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, October 20,2014 10/20/2014 4:30:05 PM

Symbol Security Name Market Category Trigger Time
TVIX VelocityShares Daily 2X VIX Q 10/17/2014 9:30:00 AM
URBN Urban Outfitters, Inc. Q 10/17/2014 9:30:00 AM
CBSTZ Cubist Pharmctcls CVR Q 10/17/2014 9:30:00 AM
RPRX Repros Therapeutics Inc. R 10/17/2014 9:30:00 AM
ZAZA ZaZa Energy Corporation R 10/17/2014 9:30:06 AM
DLHC DLH Holdings Corp. R 10/17/2014 9:30:37 AM
SHIP Seanergy Maritime Hld Corp R 10/17/2014 9:31:46 AM
MOKO MOKO Social Media Ltd ADR Q 10/17/2014 9:32:37 AM
ATHN athenahealth Inc Q 10/17/2014 9:33:37 AM
SHLDR Sears Holdings Corporation Rt Q 10/17/2014 9:33:48 AM
NLNK NewLink Genetics Corporation Q 10/17/2014 9:39:51 AM
FREE FreeSeas Inc. R 10/17/2014 9:50:57 AM
TVIZ VelocityShares Daily 2X VIX Q 10/17/2014 9:55:57 AM
MNOV Medicinova Inc Q 10/17/2014 10:04:28 AM
KONE Kingtone Wirelessinfo Solution R 10/17/2014 10:07:13 AM
GBIM GlobeImmune, Inc Cmn R 10/17/2014 10:17:32 AM
AHPI Allied Healthcare Products Q 10/17/2014 11:04:34 AM
PRQR ProQR Therapeutics N.V. Ord Q 10/17/2014 11:07:02 AM
LAKE Lakeland Industries Inc Q 10/17/2014 11:56:47 AM
OPTT Ocean Power Technologies, Inc. Q 10/17/2014 12:16:32 PM
TRTLW Terrapin 2 Acquisition Corp R 10/17/2014 12:29:52 PM
RITTW RIT Technologies WT exp 2018 R 10/17/2014 12:47:03 PM
GULTU Gulf Coast Ultra Dp Rlty Tr Ut R 10/17/2014 12:49:21 PM
BAXS Baxano Surgical, Inc. Q 10/17/2014 1:00:11 PM
SANWZ S&W Seed Company R 10/17/2014 1:05:01 PM
HERO Hercules Offshore Inc Q 10/17/2014 1:13:00 PM
AREX Approach Resources Inc. Q 10/17/2014 1:30:30 PM
XONE The ExOne Company Q 10/17/2014 1:58:20 PM
ARWR Arrowhead Research Corp Q 10/17/2014 1:58:47 PM
SWSH Swisher Hygiene, Inc. Cmn R 10/17/2014 2:03:38 PM
AXGN AxoGen, Inc. Common Stock R 10/17/2014 2:05:23 PM
CISAW CIS Acq. Ltd. Warrant R 10/17/2014 2:06:41 PM
GEOS Geospace Technologies Q 10/17/2014 2:08:24 PM
WRES Warren Resources ,Inc. Q 10/17/2014 2:08:37 PM
CLNE Clean Energy Fuels Corp. Q 10/17/2014 2:08:37 PM
DAEG Daegis Inc R 10/17/2014 2:21:49 PM
FIVN Five9, Inc Cmn Stk Q 10/17/2014 2:44:41 PM
NETE Net Element, Inc. R 10/17/2014 2:52:54 PM
ACRX AcelRx Pharmaceuticals, Inc. Q 10/17/2014 2:56:55 PM
EXXI Energy XXI Ltd Q 10/17/2014 3:12:30 PM
CALI China Auto Logistics Cmn Q 10/17/2014 3:50:26 PM
VRNGW Vringo, Inc. Warrants R 10/17/2014 3:50:47 PM
MYOS MYOS Corporation Common Stk R 10/17/2014 4:00:00 PM
CLAC Capitol Acquisition Corp. II R 10/17/2014 4:00:00 PM
COOL Majesco Entertainment Company R 10/17/2014 4:00:00 PM
LAKE Lakeland Industries Inc Q 10/20/2014 9:30:00 AM
SHLDR Sears Holdings Corporation Rt Q 10/20/2014 9:30:00 AM
AHPI Allied Healthcare Products Q 10/20/2014 9:30:00 AM
SHOO Steven Madden Ltd Q 10/20/2014 9:30:01 AM
CLRB Cellectar Biosciences Cmn St R 10/20/2014 9:39:19 AM
MNOV Medicinova Inc Q 10/20/2014 9:54:57 AM
BSDM BSD Medical Corporation R 10/20/2014 9:58:46 AM
CPXX Celator Pharmaceuticals Cmn R 10/20/2014 10:14:51 AM
FEIM Frequency Electronics Inc Q 10/20/2014 10:21:38 AM
NXTDW Nxt-ID, Inc. Warrant R 10/20/2014 10:36:21 AM
NWBOW Northwest Biotherapeutics, Inc R 10/20/2014 10:46:37 AM
MRVC MRV Communications Cmn R 10/20/2014 10:47:27 AM
COCO Corinthian Colleges Inc Q 10/20/2014 10:52:06 AM
GBIM GlobeImmune, Inc Cmn R 10/20/2014 11:15:22 AM
OPHC OPTIMUMBANK HLDGS R 10/20/2014 11:43:53 AM
DLHC DLH Holdings Corp. R 10/20/2014 11:54:49 AM
PARN Parnell Pharmaceuticals Ord Q 10/20/2014 12:09:00 PM
TKMR Tekmira Pharmaceuticals Cmn R 10/20/2014 12:10:49 PM
TVIX VelocityShares Daily 2X VIX Q 10/20/2014 12:10:51 PM
APRI Apricus Biosciences, Inc R 10/20/2014 12:12:11 PM
LLEX Lilis Energy, Inc. Cmn Stk Q 10/20/2014 12:32:24 PM
SCYX SCYNEXIS Inc Cmn Stk Q 10/20/2014 12:43:25 PM
OBCI Ocean Bio-Chem Inc R 10/20/2014 1:08:04 PM
CRRS Corporate Resource Srv Cmn R 10/20/2014 1:13:40 PM
ALCS ALCO Stores, Inc. Q 10/20/2014 1:20:07 PM
CMRX Chimerix, Inc. Q 10/20/2014 1:39:12 PM
MOKO MOKO Social Media Ltd ADR Q 10/20/2014 2:24:19 PM
SLCT Select Bancorp, Inc. Q 10/20/2014 2:29:40 PM
RTK Rentech Inc. Common Stock R 10/20/2014 2:41:16 PM
TRTLW Terrapin 2 Acquisition Corp R 10/20/2014 2:57:54 PM
TRCH Torchlight Energy Rsrc Cmn R 10/20/2014 3:01:39 PM
BIOC Biocept Inc R 10/20/2014 3:10:11 PM
LVNTB Liberty Ventures Srs B Cmn Q 10/20/2014 4:00:00 PM