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, October 30,2014 10/30/2014 4:30:05 PM

Symbol Security Name Market Category Trigger Time
ARCP American Realty Capital Proper Q 10/29/2014 9:30:00 AM
XOOM Xoom Corporation Q 10/29/2014 9:30:00 AM
BBSI Barrett Business Services Q 10/29/2014 9:30:00 AM
AZPN Aspen Technology Inc Cmn Q 10/29/2014 9:30:00 AM
KEYW The KEYW Holding Corporation Q 10/29/2014 9:30:00 AM
RVSB Riverview Bancorp Inc Q 10/29/2014 9:30:11 AM
EPIQ EPIQ Systems Inc Q 10/29/2014 9:30:22 AM
AMCC Applied Micro Circuits Q 10/29/2014 9:31:01 AM
BBOX Black Box Corporation Q 10/29/2014 9:33:15 AM
EDMC Education Management Corporati Q 10/29/2014 9:37:59 AM
GCVRZ Sanofi CVR Q 10/29/2014 9:54:31 AM
SGNL Signal Genetics, Inc. Cmn Stk R 10/29/2014 10:01:41 AM
WLRHW WL Ross Holding Corp Warrant R 10/29/2014 10:07:14 AM
NXTDW Nxt-ID, Inc. Warrant R 10/29/2014 10:12:23 AM
ARCPP American Realty Capital Proper Q 10/29/2014 10:34:06 AM
TRTLW Terrapin 2 Acquisition Corp R 10/29/2014 10:34:37 AM
INNL Innocoll AG ADS Q 10/29/2014 10:47:10 AM
NSPH Nanosphere, Inc. R 10/29/2014 10:55:20 AM
CAMT Camtek Ltd Q 10/29/2014 11:07:33 AM
AXPW Axion Power Intl Cmn Stk R 10/29/2014 11:23:28 AM
ATRA Atara Biotherapeutics Cmn Q 10/29/2014 11:27:44 AM
RPRXZ Repros Therapeutics Srs B Wrnt R 10/29/2014 11:29:18 AM
EVRY EveryWare Global, Inc. Q 10/29/2014 11:33:41 AM
BBLU Blue Earth, Inc. Common Stock R 10/29/2014 11:34:49 AM
CLRB Cellectar Biosciences Cmn St R 10/29/2014 11:46:21 AM
AFSI AmTrust Financial Srvcs., Inc. Q 10/29/2014 12:17:31 PM
VGGL Viggle Inc. Common Stock R 10/29/2014 12:18:55 PM
PHMD PhotoMedex Inc Q 10/29/2014 12:24:14 PM
CGEN Compugen Ltd Q 10/29/2014 1:15:50 PM
RNA Prosensa Holding N.V. Q 10/29/2014 1:29:00 PM
ADXSW Advaxis, Inc. Warrants R 10/29/2014 1:29:33 PM
BAXS Baxano Surgical, Inc. Q 10/29/2014 1:33:09 PM
AXPWW Axion Power Intl Srs A Wt R 10/29/2014 1:44:56 PM
CPAH CounterPath Corporation Cmn R 10/29/2014 1:45:44 PM
HCACW Hennessey Capital Acq Warrants R 10/29/2014 1:57:24 PM
BREW Craft Brew Alliance, Inc Q 10/29/2014 2:01:15 PM
CLRBW Cellectar Biosciences Wts R 10/29/2014 2:06:55 PM
OBCI Ocean Bio-Chem Inc R 10/29/2014 2:08:44 PM
GBIM GlobeImmune, Inc Cmn R 10/29/2014 2:12:27 PM
TFSCW 1347 Capital Corp. Warrants R 10/29/2014 3:29:01 PM
TRCH Torchlight Energy Rsrc Cmn R 10/29/2014 3:34:36 PM
HNH Handy & Harman Ltd. R 10/29/2014 3:45:04 PM
CCUR Concurrent Computer Corp Q 10/29/2014 3:45:05 PM
RPXC RPX Corporation Q 10/29/2014 3:46:31 PM
DLIA dELiA*s Inc. Q 10/29/2014 3:56:19 PM
EVAR Lombard Medical, Inc. Ord Shs Q 10/29/2014 3:59:58 PM
ISNS Image Sensing Systems Inc R 10/29/2014 4:00:00 PM
AFOP Alliance Fiber Optic Prod Q 10/30/2014 9:30:00 AM
PRXL PAREXEL International Corp Q 10/30/2014 9:30:00 AM
CRNT Ceragon Networks Ltd Q 10/30/2014 9:30:00 AM
ALDX Aldeyra Therapeutics Cmn Stk R 10/30/2014 9:30:00 AM
ARAY Accuray Incorporated Q 10/30/2014 9:30:00 AM
WSTL Westell Technologies, Inc. Q 10/30/2014 9:30:00 AM
ISIL Intersil Corporation Q 10/30/2014 9:30:00 AM
GLUU Glu Mobile Inc. Q 10/30/2014 9:30:00 AM
PTSX Point.360 Common Stock R 10/30/2014 9:30:00 AM
GTLS Chart Industries Inc Q 10/30/2014 9:30:04 AM
