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
Tuesday, October 21,2014 10/21/2014 4:15:04 AM

Symbol Security Name Market Category Trigger Time
LAKE Lakeland Industries Inc Q 10/20/2014 9:30:00 AM
SHLDR Sears Holdings Corporation Rt Q 10/20/2014 9:30:00 AM
AHPI Allied Healthcare Products Q 10/20/2014 9:30:00 AM
SHOO Steven Madden Ltd Q 10/20/2014 9:30:01 AM
CLRB Cellectar Biosciences Cmn St R 10/20/2014 9:39:19 AM
MNOV Medicinova Inc Q 10/20/2014 9:54:57 AM
BSDM BSD Medical Corporation R 10/20/2014 9:58:46 AM
CPXX Celator Pharmaceuticals Cmn R 10/20/2014 10:14:51 AM
FEIM Frequency Electronics Inc Q 10/20/2014 10:21:38 AM
NXTDW Nxt-ID, Inc. Warrant R 10/20/2014 10:36:21 AM
NWBOW Northwest Biotherapeutics, Inc R 10/20/2014 10:46:37 AM
MRVC MRV Communications Cmn R 10/20/2014 10:47:27 AM
COCO Corinthian Colleges Inc Q 10/20/2014 10:52:06 AM
GBIM GlobeImmune, Inc Cmn R 10/20/2014 11:15:22 AM
OPHC OPTIMUMBANK HLDGS R 10/20/2014 11:43:53 AM
DLHC DLH Holdings Corp. R 10/20/2014 11:54:49 AM
PARN Parnell Pharmaceuticals Ord Q 10/20/2014 12:09:00 PM
TKMR Tekmira Pharmaceuticals Cmn R 10/20/2014 12:10:49 PM
TVIX VelocityShares Daily 2X VIX Q 10/20/2014 12:10:51 PM
APRI Apricus Biosciences, Inc R 10/20/2014 12:12:11 PM
LLEX Lilis Energy, Inc. Cmn Stk Q 10/20/2014 12:32:24 PM
SCYX SCYNEXIS Inc Cmn Stk Q 10/20/2014 12:43:25 PM
OBCI Ocean Bio-Chem Inc R 10/20/2014 1:08:04 PM
CRRS Corporate Resource Srv Cmn R 10/20/2014 1:13:40 PM
ALCS ALCO Stores, Inc. Q 10/20/2014 1:20:07 PM
CMRX Chimerix, Inc. Q 10/20/2014 1:39:12 PM
MOKO MOKO Social Media Ltd ADR Q 10/20/2014 2:24:19 PM
SLCT Select Bancorp, Inc. Q 10/20/2014 2:29:40 PM
RTK Rentech Inc. Common Stock R 10/20/2014 2:41:16 PM
TRTLW Terrapin 2 Acquisition Corp R 10/20/2014 2:57:54 PM
TRCH Torchlight Energy Rsrc Cmn R 10/20/2014 3:01:39 PM
BIOC Biocept Inc R 10/20/2014 3:10:11 PM
LVNTB Liberty Ventures Srs B Cmn Q 10/20/2014 4:00:00 PM