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
Thursday, April 17,2014 4/17/2014 4:15:04 AM

Symbol Security Name Market Category Trigger Time
XGTI xG Technology, Inc Common Stk R 4/16/2014 9:30:00 AM
CBMXW CombiMatrix Warrants R 4/16/2014 9:30:02 AM
CNET ChinaNet Online Holdings, Inc. R 4/16/2014 9:31:18 AM
NEWL NewLead Holdings Ltd Q 4/16/2014 9:31:31 AM
CWTR Coldwater Creek Inc Q 4/16/2014 9:31:52 AM
CARV Carver Bancorp Inc R 4/16/2014 9:41:50 AM
XGTIW xG Technology, Inc R 4/16/2014 9:48:59 AM
SANWZ S&W Seed Company R 4/16/2014 10:20:07 AM
NRX NephroGenex Inc R 4/16/2014 10:34:17 AM
SPPRO Supetel Hospitality Inc. PrefB Q 4/16/2014 10:41:48 AM
AMBT Ambient Corporation Cmn Stk R 4/16/2014 10:58:36 AM
MBIS Mediabistro Inc. R 4/16/2014 11:16:43 AM
CBSTZ Cubist Pharmctcls CVR Q 4/16/2014 12:09:26 PM
RARE Ultragenyx Pharmaceutical Inc Q 4/16/2014 1:53:46 PM
NVEEW NV5 Holdings, Inc. Wt R 4/16/2014 2:48:31 PM
SORL SORL Auto Parts, Inc. Q 4/16/2014 3:51:37 PM