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, February 27,2015 2/27/2015 4:30:13 PM

Symbol Security Name Market Category Trigger Time
LKQ LKQ CORPORATION Q 2/26/2015 9:30:00 AM
BLDP Ballard Power Systems Inc Q 2/26/2015 9:30:00 AM
JOEZ Joe's Jeans Inc R 2/26/2015 9:30:00 AM
LIQD Liquid Holdings Group, Inc. Q 2/26/2015 9:30:00 AM
BIOC Biocept Inc R 2/26/2015 9:30:00 AM
BDBD Boulder Brands, Inc Q 2/26/2015 9:30:00 AM
CLRX CollabRx, Inc. R 2/26/2015 9:30:00 AM
HMNY Helios and Matheson Analytics R 2/26/2015 9:30:03 AM
TASR TASER International Inc Q 2/26/2015 9:30:28 AM
XTLB XTL Biopharmaceuticals Ltd ADS R 2/26/2015 9:31:45 AM
ATHX Athersys, Inc. R 2/26/2015 9:33:08 AM
AGEN Agenus Inc. R 2/26/2015 9:33:52 AM
IQNT INTELIQUENT INC CMN Q 2/26/2015 9:34:54 AM
MRGE Merge Healthcare Inc Q 2/26/2015 9:35:07 AM
VRNGW Vringo, Inc. Warrants R 2/26/2015 9:37:10 AM
STAA STAAR Surgical Company Q 2/26/2015 9:37:43 AM
SNMX Senomyx Inc Q 2/26/2015 9:42:53 AM
ARDX Ardelyx, Inc. Cmn Stk Q 2/26/2015 9:43:42 AM
ANIK Anika Therapeutics Inc Q 2/26/2015 9:43:50 AM
CRRS Corporate Resource Srv Cmn R 2/26/2015 9:44:33 AM
LBIO Lion Biotech Inc Cmn Stk Q 2/26/2015 9:45:07 AM
MITL Mitel Networks Corporation Q 2/26/2015 9:47:16 AM
EYES Second Sight Medical Cmn R 2/26/2015 9:47:28 AM
SGOC SGOCO Group, Ltd Ord Shr R 2/26/2015 9:47:49 AM
CAPNW Capnia, Inc. Series A Warrant R 2/26/2015 9:48:34 AM
INVT Inventergy Global, Inc. R 2/26/2015 9:49:36 AM
APRI Apricus Biosciences, Inc R 2/26/2015 9:57:28 AM
HERO Hercules Offshore Inc Q 2/26/2015 10:00:17 AM
CTSO Cytosorbents Corp Cmn Stk R 2/26/2015 10:04:22 AM
AXPW Axion Power Intl Cmn Stk R 2/26/2015 10:04:22 AM
AXPWW Axion Power Intl Srs A Wt R 2/26/2015 10:04:50 AM
UBIC UBIC, Inc Q 2/26/2015 10:05:08 AM
TRCH Torchlight Energy Rsrc Cmn R 2/26/2015 10:06:36 AM
EAC Erickson Incorporated Q 2/26/2015 10:17:26 AM
DSKX DS Healthcare Group Cmn Stk R 2/26/2015 10:23:06 AM
PSTR PostRock Energy Corp Cmn Q 2/26/2015 10:25:44 AM
HSON Hudson Global, Inc. Cmn Stk Q 2/26/2015 10:33:09 AM
SMLR Semler Scientific, Inc. R 2/26/2015 10:33:31 AM
ESCR Escalera Resources Co. Q 2/26/2015 10:39:00 AM
SGNL Signal Genetics, Inc. Cmn Stk R 2/26/2015 10:50:59 AM
MDVXW Medovex Corp Cl A Wt R 2/26/2015 10:52:23 AM
GALTW Galectin Therapeutics Inc. Wts R 2/26/2015 11:02:17 AM
ESSX Essex Rental Cp Cmn Stk R 2/26/2015 11:03:33 AM
