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, May 22,2015 5/22/2015 4:30:13 PM

Symbol Security Name Market Category Trigger Time
XNET Xunlei Limited ADR Q 5/21/2015 9:30:00 AM
WAVX WAVE SYSTEMS CP CL A R 5/21/2015 9:30:00 AM
NTAP NetApp, Inc. Q 5/21/2015 9:30:00 AM
PBMD PRIMA BIOMED LTD Q 5/21/2015 9:30:00 AM
BRKR Bruker Corporation Q 5/21/2015 9:30:00 AM
CNIT China Information Technology Q 5/21/2015 9:30:10 AM
OTEX Open Text Corporation Q 5/21/2015 9:32:58 AM
JOEZ Joe's Jeans Inc R 5/21/2015 9:33:22 AM
MNRO Monro Muffler Brake Inc Q 5/21/2015 9:34:53 AM
PTBIW PlasmaTech Biopharmaceutica Wt R 5/21/2015 9:37:11 AM
BONT The Bon-Ton Stores Inc Q 5/21/2015 9:41:48 AM
CHEKW Check-Cap Ltd. Srs A Wt R 5/21/2015 9:50:33 AM
REPH Recro Pharma, Inc. R 5/21/2015 9:53:57 AM
RCPI Rock Creek Pharma Inc R 5/21/2015 9:58:54 AM
ARCW ARC Group Worldwide, Inc. R 5/21/2015 10:02:11 AM
CBAY CymaBay Therapeutics Cmn Stk R 5/21/2015 10:29:20 AM
NHTC Natural Health Trends Cp Cm R 5/21/2015 10:31:06 AM
HOTR Chanticleer Holdings, Inc. Cmn R 5/21/2015 10:40:48 AM
ACFN Acorn Energy, Inc. Cmn Stk R 5/21/2015 10:44:53 AM
AXPWW Axion Power Intl Srs A Wt R 5/21/2015 10:45:59 AM
NETE Net Element, Inc. R 5/21/2015 11:04:41 AM
DRNA Dicerna Pharmaceuticals Inc Q 5/21/2015 11:13:05 AM
XGTI xG Technology, Inc Common Stk R 5/21/2015 11:31:38 AM
BLVDW Boulevard Acq. Warrants R 5/21/2015 11:36:24 AM
ICLDW InterCloud Systems Wrnt R 5/21/2015 11:40:18 AM
HYGS Hydrogenics Corp New Q 5/21/2015 11:40:47 AM
NVET Nexvet Biopharma plc Ord Q 5/21/2015 12:02:17 PM
SRPT Sarepta Therapeutics, Inc. Q 5/21/2015 12:11:07 PM
CAPNW Capnia, Inc. Series A Warrant R 5/21/2015 12:11:58 PM
ICCC ImmuCell Corp R 5/21/2015 12:36:05 PM
AXPW Axion Power Intl Cmn Stk R 5/21/2015 12:36:15 PM
TRCB Two River Bancorp R 5/21/2015 12:53:30 PM
ROIQW ROI Acq. II Warrants R 5/21/2015 1:03:23 PM
PSTR PostRock Energy Corp Cmn Q 5/21/2015 1:08:22 PM
OXGN OXIGENE INC R 5/21/2015 1:48:06 PM
CAPN Capnia, Inc. Common Stk R 5/21/2015 1:48:53 PM
VRNGW Vringo, Inc. Warrants R 5/21/2015 1:53:47 PM
GBSN Great Basin Scientific Cmn R 5/21/2015 1:55:30 PM
ASTI Ascent Solar Tech Cmn Stk R 5/21/2015 2:00:41 PM
FREE FreeSeas Inc. R 5/21/2015 2:15:41 PM
QUMU QUMU CORPORATION Q 5/21/2015 2:17:48 PM
CLDN Celladon Corporation Q 5/21/2015 2:18:37 PM
RLJE RLJ Entertainment Inc R 5/21/2015 2:33:22 PM
