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, August 4,2015 8/4/2015 4:30:14 PM

Symbol Security Name Market Category Trigger Time
BSFT BroadSoft Inc Q 8/3/2015 9:30:00 AM
SMTP SMTP, Inc. Common Stock R 8/3/2015 9:30:00 AM
RLOC ReachLocal, Inc. Q 8/3/2015 9:30:00 AM
MCOX Mecox Lane Limited Q 8/3/2015 9:30:00 AM
ABGB Abengoa, S.A. ADS Q 8/3/2015 9:30:00 AM
ARDX Ardelyx, Inc. Cmn Stk Q 8/3/2015 9:30:04 AM
PRKR ParkerVision Inc R 8/3/2015 9:31:13 AM
PHII Petroleum Helicopters Inc Q 8/3/2015 9:31:23 AM
QTNTW Quotient Limited Warrants Q 8/3/2015 9:31:27 AM
WAVX WAVE SYSTEMS CP CL A R 8/3/2015 9:33:29 AM
INVT Inventergy Global, Inc. R 8/3/2015 9:34:18 AM
SHIP Seanergy Maritime Hld Corp R 8/3/2015 9:35:04 AM
SZYM Solazyme, Inc. Q 8/3/2015 9:35:39 AM
EVAR Lombard Medical, Inc. Ord Shs Q 8/3/2015 9:36:15 AM
WHLRW Wheeler REIT Warrants R 8/3/2015 9:36:48 AM
EXXI Energy XXI Ltd Q 8/3/2015 9:37:19 AM
LINE Linn Energy LLC Q 8/3/2015 9:37:48 AM
ZIONZ Zions Bancorporation Q 8/3/2015 9:39:55 AM
RESN Resonant Inc. Cmn Stk R 8/3/2015 9:40:09 AM
WPCS WPCS INTL INC R 8/3/2015 9:40:12 AM
SUMR Summer Infant Inc. Cmn Stk R 8/3/2015 9:41:16 AM
VPCO Vapor Corp. Common Stock R 8/3/2015 9:41:53 AM
HOVNP Hovanian Enterprises Inc. Dep. Q 8/3/2015 9:44:14 AM
STRZB Starz Series B Common Stock Q 8/3/2015 9:54:06 AM
GCVRZ Sanofi CVR Q 8/3/2015 9:55:53 AM
LGCY Legacy Reserves LP Q 8/3/2015 9:56:31 AM
NTRA Natera Inc Common Stock Q 8/3/2015 9:57:40 AM
LNCO Linn Co, LLC Q 8/3/2015 9:59:12 AM
OIIM O2 Micro Internation Limited Q 8/3/2015 10:07:06 AM
BHACW Barington/Hilco Acq Cp Wts R 8/3/2015 10:08:07 AM
DELT Delta Technology Hld Ltd Ord R 8/3/2015 10:11:59 AM
TRIV TriVascular Tech Inc. Cmn Stk Q 8/3/2015 10:12:29 AM
ATLC Atlanticus Holdings Corp Q 8/3/2015 10:18:02 AM
PXLW Pixelworks Inc Q 8/3/2015 10:26:22 AM
VRNG Vringo, Inc. Common Stock R 8/3/2015 10:32:11 AM
EXFO EXFO Inc Q 8/3/2015 10:33:55 AM
EYEG Eyegate Pharmaceuticals Cm R 8/3/2015 10:38:14 AM
INTX Intersections Inc Q 8/3/2015 10:39:53 AM
WLB Westmoreland Coal Company Q 8/3/2015 10:53:06 AM
DGLY Digital Ally, Inc. Cmn R 8/3/2015 11:01:06 AM
SHLDW Sears Holdings Corporation Wrt Q 8/3/2015 11:04:15 AM
SMLR Semler Scientific, Inc. R 8/3/2015 11:06:23 AM
JASNW Jason Industries, Inc. Warrant R 8/3/2015 11:07:21 AM
ESCRP Escalera Resources Co. Pfd A Q 8/3/2015 11:09:02 AM
