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, August 29,2014 8/29/2014 4:30:04 PM

Symbol Security Name Market Category Trigger Time
GOMO Sungy Mobile Limited ADS Q 8/28/2014 9:30:00 AM
COCO Corinthian Colleges Inc Q 8/28/2014 9:36:42 AM
NTWK NetSol International Inc R 8/28/2014 9:36:43 AM
ASTI Ascent Solar Tech Cmn Stk R 8/28/2014 9:38:28 AM
FREE FreeSeas Inc. R 8/28/2014 9:39:22 AM
ISNS Image Sensing Systems Inc R 8/28/2014 9:40:19 AM
NFEC NF Energy Saving Corporation R 8/28/2014 9:48:34 AM
IKGH Iao Kun Group Holding Co. Ltd. Q 8/28/2014 9:49:51 AM
CNYD CHINA YIDA HOLDING, CO R 8/28/2014 9:53:51 AM
GLRIW Glori Energy Inc Warrants R 8/28/2014 9:57:50 AM
GGACR Garnero Grp Acq Right R 8/28/2014 9:58:04 AM
EDAP EDAP TMS SA ADR Q 8/28/2014 9:58:41 AM
DLIA dELiA*s Inc. Q 8/28/2014 10:01:32 AM
TRTLW Terrapin 2 Acquisition Corp R 8/28/2014 10:06:34 AM
FFHL Fuwei Films (Holdings) Co Q 8/28/2014 10:11:04 AM
SEVRR Sevcon, Inc. Rights R 8/28/2014 10:26:49 AM
GALTW Galectin Therapeutics Inc. Wts R 8/28/2014 10:45:36 AM
GMAN Gordmans Stores, Inc. Q 8/28/2014 10:51:16 AM
GLRI Glori Energy Inc Common Stock R 8/28/2014 11:15:22 AM
CYTXW Cytori Therapeutics Warrants Q 8/28/2014 11:38:16 AM
LEVYW Levy Acq. Corp. Warrants R 8/28/2014 11:46:50 AM
TGEN Tecogen Inc Cmn Stk R 8/28/2014 12:06:38 PM
OBAS Optibase Ltd. Q 8/28/2014 12:20:28 PM
KOSS Koss Corp Q 8/28/2014 12:58:34 PM
BRLI Bio-Reference Laboratories Inc Q 8/28/2014 1:06:34 PM
CBSTZ Cubist Pharmctcls CVR Q 8/28/2014 1:49:19 PM
WAFDW Washington Federal Inc Warrant Q 8/28/2014 2:12:45 PM
BLVDW Boulevard Acq. Warrants R 8/28/2014 2:19:35 PM
QKLS QKL STORES INC R 8/28/2014 2:38:49 PM
VRNGW Vringo, Inc. Warrants R 8/28/2014 3:15:14 PM
SGYPW Synergy Pharma AWarrants R 8/28/2014 3:21:52 PM
XGTIW xG Technology, Inc R 8/28/2014 3:31:00 PM
JACQW Collabrium Jpn Acq Warrant R 8/28/2014 3:48:53 PM
NIHD NII Holdings, Inc. Q 8/28/2014 3:59:20 PM
OHGI One Horizon Group Common Stk R 8/29/2014 9:30:00 AM
LLEX Lilis Energy, Inc. Cmn Stk Q 8/29/2014 9:31:05 AM
UBIC UBIC, Inc Q 8/29/2014 9:31:55 AM
SGOC SGOCO Group, Ltd Ord Shr R 8/29/2014 9:37:40 AM
KNDI Kandi Technologies Group Cmn Q 8/29/2014 9:39:46 AM
IMRS IMRIS Inc. Q 8/29/2014 9:48:54 AM
CYTXW Cytori Therapeutics Warrants Q 8/29/2014 10:23:38 AM
ORPN Bio Blast Pharma Ltd. Q 8/29/2014 10:24:12 AM
DSKX DS Healthcare Group Cmn Stk R 8/29/2014 10:28:18 AM
CADC China Advd Cnstrctn Mtrls Grp R 8/29/2014 10:46:46 AM
BLVDW Boulevard Acq. Warrants R 8/29/2014 10:55:15 AM
PSBH PSB Holdings Inc R 8/29/2014 11:25:30 AM
QTNTW Quotient Limited Warrants Q 8/29/2014 11:33:21 AM
PSUN Pacific Sunwear of California Q 8/29/2014 12:02:13 PM
TRTLW Terrapin 2 Acquisition Corp R 8/29/2014 12:38:00 PM
EDMC Education Management Corporati Q 8/29/2014 2:16:27 PM
GGACW Gernero Grp Acq Warrant R 8/29/2014 3:46:33 PM