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
Monday, August 31,2015 8/31/2015 4:30:15 PM

Symbol Security Name Market Category Trigger Time
ADAT Authentidate Holding Corp R 8/28/2015 9:30:00 AM
BEBE bebe stores inc Q 8/28/2015 9:30:00 AM
FORD Forward Industries Inc R 8/28/2015 9:30:00 AM
AMCF Andatee China Marine Fuel Serv R 8/28/2015 9:30:00 AM
SIXD 6D Global Technologies Cmn R 8/28/2015 9:30:07 AM
ESCR Escalera Resources Co. R 8/28/2015 9:30:39 AM
LOOK LookSmart Ltd R 8/28/2015 9:33:46 AM
OSN Ossen Innovation Co Ltd R 8/28/2015 9:38:13 AM
GBSN Great Basin Scientific Cmn R 8/28/2015 9:41:37 AM
PDII PDI Inc Q 8/28/2015 9:46:26 AM
SNMX Senomyx Inc Q 8/28/2015 9:46:45 AM
CAPN Capnia, Inc. Common Stk R 8/28/2015 10:01:56 AM
PRGNL Paragon Shipping Inc. Q 8/28/2015 10:28:15 AM
LNTH Lantheus Holdings, Inc. Cmn Q 8/28/2015 11:14:50 AM
JAGX Jaguar Animal Health, Inc. Cmn R 8/28/2015 11:38:36 AM
ESCRP Escalera Resources Co. Pfd A R 8/28/2015 11:47:16 AM
DHXM DHX Media Variable Vtg Shs Q 8/28/2015 11:49:03 AM
EGT Entertainment Gaming Asia R 8/28/2015 12:24:33 PM
PRPH ProPhase Labs, Inc. Q 8/28/2015 1:00:53 PM
AKER Akers Biosciences Inc Cmn R 8/28/2015 1:19:09 PM
GGACW Gernero Grp Acq Warrant R 8/28/2015 1:21:38 PM
BIOD Biodel Inc. R 8/28/2015 1:30:39 PM
SHLDW Sears Holdings Corporation Wrt Q 8/28/2015 1:44:39 PM
MYOS MYOS Corporation Common Stk R 8/28/2015 1:53:48 PM
SKLN Skyline Medical Inc. Cmn Stk R 8/28/2015 2:07:25 PM
CHCI Comstock Holding Cos., Inc. R 8/28/2015 2:52:44 PM
AMBCW Ambac Financial Group, Inc. Q 8/28/2015 2:56:52 PM
CARV Carver Bancorp Inc R 8/28/2015 3:12:44 PM
LINC Lincoln Educational Services C Q 8/28/2015 3:21:21 PM
DRWI DragonWave Inc Cmn R 8/28/2015 3:50:02 PM
DRWIW DragonWave Inc Warrants R 8/28/2015 3:56:00 PM
ARIS ARI Network Services Cmn R 8/28/2015 3:58:50 PM
CFMS ConforMIS, Inc. CS Q 8/31/2015 9:30:00 AM
STXS Stereotaxis Inc R 8/31/2015 9:30:05 AM
GBSN Great Basin Scientific Cmn R 8/31/2015 9:30:23 AM
FORD Forward Industries Inc R 8/31/2015 9:32:33 AM
TESS TESSCO Tech Q 8/31/2015 9:34:15 AM
USAK USA Truck Inc Q 8/31/2015 9:35:02 AM
ARIA ARIAD Pharmaceuticals Inc Q 8/31/2015 9:36:36 AM
IMDZ Immune Design Corp Common Stk Q 8/31/2015 9:37:36 AM
MEILZ Methes Energies Cl B Warrant R 8/31/2015 9:37:54 AM
LNCO Linn Co, LLC Q 8/31/2015 9:38:14 AM
JAGX Jaguar Animal Health, Inc. Cmn R 8/31/2015 9:38:49 AM
ZAZA ZaZa Energy Corporation R 8/31/2015 9:39:54 AM
LINC Lincoln Educational Services C Q 8/31/2015 9:40:01 AM
CREG China Recycling Energy Corp Q 8/31/2015 9:40:03 AM
BBEP Breitburn Energy Partners LP Q 8/31/2015 9:48:49 AM
PSTR PostRock Energy Corp Cmn Q 8/31/2015 9:51:35 AM