BNSO Bonso Electronics Int'l R 8/3/2015 11:15:11 AM
LTRPB Liberty TripAdvisor Hldgs B Cm Q 8/3/2015 11:18:03 AM
LTRX Lantronix Inc R 8/3/2015 11:21:58 AM
SGOC SGOCO Group, Ltd Ord Shr R 8/3/2015 11:28:56 AM
KUTV Ku6 Media Co., Ltd ADSs Q 8/3/2015 11:32:07 AM
CNET ChinaNet Online Holdings, Inc. R 8/3/2015 11:35:57 AM
TCX Tucows Inc. Class A Conmon Stk R 8/3/2015 12:02:17 PM
MPET Magellan Petroleum Corp R 8/3/2015 12:06:16 PM
HMSY HMS Holdings Corp Q 8/3/2015 12:10:58 PM
ARCW ARC Group Worldwide, Inc. R 8/3/2015 12:13:25 PM
RPRXZ Repros Therapeutics Srs B Wrnt R 8/3/2015 12:14:05 PM
EVEP EV Energy Partners, L.P. Q 8/3/2015 12:21:33 PM
CFRXZ Contrafect Class B Warrants R 8/3/2015 12:34:18 PM
VNR Vanguard Natural Resources Cm Q 8/3/2015 12:35:30 PM
AXPW Axion Power Intl Cmn Stk R 8/3/2015 12:37:10 PM
BBEP Breitburn Energy Partners LP Q 8/3/2015 12:37:55 PM
COLM Columbia Sportswear Co Q 8/3/2015 12:43:19 PM
CAPNW Capnia, Inc. Series A Warrant R 8/3/2015 12:44:52 PM
ANY Sphere 3D Corp. Q 8/3/2015 12:45:54 PM
LSCC Lattice Semiconductor Corp Q 8/3/2015 12:49:15 PM
EROC Eagle Rock Energy Partners LP Q 8/3/2015 12:51:13 PM
MEMP Memorial Production Partners Q 8/3/2015 12:58:07 PM
CRAY Cray Inc Q 8/3/2015 12:58:27 PM
INVE Identiv, Inc. R 8/3/2015 12:59:42 PM
ELON Echelon Corporation Q 8/3/2015 1:00:04 PM
HTGM HTG Molecular Diagnostics Cmn Q 8/3/2015 1:14:44 PM
SIMO Silicon Motion Technology Corp Q 8/3/2015 1:16:22 PM
CAPN Capnia, Inc. Common Stk R 8/3/2015 1:26:01 PM
VNRBP Vanguard Nat Rs 7.625% B Pfd Q 8/3/2015 1:29:19 PM
SKBI Skystar Bio-Pharmaceuticals Co R 8/3/2015 1:35:16 PM
MEET MeetMe, Inc. Common Stk R 8/3/2015 1:35:28 PM
BBEPP Breitburn Eng Prep Pfd Ser A Q 8/3/2015 1:36:32 PM
HNRG Hallador Energy Company Cmn R 8/3/2015 1:39:10 PM
PME Pingtan Marine Enterprise R 8/3/2015 1:45:33 PM
WATT Energous Corporation Cmn R 8/3/2015 2:00:49 PM
MTSN Mattson Technology Inc Q 8/3/2015 2:07:21 PM
AXDX Accelerate Diagnostics, Inc. R 8/3/2015 2:08:36 PM
RPD Rapid7, Inc. Cmn Stk Q 8/3/2015 2:10:30 PM
AETI American Electric Technologies R 8/3/2015 2:13:46 PM
OPXAW Opexa Therapeutics Warrant R 8/3/2015 2:14:09 PM
HERO Hercules Offshore Inc Q 8/3/2015 2:16:28 PM
CHNR China Natural Resources, Inc. R 8/3/2015 2:18:39 PM
OPGN OpGen, Inc. Common Stock R 8/3/2015 2:21:58 PM
