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, January 23,2015 1/23/2015 4:30:05 PM

Symbol Security Name Market Category Trigger Time
FFIV F5 Networks, Inc. Q 1/22/2015 9:30:00 AM
LE Lands' End, Inc Cmn Stk R 1/22/2015 9:30:00 AM
SLM SLM Corporation Common Stk Q 1/22/2015 9:30:00 AM
ARGS Argos Therapeutics, Inc. Q 1/22/2015 9:30:08 AM
TRIV TriVascular Tech Inc. Cmn Stk Q 1/22/2015 9:30:19 AM
WTSL The Wet Seal Inc Cl A Q 1/22/2015 9:30:28 AM
CPHR Cipher Pharmaceuticals Cmn Shs Q 1/22/2015 9:33:19 AM
MNGA MagneGas Corporation Cmn Stk R 1/22/2015 9:34:52 AM
TZOO Travelzoo Inc. Q 1/22/2015 9:35:15 AM
ATRM ATRM Holdings, Inc. R 1/22/2015 9:36:24 AM
IVAN IVANHOE ENERGY INC R 1/22/2015 9:37:31 AM
CACH Cache Inc. Q 1/22/2015 9:38:19 AM
ADXS Advaxis, Inc. Common Stock R 1/22/2015 9:40:53 AM
ADXSW Advaxis, Inc. Warrants R 1/22/2015 9:41:15 AM
EMCF Emclaire Fiinancial Cmn Stk R 1/22/2015 9:42:37 AM
OTIC Otonomy, Inc. Q 1/22/2015 9:43:36 AM
XLNX Xilinx, Inc. Q 1/22/2015 9:46:48 AM
ASPX Auspex Pharmaceuticals, Inc. Q 1/22/2015 9:47:47 AM
AGRX Agile Therapeutics, Inc. Cmn Q 1/22/2015 9:50:54 AM
CERE Ceres, Inc. R 1/22/2015 9:51:12 AM
HSGX Histogenics Corp Cmn Stk Q 1/22/2015 9:56:34 AM
AAVL Avalanche Biotechnologie Cm St Q 1/22/2015 9:56:52 AM
VRNGW Vringo, Inc. Warrants R 1/22/2015 10:07:00 AM
GLMD Galmed Pharmaceuticals Ltd R 1/22/2015 10:07:31 AM
AQXP Aquinox Pharmaceuticals, Inc. Q 1/22/2015 10:08:38 AM
SBSA Spanish Broadcasting Sys Cl A Q 1/22/2015 10:10:13 AM
GENE Genetic Technologies Ltd ADS R 1/22/2015 10:15:13 AM
LTBR Lightbridge Corp Cmn Stk R 1/22/2015 10:24:05 AM
NSPH Nanosphere, Inc. R 1/22/2015 10:24:15 AM
CBLI Cleveland BioLabs Inc R 1/22/2015 10:27:27 AM
FCS Fairchild Semicdctr Intl Cmn Q 1/22/2015 10:34:12 AM
AXPW Axion Power Intl Cmn Stk R 1/22/2015 10:40:49 AM
CATYW Cathay General Bancorp Q 1/22/2015 10:41:53 AM
NCTY The9 Limited Q 1/22/2015 10:43:58 AM
PRXI Premier Exhibitions Inc. R 1/22/2015 10:55:05 AM
AXPWW Axion Power Intl Srs A Wt R 1/22/2015 11:01:40 AM
EVEP EV Energy Partners, L.P. Q 1/22/2015 11:03:06 AM
APTO Aptose Biosciences, Inc. Cmn R 1/22/2015 11:04:29 AM
TRCH Torchlight Energy Rsrc Cmn R 1/22/2015 11:06:05 AM
CRDC Cardica, Inc. Q 1/22/2015 11:09:45 AM
CYHHZ Community Health Systems, Inc. Q 1/22/2015 11:21:33 AM
VLTC VOLTARI CORP CMN R 1/22/2015 11:32:07 AM
PRTK Paratek Pharmaceuticals, Inc. Q 1/22/2015 11:33:59 AM
CFRXZ Contrafect Class B Warrants R 1/22/2015 11:48:46 AM
TRTLW Terrapin 2 Acquisition Corp R 1/22/2015 11:53:20 AM
ESCRP Escalera Resources Co. Pfd A Q 1/22/2015 12:07:44 PM
VSTM Verastem, Inc. Q 1/22/2015 12:17:33 PM
RIBTW RiceBran Technologies Warrant R 1/22/2015 12:37:46 PM
TRIL Trillium Therapeutics Cmn Shs R 1/22/2015 12:49:20 PM
ICLD InterCloud Systems, Inc. Cmn R 1/22/2015 1:22:52 PM
TVIX VelocityShares Daily 2X VIX Q 1/22/2015 1:45:29 PM
MDVXU Medovex Corp. Unit R 1/22/2015 2:05:27 PM
CFRX Contrafect Corp Common R 1/22/2015 2:13:00 PM
STRM Streamline Health Solutions R 1/22/2015 2:24:18 PM
TTS Tile Shop Hldgs, Inc. Cmn Stk Q 1/22/2015 2:26:57 PM