TRCH Torchlight Energy Rsrc Cmn R 8/31/2015 9:55:52 AM
HSGX Histogenics Corp Cmn Stk Q 8/31/2015 9:56:11 AM
VNR Vanguard Natural Resources Cm Q 8/31/2015 9:57:34 AM
SIXD 6D Global Technologies Cmn R 8/31/2015 9:59:18 AM
LOOK LookSmart Ltd R 8/31/2015 10:05:20 AM
QTWW QUANTUM FUEL SYS R 8/31/2015 10:09:08 AM
FREE FreeSeas Inc. R 8/31/2015 10:12:48 AM
AMCF Andatee China Marine Fuel Serv R 8/31/2015 10:14:29 AM
CORI Corium International Cmn Q 8/31/2015 10:15:56 AM
RGSE Real Goods Solar, Inc. R 8/31/2015 10:19:28 AM
CHLN China Housing & Land Develop R 8/31/2015 10:22:45 AM
OPGN OpGen, Inc. Common Stock R 8/31/2015 10:24:21 AM
USEG U S Energy Corp R 8/31/2015 10:32:49 AM
CRDC Cardica, Inc. R 8/31/2015 10:33:22 AM
OMER Omeros Corporation Q 8/31/2015 10:34:05 AM
CELGZ Celgene Cp Cntgnt Value Rts Q 8/31/2015 10:34:51 AM
VRTB Vestin Realty Mortgage II, Inc Q 8/31/2015 10:37:45 AM
CIDM CINEDIGM CORP Q 8/31/2015 10:44:37 AM
LLEX Lilis Energy, Inc. Cmn Stk Q 8/31/2015 10:49:36 AM
CFRXZ Contrafect Class B Warrants R 8/31/2015 10:51:48 AM
BELFA Bel Fuse Inc Cl A Q 8/31/2015 11:01:43 AM
ACST Acasti Pharma, Inc. Cl A Cmn R 8/31/2015 11:16:16 AM
RPRXW Repros Therapeutics Srs A Wrnt R 8/31/2015 11:19:20 AM
MYOS MYOS Corporation Common Stk R 8/31/2015 11:20:55 AM
PPSI Pioneer Power Solutions Cmn R 8/31/2015 11:24:52 AM
GGACR Garnero Grp Acq Right R 8/31/2015 11:39:34 AM
THTI THT Heat Transfer Technology R 8/31/2015 11:40:39 AM
LIQD Liquid Holdings Group, Inc. R 8/31/2015 11:44:27 AM
SXCL Steel Excel Inc Common Stk R 8/31/2015 11:50:15 AM
TBRA Tobira Therapeutics, Inc. R 8/31/2015 12:21:58 PM
CNIT China Information Technology Q 8/31/2015 12:22:57 PM
NVET Nexvet Biopharma plc Ord Q 8/31/2015 12:23:39 PM
VRTA Vestin Realty Mortgage I Inc R 8/31/2015 12:25:57 PM
CATB Catabasis Pharmac. CM Q 8/31/2015 12:42:20 PM
CCCR China Commercial Credit, Inc. R 8/31/2015 1:22:49 PM
VXUP AccuShares Spot CBOE VIX Up Sh Q 8/31/2015 1:38:35 PM
VTVT vTv Therapeutics Inc Cl A Cm Q 8/31/2015 2:02:07 PM
INNL Innocoll AG ADS Q 8/31/2015 2:28:46 PM
OPHC OPTIMUMBANK HLDGS R 8/31/2015 2:30:00 PM
CNLMR CB Pharma Acquisition Rts R 8/31/2015 2:53:05 PM
LTBR Lightbridge Corp Cmn Stk R 8/31/2015 2:56:54 PM
TFSCR 1347 Capital Corp. Rights R 8/31/2015 2:57:02 PM
IKGH Iao Kun Group Holding Co. Ltd. Q 8/31/2015 3:03:28 PM
FATE Fate Therapeutics Inc Cmn Q 8/31/2015 3:19:48 PM
UBIO ProShares UltraPro NQ Biotec Q 8/31/2015 3:27:15 PM
MRNS Marinus Pharmaceuticals CS Q 8/31/2015 3:28:27 PM
HOVNP Hovanian Enterprises Inc. Dep. Q 8/31/2015 3:33:10 PM
CFRXW Contrafect Class A Warrants R 8/31/2015 3:35:12 PM
INPH Interphase Corporation R 8/31/2015 3:53:07 PM
CARV Carver Bancorp Inc R 8/31/2015 3:58:37 PM