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, April 21,2015 4/21/2015 4:15:11 AM

Symbol Security Name Market Category Trigger Time
FNRG ForceField Energy Cmn R 4/20/2015 9:30:00 AM
CRESW Cresud S.A.C.I.F. y A. Q 4/20/2015 9:30:00 AM
FARO FARO Tech Inc Q 4/20/2015 9:30:00 AM
NVIV InVivo Theraptcs Hldg Cmn R 4/20/2015 9:30:00 AM
CNDO Coronado Biosciences Cmn Stk R 4/20/2015 9:30:00 AM
SPPR Supertel Hospitality, Inc. Q 4/20/2015 9:30:07 AM
ICON Iconix Brand Group, Inc. Q 4/20/2015 9:33:59 AM
CZR Caesars Entertainment Corporat Q 4/20/2015 9:35:05 AM
SURG Synergetics USA, Inc. R 4/20/2015 9:37:49 AM
ADAT Authentidate Holding Corp R 4/20/2015 9:48:21 AM
VPCO Vapor Corp. Common Stock R 4/20/2015 9:49:19 AM
RIBTW RiceBran Technologies Warrant R 4/20/2015 9:51:53 AM
BCLI Brainstorm Cell Therptcs Cmn R 4/20/2015 9:55:34 AM
SANWZ S&W Seed Company R 4/20/2015 9:55:35 AM
CRBP Corbus Pharma Hlds Cmn R 4/20/2015 9:57:52 AM
CALA Calithera Biosciences Com Stk Q 4/20/2015 9:59:24 AM
SPDC Speed Commerce Common Stock Q 4/20/2015 10:04:57 AM
GBIM GlobeImmune, Inc Cmn R 4/20/2015 10:06:57 AM
CHLN China Housing & Land Develop R 4/20/2015 10:06:59 AM
PRSN Perseon Corporation R 4/20/2015 10:08:13 AM
AUMAW AR Capital Acquisition R 4/20/2015 10:10:27 AM
VRTA Vestin Realty Mortgage I Inc R 4/20/2015 10:15:16 AM
TRIL Trillium Therapeutics Cmn Shs R 4/20/2015 10:15:34 AM
RITTW RIT Technologies WT exp 2018 R 4/20/2015 10:16:58 AM
SPPRP Supertel Hospitality Pfd A Q 4/20/2015 10:18:58 AM
DRWIW DragonWave Inc Warrants Q 4/20/2015 10:37:20 AM
TROVU Trovagene, Inc. R 4/20/2015 10:41:09 AM
CORI Corium International Cmn Q 4/20/2015 10:44:29 AM
CSPI CSP Inc Q 4/20/2015 10:45:40 AM
LLEX Lilis Energy, Inc. Cmn Stk Q 4/20/2015 10:51:56 AM
GGACW Gernero Grp Acq Warrant R 4/20/2015 10:58:48 AM
LBIO Lion Biotech Inc Cmn Stk Q 4/20/2015 10:59:54 AM
LPCN Lipocine Inc. Common Stock R 4/20/2015 11:03:39 AM
NXTDW Nxt-ID, Inc. Warrant R 4/20/2015 11:23:55 AM
KUTV Ku6 Media Co., Ltd ADSs Q 4/20/2015 11:50:09 AM
TRCH Torchlight Energy Rsrc Cmn R 4/20/2015 11:53:30 AM
JUNO Juno Therapeutics, Inc. COM Q 4/20/2015 12:01:54 PM
OSN Ossen Innovation Co Ltd R 4/20/2015 12:05:46 PM
KITE Kite Pharma, Inc. Cmn Q 4/20/2015 12:06:13 PM
WPCS WPCS INTL INC R 4/20/2015 12:08:44 PM
FFHL Fuwei Films (Holdings) Co Q 4/20/2015 12:10:00 PM
ONCE Spark Therapeutics, Inc. Cmn Q 4/20/2015 12:22:15 PM
SCYX SCYNEXIS Inc Cmn Stk Q 4/20/2015 12:22:35 PM
CACQ Caesars Acquisition Company Q 4/20/2015 12:28:30 PM
CHEKW Check-Cap Ltd. Srs A Wt R 4/20/2015 12:40:36 PM
HOTRW Chanticleer Warrants R 4/20/2015 12:50:17 PM
CCCL China Ceramics Co Cmn Stk Q 4/20/2015 12:51:09 PM
REPH Recro Pharma, Inc. R 4/20/2015 12:58:33 PM
CHEK Check-Cap Ltd. Ord R 4/20/2015 1:12:15 PM
PRTO Proteon Therapeutics Cm Stk Q 4/20/2015 1:18:31 PM
VRNGW Vringo, Inc. Warrants R 4/20/2015 1:22:30 PM
CFRXZ Contrafect Class B Warrants R 4/20/2015 1:47:27 PM
AXPW Axion Power Intl Cmn Stk R 4/20/2015 2:00:19 PM
ENZN Enzon Pharma, Inc. R 4/20/2015 2:03:22 PM
GLMD Galmed Pharmaceuticals Ltd R 4/20/2015 2:09:02 PM
MDVX Medovex Corp. Cmn R 4/20/2015 2:26:26 PM
FSNN Fusion Telecommunications Intl R 4/20/2015 2:57:22 PM
UNXL Uni-Pixel, Inc. Cmn Stk R 4/20/2015 2:57:43 PM
TANH Tantech Holdings Common Shares R 4/20/2015 3:17:22 PM
GGACR Garnero Grp Acq Right R 4/20/2015 3:33:39 PM
PARN Parnell Pharmaceuticals Ord Q 4/20/2015 3:36:42 PM
MEIL Methes Energies R 4/20/2015 3:47:25 PM
AEHR Aehr Test Systems R 4/20/2015 3:50:23 PM
JASNW Jason Industries, Inc. Warrant R 4/20/2015 3:57:21 PM
IMRS IMRIS Inc. Q 4/20/2015 3:58:50 PM