inc R 12/19/2014 4:00:00 PM
ANCI American CareSource Hldgs R 12/19/2014 4:00:00 PM
ESCR Escalera Resources Co. Q 12/19/2014 4:00:00 PM
LTRE Learning Tree International Q 12/19/2014 4:00:00 PM
RCPI Rock Creek Pharma Inc R 12/19/2014 4:00:00 PM
VLTC VOLTARI CORP CMN R 12/19/2014 4:00:00 PM
MARK Remark Media, Inc. Cmn Stk R 12/19/2014 4:00:00 PM
IMNP Immune Pharma Cmn Stk R 12/19/2014 4:00:00 PM
AXPW Axion Power Intl Cmn Stk R 12/19/2014 4:00:00 PM
SAJA Sajan, Inc. Cmn Stk R 12/19/2014 4:00:00 PM
PANL Pangaea Logistics Sol Ltd R 12/19/2014 4:00:00 PM
APDN Applied DNA Sciences Cmn R 12/19/2014 4:00:00 PM
SGOC SGOCO Group, Ltd Ord Shr R 12/22/2014 9:30:00 AM
CORI Corium International Cmn Q 12/22/2014 9:30:00 AM
SPRO SmartPros Ltd R 12/22/2014 9:30:00 AM
CBSTZ Cubist Pharmctcls CVR Q 12/22/2014 9:30:00 AM
GILD Gilead Sciences Inc Q 12/22/2014 9:30:00 AM
HGSH China HGS Real Estate Cmn Stk R 12/22/2014 9:30:27 AM
TESO Tesco Corporation Q 12/22/2014 9:30:36 AM
ICEL Cellular Dynamics Internationa Q 12/22/2014 9:34:19 AM
SKLN Skyline Medical Inc. R 12/22/2014 9:35:09 AM
FATE Fate Therapeutics Inc Cmn Q 12/22/2014 9:37:05 AM
ASPS Altisource Portfolio Solutions Q 12/22/2014 9:37:06 AM
VIEW Viewtran Group, Inc. Q 12/22/2014 9:37:11 AM
CPAH CounterPath Corporation Cmn R 12/22/2014 9:38:02 AM
JRJC China Finance Online Co. Limit Q 12/22/2014 9:38:22 AM
CNYD CHINA YIDA HOLDING, CO R 12/22/2014 9:38:25 AM
VSCI Vision-Sciences Inc R 12/22/2014 9:41:51 AM
OCC Optical Cable Corporation Q 12/22/2014 9:44:59 AM
OFLX Omega Flex Inc Q 12/22/2014 9:47:27 AM
SHLDW Sears Holdings Corporation Wrt Q 12/22/2014 9:53:43 AM
CHNR China Natural Resources, Inc. R 12/22/2014 9:56:49 AM
COOL Majesco Entertainment Company R 12/22/2014 10:04:12 AM
VRNGW Vringo, Inc. Warrants R 12/22/2014 10:11:57 AM
RLJE RLJ Entertainment Inc R 12/22/2014 10:23:10 AM
SBSA Spanish Broadcasting Sys Cl A Q 12/22/2014 10:24:08 AM
REXX Rex Energy Corporation Q 12/22/2014 10:25:46 AM
WRES Warren Resources ,Inc. Q 12/22/2014 10:30:58 AM
ESMC Escalon Medical Corp R 12/22/2014 10:34:08 AM
MOMO Momo Inc. ADS Q 12/22/2014 10:36:56 AM
TIGR TigerLogic Corporation R 12/22/2014 10:37:20 AM
SUTR Sutor Technology Group Ltd R 12/22/2014 10:46:22 AM
PHMD PhotoMedex Inc Q 12/22/2014 10:46:29 AM
CRESW Cresud S.A.C.I.F. y A. Q 12/22/2014 10:58:51 AM
AVEO AVEO Pharmaceuticals, Inc. Q 12/22/2014 11:06:56 AM
CCCL China Ceramics Co Cmn Stk Q 12/22/2014 11:07:58 AM
NTLS NTELOS Holdings Corp Q 12/22/2014 11:08:20 AM
HMNY Helios and Matheson Analytics R 12/22/2014 11:14:15 AM
ATAI ATA Inc. Q 12/22/2014 11:16:19 AM
OXBRW Oxbridge Re Hldgs Ltd Warrants R 12/22/2014 11:17:07 AM
CALA Calithera Biosciences Com Stk Q 12/22/2014 11:34:59 AM
CPGI China Packaging Gp R 12/22/2014 11:36:00 AM
XGTIW xG Technology, Inc R 12/22/2014 11:36:05 AM
FREE FreeSeas Inc. R 12/22/2014 11:41:19 AM
AMCF Andatee China Marine Fuel Serv R 12/22/2014 11:49:43 AM
VTNR Vertex Energy, Inc Cmn Stk R 12/22/2014 12:01:36 PM
NYMX Nymox Pharmaceutical Corp R 12/22/2014 12:01:39 PM
CHLN China Housing & Land Develop R 12/22/2014 12:08:04 PM
ICLDW InterCloud Systems Wrnt R 12/22/2014 12:35:15 PM
DSKX DS Healthcare Group Cmn Stk R 12/22/2014 12:36:49 PM
RGDX Response Genetics Inc R 12/22/2014 12:45:04 PM
LJPC La Jolla Pharmctl Co Common R 12/22/2014 12:54:14 PM
VRTB Vestin Realty Mortgage II, Inc Q 12/22/2014 1:23:56 PM
EROC Eagle Rock Energy Partners LP Q 12/22/2014 1:37:21 PM
CLRBW Cellectar Biosciences Wts R 12/22/2014 1:39:45 PM
PTBIW PlasmaTech Biopharmaceutica Wt R 12/22/2014 2:03:26 PM
CYHHZ Community Health Systems, Inc. Q 12/22/2014 2:10:48 PM
OTIC Otonomy, Inc. Q 12/22/2014 2:12:04 PM
GULTU Gulf Coast Ultra Dp Rlty Tr Ut R 12/22/2014 2:18:12 PM
SMLR Semler Scientific, Inc. R 12/22/2014 2:20:46 PM
SPPR Supertel Hospitality, Inc. Q 12/22/2014 2:26:09 PM
CASM CAS Medical Systems Inc. R 12/22/2014 2:31:39 PM
VIDE Video Display Corporation Q 12/22/2014 2:35:42 PM
SIXD 6D Global Technologies Cmn R 12/22/2014 2:36:49 PM
ADHD Alcobra Ltd. Ordinary Shares Q 12/22/2014 2:39:14 PM
WHLRW Wheeler REIT Warrants R 12/22/2014 2:52:16 PM
SSRI Silver Standard Resources Inc Q 12/22/2014 3:21:26 PM
MCBK Madison County Financial, Inc. R 12/22/2014 3:57:32 PM
IVAN IVANHOE ENERGY INC R 12/22/2014 3:59:59 PM
QVCB Liberty Interactive Cmn Srs B Q 12/22/2014 4:00:00 PM