QKLS QKL STORES INC R 1/22/2015 3:21:34 PM
TECU Tecumseh Products Co Cmn Stk Q 1/22/2015 3:37:49 PM
CAPN Capnia, Inc. Common Stk R 1/22/2015 3:46:07 PM
WRES Warren Resources ,Inc. Q 1/22/2015 3:49:31 PM
TROVW Trovagene inc warrant R 1/22/2015 3:55:18 PM
NWBOW Northwest Biotherapeutics, Inc R 1/23/2015 9:30:00 AM
GENE Genetic Technologies Ltd ADS R 1/23/2015 9:30:00 AM
CACH Cache Inc. Q 1/23/2015 9:30:00 AM
DWA Dreamworks Animation SKG Cl A Q 1/23/2015 9:30:06 AM
LOOK LookSmart Ltd R 1/23/2015 9:30:43 AM
COOL Majesco Entertainment Company R 1/23/2015 9:32:45 AM
WTSL The Wet Seal Inc Cl A Q 1/23/2015 9:33:32 AM
BGMD BG Medicine, Inc. R 1/23/2015 9:33:37 AM
SYUT Synutra International, Inc. Q 1/23/2015 9:34:08 AM
VRNG Vringo, Inc. Common Stock R 1/23/2015 9:36:29 AM
CENX Century Aluminum Company Q 1/23/2015 9:40:43 AM
CRDC Cardica, Inc. Q 1/23/2015 9:44:30 AM
DCTH Delcath Systems Inc R 1/23/2015 9:47:48 AM
SNMX Senomyx Inc Q 1/23/2015 9:57:07 AM
NSPH Nanosphere, Inc. R 1/23/2015 9:59:31 AM
ATRM ATRM Holdings, Inc. R 1/23/2015 10:02:44 AM
CNET ChinaNet Online Holdings, Inc. R 1/23/2015 10:06:56 AM
HLSS Home Loan Servicing Solutions, Q 1/23/2015 10:09:23 AM
RGDX Response Genetics Inc R 1/23/2015 10:09:37 AM
QKLS QKL STORES INC R 1/23/2015 10:10:32 AM
GBSN Great Basin Scientific Cmn R 1/23/2015 10:15:10 AM
KUTV Ku6 Media Co., Ltd ADSs Q 1/23/2015 10:16:37 AM
ABGB Abengoa, S.A. ADS Q 1/23/2015 10:24:35 AM
GIGM GigaMedia Limited Q 1/23/2015 10:27:40 AM
HOTRW Chanticleer Warrants R 1/23/2015 10:31:59 AM
UPI Uroplasty, Inc. R 1/23/2015 10:32:54 AM
CAMBW Cambridge Cap Acq Warrants R 1/23/2015 10:41:32 AM
CBMG Cellular Biomedicine Grp Cmn R 1/23/2015 10:42:19 AM
ANCI American CareSource Hldgs R 1/23/2015 10:47:02 AM
CNLMR CB Pharma Acquisition Rts R 1/23/2015 10:50:10 AM
EGT Entertainment Gaming Asia R 1/23/2015 10:59:33 AM
SFXE SFX Entertainment, Inc. Cmn Q 1/23/2015 11:11:14 AM
EGHT 8x8 Inc Q 1/23/2015 11:19:57 AM
MTBC Medical Transcription Blng Cmn R 1/23/2015 11:32:13 AM
HERO Hercules Offshore Inc Q 1/23/2015 11:47:15 AM
JBSS John B Sanfilippo & Son Inc Q 1/23/2015 12:03:54 PM
SHIP Seanergy Maritime Hld Corp R 1/23/2015 12:30:23 PM
VA Virgin America Inc. CS Q 1/23/2015 12:30:53 PM
QTNTW Quotient Limited Warrants Q 1/23/2015 12:36:52 PM
CLRBW Cellectar Biosciences Wts R 1/23/2015 12:58:19 PM
ASPS Altisource Portfolio Solutions Q 1/23/2015 1:03:31 PM
OXBRW Oxbridge Re Hldgs Ltd Warrants R 1/23/2015 1:29:29 PM
CFRXW Contrafect Class A Warrants R 1/23/2015 1:42:20 PM
CLRX CollabRx, Inc. R 1/23/2015 1:55:40 PM
MEILW Methes Energies Cl A Warrant R 1/23/2015 1:57:20 PM
MCEP Mid-Con Energy Partners, LP Q 1/23/2015 2:20:11 PM
CXDC China XD Plastics Company Ltd Q 1/23/2015 2:24:03 PM
VSCI Vision-Sciences Inc R 1/23/2015 2:54:44 PM
ZEUS Olympic Steel Inc Q 1/23/2015 3:14:16 PM
ACUR Acura Pharmaceuticals R 1/23/2015 3:21:58 PM
THTI THT Heat Transfer Technology R 1/23/2015 3:37:09 PM
VRTA Vestin Realty Mortgage I Inc Q 1/23/2015 3:46:10 PM
NXTD Nxt-ID, Inc. Common Stock R 1/23/2015 3:46:56 PM
AIRT Air T Inc R 1/23/2015 3:57:37 PM