APDNW Applied DNA Scien Warrant R 2/26/2015 11:12:10 AM
LPHI Life Partners Holdings Inc. Q 2/26/2015 11:36:51 AM
TAST Carrols Restaurant Group, Inc. Q 2/26/2015 11:45:19 AM
HAWK Blackhawk Network Holdings, In Q 2/26/2015 11:45:52 AM
HAWKB Blackhawk Network Hldg Cl B Q 2/26/2015 11:45:52 AM
NYMX Nymox Pharmaceutical Corp R 2/26/2015 11:48:22 AM
SYRX Sysorex Global Holdings Cp Cmn R 2/26/2015 12:36:00 PM
JASNW Jason Industries, Inc. Warrant R 2/26/2015 12:37:40 PM
CFRXZ Contrafect Class B Warrants R 2/26/2015 12:50:20 PM
PTBIW PlasmaTech Biopharmaceutica Wt R 2/26/2015 1:02:03 PM
TROVW Trovagene inc warrant R 2/26/2015 1:37:26 PM
ADAT Authentidate Holding Corp R 2/26/2015 1:45:11 PM
HDRAW Hydra Industries Acq Wts R 2/26/2015 1:54:46 PM
CHLN China Housing & Land Develop R 2/26/2015 2:06:57 PM
HNSN Hansen Medical, Inc. Q 2/26/2015 2:14:39 PM
LGCY Legacy Reserves LP Q 2/26/2015 2:40:52 PM
CALI China Auto Logistics Cmn Q 2/26/2015 3:02:38 PM
XGTIW xG Technology, Inc R 2/26/2015 3:04:07 PM
QKLS QKL STORES INC R 2/26/2015 3:09:22 PM
QTNTW Quotient Limited Warrants Q 2/26/2015 3:18:58 PM
ATRM ATRM Holdings, Inc. R 2/26/2015 3:24:35 PM
RCPI Rock Creek Pharma Inc R 2/26/2015 3:27:12 PM
AMTX Aemetis, Inc. Common Stock Q 2/26/2015 3:42:56 PM
RGSE Real Goods Solar, Inc. R 2/26/2015 3:46:32 PM
VSCI Vision-Sciences Inc R 2/26/2015 3:48:14 PM
IRDMB Iridium 6.75% Sr B Cum Cnv Pd Q 2/26/2015 3:48:28 PM
TUBE TubeMogul, Inc. Cmn Q 2/27/2015 9:30:00 AM
ENOC EnerNOC, Inc. Q 2/27/2015 9:30:00 AM
MOSY MoSys, Inc. Q 2/27/2015 9:30:00 AM
TBIO Transgenomic Inc. Cmn Stk R 2/27/2015 9:30:00 AM
PFMT Performant Financial Corporati Q 2/27/2015 9:30:00 AM
RESN Resonant Inc. Cmn Stk R 2/27/2015 9:30:00 AM
VTAE Vitae Pharmaceuticals Cmn St Q 2/27/2015 9:30:00 AM
PEGA Pegasystems Inc. Q 2/27/2015 9:30:00 AM
PODD Insulet Corporation Q 2/27/2015 9:30:00 AM
ICLDW InterCloud Systems Wrnt R 2/27/2015 9:30:00 AM
HERO Hercules Offshore Inc Q 2/27/2015 9:30:07 AM
MAMS MAM Software Group Cmn Stk R 2/27/2015 9:30:18 AM
CAPN Capnia, Inc. Common Stk R 2/27/2015 9:30:52 AM
WIFI Boingo Wireless, Inc. Q 2/27/2015 9:30:59 AM
CAPNW Capnia, Inc. Series A Warrant R 2/27/2015 9:31:04 AM
PARN Parnell Pharmaceuticals Ord Q 2/27/2015 9:31:25 AM
RPTP Raptor Pharmaceutical Corp. Q 2/27/2015 9:31:26 AM
GENE Genetic Technologies Ltd ADS R 2/27/2015 9:31:54 AM