GULTU Gulf Coast Ultra Dp Rlty Tr Ut R 8/3/2015 2:47:43 PM
ORIG Ocean Rig UDW Inc Q 8/3/2015 2:58:34 PM
SHLD Sears Holdings Corporation Q 8/3/2015 3:02:34 PM
OGXI OncoGenex Pharmaceuticals Inc R 8/3/2015 3:06:09 PM
ASTI Ascent Solar Tech Cmn Stk R 8/3/2015 3:10:09 PM
MCEP Mid-Con Energy Partners, LP Q 8/3/2015 3:17:08 PM
APWC Asia Pacific Wire & Cable Copr Q 8/3/2015 3:32:55 PM
DHRM Dehaier Medical Systems Limite R 8/3/2015 3:35:03 PM
KONE Kingtone Wirelessinfo Solution R 8/3/2015 3:35:11 PM
PTXP PennTex Midstream Partners, LP Q 8/3/2015 3:44:20 PM
PRGX PRGX Global, Inc. Q 8/3/2015 3:57:56 PM
NK NantKwest, Inc. CS Q 8/3/2015 3:58:25 PM
CALI China Auto Logistics Cmn R 8/3/2015 3:58:52 PM
ESES Eco-Stim Energy Sltns Cmn R 8/3/2015 3:58:55 PM
ABGB Abengoa, S.A. ADS Q 8/4/2015 9:30:00 AM
ADAT Authentidate Holding Corp R 8/4/2015 9:30:00 AM
CGNX Cognex Corp Q 8/4/2015 9:30:00 AM
PRKR ParkerVision Inc R 8/4/2015 9:30:00 AM
FSTR LB Foster Company Q 8/4/2015 9:30:00 AM
EGAN eGain Corporation R 8/4/2015 9:30:06 AM
ELGX Endologix, Inc. Q 8/4/2015 9:30:08 AM
DRWI DragonWave Inc Cmn Q 8/4/2015 9:30:24 AM
ASTI Ascent Solar Tech Cmn Stk R 8/4/2015 9:30:42 AM
CFRXZ Contrafect Class B Warrants R 8/4/2015 9:30:50 AM
TRS TriMas Corporation Cmn Stk Q 8/4/2015 9:31:45 AM
VECO Veeco Instruments Inc Q 8/4/2015 9:32:27 AM
LIQD Liquid Holdings Group, Inc. R 8/4/2015 9:32:37 AM
TEAR TearLab Corporation R 8/4/2015 9:32:53 AM
WSTC West Corporation Q 8/4/2015 9:33:35 AM
IDSY I.D. Systems Inc Q 8/4/2015 9:33:42 AM
SGMS Scientific Games Corporation Q 8/4/2015 9:35:41 AM
CRTO Criteo SA ADS Q 8/4/2015 9:36:19 AM
NVGN Novogen Limited ADR R 8/4/2015 9:38:41 AM
INPH Interphase Corporation R 8/4/2015 9:40:00 AM
BLBD Blue Bird Corp Cmn Stk Q 8/4/2015 9:40:17 AM
HERO Hercules Offshore Inc Q 8/4/2015 9:42:47 AM
SPRO SmartPros Ltd R 8/4/2015 9:43:32 AM
AEZS AEterna Zentaris Inc. R 8/4/2015 9:44:50 AM
CYHHZ Community Health Systems, Inc. Q 8/4/2015 9:46:02 AM
SGNT Sagent Pharmaceuticals, Inc. Q 8/4/2015 9:53:50 AM
LITE Lumentum Hlds Common Stk Q 8/4/2015 9:55:21 AM
VPCO Vapor Corp. Common Stock R 8/4/2015 9:58:05 AM
STXS Stereotaxis Inc R 8/4/2015 9:59:15 AM
CLRX CollabRx, Inc. R 8/4/2015 10:04:50 AM
LINC Lincoln Educational Services C Q 8/4/2015 10:15:00 AM
OSN Ossen Innovation Co Ltd R 8/4/2015 10:16:25 AM
