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, September 30,2014 9/30/2014 4:30:04 PM

Symbol Security Name Market Category Trigger Time
TNXP Tonix Pharma Hldg Cmn Stk Q 9/29/2014 9:30:00 AM
ELGX Endologix, Inc. Q 9/29/2014 9:30:00 AM
RIBTW RiceBran Technologies Warrant R 9/29/2014 9:30:00 AM
CNET ChinaNet Online Holdings, Inc. R 9/29/2014 9:30:00 AM
BIOFR BioFuel Energy Corp. RT R 9/29/2014 9:30:00 AM
NVEEW NV5 Holdings, Inc. Wt R 9/29/2014 9:30:00 AM
JACQW Collabrium Jpn Acq Warrant R 9/29/2014 9:30:00 AM
SOHO Sotherly Hotels Inc Common Stk Q 9/29/2014 9:30:07 AM
KPTI Karyopharm Therapeutics Inc. Q 9/29/2014 9:30:51 AM
BLDR Builders FirstSource Inc Q 9/29/2014 9:31:39 AM
NETE Net Element, Inc. R 9/29/2014 9:31:56 AM
ACST Acasti Pharma, Inc. Cl A Cmn R 9/29/2014 9:33:14 AM
FES Forbes Energy Services Ltd Q 9/29/2014 9:34:22 AM
IKGH Iao Kun Group Holding Co. Ltd. Q 9/29/2014 9:38:17 AM
NXTDW Nxt-ID, Inc. Warrant R 9/29/2014 9:40:14 AM
QTWW QUANTUM FUEL SYS R 9/29/2014 9:40:50 AM
GPRC GUANWEI RECYCLING R 9/29/2014 9:44:02 AM
CFRXZ Contrafect Class B Warrants R 9/29/2014 9:46:28 AM
KONE Kingtone Wirelessinfo Solution R 9/29/2014 9:49:46 AM
XTLB XTL Biopharmaceuticals Ltd ADS R 9/29/2014 9:51:15 AM
XGTIW xG Technology, Inc R 9/29/2014 10:11:57 AM
THST Truett Hurst Class A Commmon R 9/29/2014 10:13:43 AM
NXTD Nxt-ID, Inc. Common Stock R 9/29/2014 10:46:29 AM
CBSTZ Cubist Pharmctcls CVR Q 9/29/2014 11:26:26 AM
BNSO Bonso Electronics Int'l R 9/29/2014 11:27:05 AM
DJCO Daily Journal Corp R 9/29/2014 11:54:50 AM
LPCN Lipocine Inc. Common Stock R 9/29/2014 11:59:57 AM
CTCM CTC Media , Inc. Q 9/29/2014 12:00:06 PM
ADHD Alcobra Ltd. Ordinary Shares Q 9/29/2014 12:22:22 PM
ESMC Escalon Medical Corp R 9/29/2014 12:28:53 PM
CFRX Contrafect Corp Common R 9/29/2014 1:10:49 PM
GBIM GlobeImmune, Inc Cmn R 9/29/2014 1:22:52 PM
JTPY JetPay Corporation R 9/29/2014 2:39:09 PM
FLL Full House Resorts Inc Cmn Stk R 9/29/2014 2:40:22 PM
CRRS Corporate Resource Srv Cmn R 9/29/2014 3:13:28 PM
MTEX Mannatech Incorporated Q 9/29/2014 3:34:31 PM
CFRXW Contrafect Class A Warrants R 9/29/2014 3:38:47 PM
ONCY Oncolytics Biotech Inc R 9/29/2014 3:41:53 PM
EXFO EXFO Inc Q 9/29/2014 3:42:28 PM
OTIC Otonomy, Inc. Q 9/29/2014 3:49:33 PM
ASBCW Associated Banc-Corp TARP WRNT Q 9/29/2014 3:54:49 PM
GEVO Gevo Inc Q 9/29/2014 3:59:56 PM
PDFS PDF Solutions Inc Q 9/30/2014 9:30:00 AM
CRESW Cresud S.A.C.I.F. y A. Q 9/30/2014 9:30:00 AM
DWA Dreamworks Animation SKG Cl A Q 9/30/2014 9:31:09 AM
XTLB XTL Biopharmaceuticals Ltd ADS R 9/30/2014 9:31:16 AM
ECTE ECHO THERAPEUTICS R 9/30/2014 9:32:04 AM
SANW S&W Seed Company R 9/30/2014 9:32:53 AM
LOOK LookSmart Ltd R 9/30/2014 9:35:58 AM
OSN Ossen Innovation Co Ltd R 9/30/2014 9:36:18 AM
JRJC China Finance Online Co. Limit Q 9/30/2014 9:38:19 AM
GALTW Galectin Therapeutics Inc. Wts R 9/30/2014 9:40:40 AM
WTSL The Wet Seal Inc Cl A Q 9/30/2014 9:52:48 AM
WHLRW Wheeler REIT Warrants R 9/30/2014 9:57:15 AM
COCO Corinthian Colleges Inc Q 9/30/2014 10:04:57 AM
THRM Gentherm Inc Common Stk Q 9/30/2014 10:16:27 AM
ECYT Endocyte, Inc. Q 9/30/2014 10:17:46 AM
VGGL Viggle Inc. Common Stock R 9/30/2014 10:37:02 AM
AGRX Agile Therapeutics, Inc. Cmn Q 9/30/2014 10:44:47 AM
CLIR ClearSign Combustion Corporati R 9/30/2014 10:56:06 AM
VLTC VOLTARI CORP CMN R 9/30/2014 11:01:58 AM
RADA Rada Electronic Industries Ltd R 9/30/2014 11:44:14 AM
NXTDW Nxt-ID, Inc. Warrant R 9/30/2014 12:16:36 PM
EGLT Egalet Corporation Q 9/30/2014 12:19:34 PM
USLV VelocityShares 3x Long Silver Q 9/30/2014 12:20:22 PM
JASNW Jason Industries, Inc. Warrant R 9/30/2014 12:32:02 PM
CDNA CareDx, Inc. Cmn Q 9/30/2014 12:45:09 PM
PTSX Point.360 Common Stock R 9/30/2014 12:54:29 PM
FSNN Fusion Telecommunications Intl R 9/30/2014 1:31:36 PM
QTNTW Quotient Limited Warrants Q 9/30/2014 1:33:41 PM
CYTX Cytori Therapeutics Inc. Q 9/30/2014 1:44:49 PM
BIOC Biocept Inc R 9/30/2014 2:01:33 PM
INNL Innocoll AG ADS Q 9/30/2014 2:04:58 PM
ACST Acasti Pharma, Inc. Cl A Cmn R 9/30/2014 2:17:24 PM
TTS Tile Shop Hldgs, Inc. Cmn Stk Q 9/30/2014 2:20:19 PM
WRES Warren Resources ,Inc. Q 9/30/2014 2:23:20 PM
CFRXZ Contrafect Class B Warrants R 9/30/2014 3:08:55 PM
CADC China Advd Cnstrctn Mtrls Grp R 9/30/2014 3:11:18 PM
MRNS Marinus Pharmaceuticals CS Q 9/30/2014 3:39:33 PM
OXBRW Oxbridge Re Hldgs Ltd Warrants R 9/30/2014 3:41:26 PM
ATLC Atlanticus Holdings Corp Q 9/30/2014 3:53:12 PM
GURE Gulf Resources, Inc. Q 9/30/2014 3:58:36 PM