IVAN IVANHOE ENERGY INC R 2/27/2015 9:33:01 AM
AXPWW Axion Power Intl Srs A Wt R 2/27/2015 9:35:37 AM
BIOC Biocept Inc R 2/27/2015 9:36:15 AM
GGACR Garnero Grp Acq Right R 2/27/2015 9:37:44 AM
CERS Cerus Corporation Q 2/27/2015 9:40:06 AM
PBPB Potbelly Corp Common Stk Q 2/27/2015 9:42:54 AM
AXPW Axion Power Intl Cmn Stk R 2/27/2015 9:43:44 AM
CPHR Cipher Pharmaceuticals Cmn Shs Q 2/27/2015 9:46:13 AM
INVT Inventergy Global, Inc. R 2/27/2015 9:48:11 AM
HMSY HMS Holdings Corp Q 2/27/2015 9:49:23 AM
QTNTW Quotient Limited Warrants Q 2/27/2015 9:56:33 AM
ARQL ArQule, Inc. Q 2/27/2015 10:00:57 AM
MOKO MOKO Social Media Ltd ADR Q 2/27/2015 10:01:01 AM
OMEX Odyssey Marine Exploriation R 2/27/2015 10:04:46 AM
HNSN Hansen Medical, Inc. Q 2/27/2015 10:07:08 AM
OLED Universal Display Corporation Q 2/27/2015 10:10:03 AM
QKLS QKL STORES INC R 2/27/2015 10:22:46 AM
RCPI Rock Creek Pharma Inc R 2/27/2015 10:32:33 AM
ONCY Oncolytics Biotech Inc R 2/27/2015 10:37:54 AM
STAA STAAR Surgical Company Q 2/27/2015 10:39:28 AM
RGSE Real Goods Solar, Inc. R 2/27/2015 10:54:53 AM
CYCCP Cyclacel Pharmaceuticals Prefe R 2/27/2015 10:56:43 AM
SYRX Sysorex Global Holdings Cp Cmn R 2/27/2015 11:01:56 AM
CYHHZ Community Health Systems, Inc. Q 2/27/2015 11:06:20 AM
VRTB Vestin Realty Mortgage II, Inc Q 2/27/2015 11:10:11 AM
PRSN Perseon Corporation R 2/27/2015 11:16:51 AM
XGTI xG Technology, Inc Common Stk R 2/27/2015 11:17:02 AM
OPXA OPEXA THERAPEUTICS R 2/27/2015 11:50:59 AM
PTBIW PlasmaTech Biopharmaceutica Wt R 2/27/2015 11:57:48 AM
ASPS Altisource Portfolio Solutions Q 2/27/2015 12:13:31 PM
CNCE Concert Pharmaceuticals, Inc. Q 2/27/2015 1:01:02 PM
XGTIW xG Technology, Inc R 2/27/2015 1:24:25 PM
VRNGW Vringo, Inc. Warrants R 2/27/2015 1:54:32 PM
ESCR Escalera Resources Co. Q 2/27/2015 2:04:43 PM
JOEZ Joe's Jeans Inc R 2/27/2015 2:08:26 PM
MOMO Momo Inc. ADS Q 2/27/2015 2:29:17 PM
GALTW Galectin Therapeutics Inc. Wts R 2/27/2015 2:50:26 PM
SPDC Speed Commerce Common Stock Q 2/27/2015 3:08:43 PM
TRCH Torchlight Energy Rsrc Cmn R 2/27/2015 3:37:30 PM
GIGA Giga-tronics Inc R 2/27/2015 3:37:59 PM
MEIL Methes Energies R 2/27/2015 3:40:27 PM
RMTI Rockwell Medical, Inc. Q 2/27/2015 3:53:49 PM
RGDX Response Genetics Inc R 2/27/2015 3:55:21 PM
BLBDW Blue Bird Corp Warrants R 2/27/2015 3:59:12 PM
DWSN Dawson Geophysical Co Cm Q 2/27/2015 3:59:55 PM