LNTH Lantheus Holdings, Inc. Cmn Q 8/4/2015 10:16:51 AM
APWC Asia Pacific Wire & Cable Copr Q 8/4/2015 10:26:44 AM
CRDC Cardica, Inc. R 8/4/2015 10:33:42 AM
PRSNW Perseon Corporation Warrant R 8/4/2015 10:48:44 AM
HDRAW Hydra Industries Acq Wts R 8/4/2015 10:57:09 AM
EPIQ EPIQ Systems Inc Q 8/4/2015 10:57:37 AM
MDAS MedAssets, Inc. Q 8/4/2015 10:58:29 AM
OCLSW Oculus Innovative Sciences WT R 8/4/2015 10:58:54 AM
FFHL Fuwei Films (Holdings) Co R 8/4/2015 11:09:05 AM
ICLDW InterCloud Systems Wrnt R 8/4/2015 11:10:56 AM
IPDN Professional Diversity Network R 8/4/2015 11:11:35 AM
SGOC SGOCO Group, Ltd Ord Shr R 8/4/2015 11:13:44 AM
CLCD CoLucid Pharmaceuticals Cmn Q 8/4/2015 11:14:27 AM
GAI Global-Tech Advance Innov Q 8/4/2015 11:17:45 AM
QCCO QC Holdings, Inc. Q 8/4/2015 11:28:36 AM
ARCW ARC Group Worldwide, Inc. R 8/4/2015 11:37:20 AM
ABY Abengoa Yield plc Ord Share Q 8/4/2015 11:42:31 AM
OCLS OCULUS INNOVATIVE SC R 8/4/2015 11:44:59 AM
AFMD Affimed N.V. Q 8/4/2015 11:47:02 AM
ANIP ANI Pharmaceuticals, Inc. Q 8/4/2015 11:50:24 AM
UIHC United Insurance Holdings Corp R 8/4/2015 12:05:20 PM
OPGNW OpGen, Inc. Warrant R 8/4/2015 12:10:54 PM
SEED Origin Agritech Limited Q 8/4/2015 12:29:31 PM
HOVNP Hovanian Enterprises Inc. Dep. Q 8/4/2015 12:57:19 PM
WAVX WAVE SYSTEMS CP CL A R 8/4/2015 1:09:11 PM
ACUR Acura Pharmaceuticals R 8/4/2015 1:13:53 PM
AXPW Axion Power Intl Cmn Stk R 8/4/2015 1:18:02 PM
LXRX Lexicon Pharmaceuticals, Inc. Q 8/4/2015 1:25:50 PM
AXPWW Axion Power Intl Srs A Wt R 8/4/2015 1:29:03 PM
GPIAW GP Investments Acquisition Wt R 8/4/2015 1:33:04 PM
REXX Rex Energy Corporation Q 8/4/2015 1:39:12 PM
VVUS Vivus, Inc. Q 8/4/2015 1:44:23 PM
EIGI Endurance Int Grp Holdings Inc Q 8/4/2015 1:44:41 PM
HDRAR Hydra Industries Acq Rights R 8/4/2015 1:56:21 PM
OPXAW Opexa Therapeutics Warrant R 8/4/2015 1:59:31 PM
DXM Dex Media Inc Q 8/4/2015 2:10:11 PM
ZCVVV Zillow Group Cl C Cap Stk WI Q 8/4/2015 2:17:14 PM
NETE Net Element, Inc. R 8/4/2015 2:55:14 PM
ACTS Actions Semiconductor Co Ltd Q 8/4/2015 3:10:17 PM
XBIT XBiotech Inc. Cmn Q 8/4/2015 3:32:00 PM
AUMAW AR Capital Acquisition R 8/4/2015 3:42:24 PM
AREX Approach Resources Inc. Q 8/4/2015 3:44:13 PM
WRES Warren Resources ,Inc. Q 8/4/2015 3:44:35 PM
CAPN Capnia, Inc. Common Stk R 8/4/2015 3:55:59 PM
QRHC Quest Resource Holding Cp Cmn R 8/4/2015 3:59:39 PM