LPTN Lpath, Inc. Class A Cmn Stk R 5/21/2015 2:38:08 PM
TRCH Torchlight Energy Rsrc Cmn R 5/21/2015 2:40:45 PM
VRTB Vestin Realty Mortgage II, Inc Q 5/21/2015 2:58:45 PM
HOTRW Chanticleer Warrants R 5/21/2015 3:12:37 PM
XGTIW xG Technology, Inc R 5/21/2015 3:14:48 PM
CELGZ Celgene Cp Cntgnt Value Rts Q 5/21/2015 3:18:24 PM
CLTX Celsus Therapeutics Plc ADR R 5/21/2015 3:27:08 PM
MYOS MYOS Corporation Common Stk R 5/21/2015 3:30:34 PM
KBSF KBS Fashion Group Ltd R 5/21/2015 3:31:38 PM
BLIN Bridgeline Digital, Inc. R 5/21/2015 3:37:19 PM
OPGNW OpGen, Inc. Warrant R 5/21/2015 3:45:44 PM
CLRBW Cellectar Biosciences Wts R 5/21/2015 3:46:58 PM
SANW S&W Seed Company R 5/21/2015 3:47:19 PM
VBLT Vascular Biogenics Ltd Ord Sh Q 5/21/2015 3:52:35 PM
OTIC Otonomy, Inc. Q 5/22/2015 9:30:00 AM
TACOW Levy Acq. Corp. Warrants R 5/22/2015 9:30:00 AM
VGGL Viggle Inc. Common Stock R 5/22/2015 9:30:00 AM
FFHL Fuwei Films (Holdings) Co R 5/22/2015 9:30:00 AM
AUMAW AR Capital Acquisition R 5/22/2015 9:30:03 AM
CNIT China Information Technology Q 5/22/2015 9:35:11 AM
HOTRW Chanticleer Warrants R 5/22/2015 9:35:33 AM
ESPR Esperion Therapeutics Cmn Q 5/22/2015 9:36:07 AM
CCIH ChinaCache Holdings Ltd ADR Q 5/22/2015 9:37:29 AM
VRTB Vestin Realty Mortgage II, Inc Q 5/22/2015 9:39:34 AM
CDRB Code Rebel Corp Common Stk R 5/22/2015 9:42:01 AM
QUNR Qunar Cayman Islands Ltd ADS Q 5/22/2015 9:59:58 AM
CHOP China Gerui Advanced Materials Q 5/22/2015 10:15:56 AM
CYCCP Cyclacel Pharmaceuticals Prefe R 5/22/2015 10:57:24 AM
TRCH Torchlight Energy Rsrc Cmn R 5/22/2015 11:04:12 AM
GGACR Garnero Grp Acq Right R 5/22/2015 11:33:19 AM
OPTT Ocean Power Technologies, Inc. Q 5/22/2015 11:35:04 AM
CHEKW Check-Cap Ltd. Srs A Wt R 5/22/2015 11:41:50 AM
CDTX Cidara Therapeutics Cmn Q 5/22/2015 11:56:44 AM
HERO Hercules Offshore Inc Q 5/22/2015 12:49:48 PM
OHGI One Horizon Group Common Stk R 5/22/2015 1:34:42 PM
CLWT Euro Tech Holdings Co Ltd R 5/22/2015 2:14:38 PM
IPDN Professional Diversity Network R 5/22/2015 2:43:37 PM
RITTW RIT Technologies WT exp 2018 R 5/22/2015 2:44:09 PM
LOOK LookSmart Ltd R 5/22/2015 2:45:59 PM
SEV Sevcon Inc R 5/22/2015 3:04:08 PM
BIOL Biolase, Inc. Common Stock R 5/22/2015 3:36:42 PM
SUTR Sutor Technology Group Ltd R 5/22/2015 3:41:52 PM
DXM Dex Media Inc Q 5/22/2015 3:57:00 PM
ICLDW InterCloud Systems Wrnt R 5/22/2015 3:58:02 PM
CPGI China Packaging Gp R 5/22/2015 4:01:00 PM