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
Tuesday, July 22,2014 7/22/2014 4:15:04 AM

Symbol Security Name Market Category Trigger Time
XGTIW xG Technology, Inc R 7/21/2014 9:30:00 AM
EZPW EZCORP, Inc. Q 7/21/2014 9:30:11 AM
BBNK Bridge Capital Holdings Q 7/21/2014 9:30:26 AM
XTLB XTL Biopharmaceuticals Ltd ADS R 7/21/2014 9:33:36 AM
OXBRW Oxbridge Re Hldgs Ltd Warrants R 7/21/2014 9:42:10 AM
TROVW Trovagene inc warrant R 7/21/2014 9:59:29 AM
TBIO Transgenomic Inc. Cmn Stk R 7/21/2014 10:25:07 AM
TUBE TubeMogul, Inc. Cmn Q 7/21/2014 10:46:35 AM
EVRY EveryWare Global, Inc. Q 7/21/2014 11:01:21 AM
NYNY Empire Resorts Inc Q 7/21/2014 11:05:10 AM
WHLRW Wheeler REIT Warrants R 7/21/2014 11:38:17 AM
ADAT Authentidate Holding Corp R 7/21/2014 11:41:24 AM
IVAN IVANHOE ENERGY INC R 7/21/2014 12:02:41 PM
ASTI Ascent Solar Technologies Inc. R 7/21/2014 1:05:06 PM
AGTC Applied Genetic Technologies C Q 7/21/2014 2:29:23 PM
CELGZ Celgene Cp Cntgnt Value Rts Q 7/21/2014 2:41:48 PM
BIOF BioFuel Energy Corp. R 7/21/2014 3:01:06 PM
QURE uniQure NV Q 7/21/2014 3:34:29 PM
ITRI Itron, Inc. Q 7/21/2014 3:44:17 PM