BWEN Broadwind Energy, Inc. R 10/30/2014 9:30:31 AM
SIMO Silicon Motion Technology Corp Q 10/30/2014 9:30:40 AM
PGTI PGT INC Q 10/30/2014 9:31:03 AM
PEIX PACIFIC ETHANOL INC R 10/30/2014 9:31:35 AM
PTSI P A M Transportation Svcs Inc Q 10/30/2014 9:32:02 AM
HEES H&E Equipment Serices Inc Q 10/30/2014 9:33:08 AM
TSPT Transcept Pharmaceuticals, Inc Q 10/30/2014 9:33:46 AM
PCRX Pacira Phamaceuticals, Inc. Q 10/30/2014 9:34:48 AM
SWHC Smith & Wesson Holding Corpora Q 10/30/2014 9:34:58 AM
LOJN LoJack Corporation Q 10/30/2014 9:36:00 AM
LIQD Liquid Holdings Group, Inc. Q 10/30/2014 9:36:11 AM
THRM Gentherm Inc Common Stk Q 10/30/2014 9:40:31 AM
HTWR Heartware International Inc Q 10/30/2014 9:52:50 AM
GENE Genetic Technologies Ltd ADS R 10/30/2014 9:53:09 AM
BAXS Baxano Surgical, Inc. Q 10/30/2014 9:55:49 AM
CBSTZ Cubist Pharmctcls CVR Q 10/30/2014 9:56:58 AM
NEWP Newport Corp Q 10/30/2014 9:57:19 AM
DXYN The Dixie Group Inc Q 10/30/2014 9:58:06 AM
USLV VelocityShares 3x Long Silver Q 10/30/2014 9:58:55 AM
GEVO Gevo Inc Q 10/30/2014 10:02:10 AM
OMEX Odyssey Marine Exploriation R 10/30/2014 10:03:21 AM
CRUS Cirrus Logic Inc Q 10/30/2014 10:07:28 AM
CBDE CBD Energy Ltd Ord Shs R 10/30/2014 10:08:54 AM
MSON MISONIX Inc Q 10/30/2014 10:12:14 AM
RCON Recon Technology, Ltd. R 10/30/2014 10:16:25 AM
NSIT Insight Enterprises Inc Q 10/30/2014 10:28:44 AM
WHLRW Wheeler REIT Warrants R 10/30/2014 10:29:21 AM
OPHC OPTIMUMBANK HLDGS R 10/30/2014 10:35:59 AM
FREE FreeSeas Inc. R 10/30/2014 10:40:13 AM
SSH Sunshine Heart Inc R 10/30/2014 10:44:59 AM
TRCH Torchlight Energy Rsrc Cmn R 10/30/2014 10:46:01 AM
CCIH ChinaCache Holdings Ltd ADR Q 10/30/2014 10:53:01 AM
SGI Silicon Graphics Int'l Corp Q 10/30/2014 11:04:25 AM
ASTI Ascent Solar Tech Cmn Stk R 10/30/2014 11:10:32 AM
SHLDR Sears Holdings Corporation Rt Q 10/30/2014 11:12:35 AM
ATRM Aetrium Inc R 10/30/2014 11:19:20 AM
GRBK Green Brick Partners, Inc. R 10/30/2014 11:25:47 AM
BREW Craft Brew Alliance, Inc Q 10/30/2014 11:41:35 AM
ISNS Image Sensing Systems Inc R 10/30/2014 11:53:54 AM
AUPH Aurinia Pharmaceuticals Ord Sh Q 10/30/2014 11:56:15 AM
NAME Rightside Group, Ltd. Cmn Q 10/30/2014 12:05:13 PM
AXPW Axion Power Intl Cmn Stk R 10/30/2014 12:05:37 PM
IRDMZ Iridium Comm Wts Q 10/30/2014 12:24:19 PM
RMGN RMG NETWORKS HOLDING Q 10/30/2014 12:32:17 PM
AMDA Amedica Corporation R 10/30/2014 12:41:27 PM
IVAN IVANHOE ENERGY INC R 10/30/2014 1:13:02 PM
AFMD Affimed N.V. Q 10/30/2014 1:51:01 PM
RIBTW RiceBran Technologies Warrant R 10/30/2014 2:02:05 PM
HMNY Helios and Matheson Analytics R 10/30/2014 2:10:14 PM
SGYPW Synergy Pharma AWarrants R 10/30/2014 2:13:38 PM
PTIE Pain Therapeutics Q 10/30/2014 2:16:31 PM
CRESW Cresud S.A.C.I.F. y A. Q 10/30/2014 2:28:55 PM
VRNGW Vringo, Inc. Warrants R 10/30/2014 2:35:29 PM
VISN VisionChina Media, Inc. Q 10/30/2014 2:40:08 PM
IMRS IMRIS Inc. Q 10/30/2014 2:48:10 PM
UNAM Unico American Corporation Q 10/30/2014 3:24:32 PM
SANWZ S&W Seed Company R 10/30/2014 3:26:13 PM
ARCI Appliance Recycling Centers R 10/30/2014 3:29:44 PM
CFRXW Contrafect Class A Warrants R 10/30/2014 3:53:44 PM
RGSE Real Goods Solar, Inc. R 10/30/2014 3:55:11 PM
ZAZA ZaZa Energy Corporation R 10/30/2014 3:57:14 PM