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
Wednesday, April 16,2014 4/16/2014 4:30:05 PM

Symbol Security Name Market Category Trigger Time
CRMBW Crumbs Bake Shop, Inc. Wts R 4/15/2014 9:30:00 AM
CWTR Coldwater Creek Inc Q 4/15/2014 9:30:00 AM
LEDS SemiLEDs Corporation Q 4/15/2014 9:30:01 AM
PESI Perma-Fix Environmental Svcs R 4/15/2014 9:30:02 AM
CRMBU Crumbs Bake Shop, Inc Uts R 4/15/2014 9:30:03 AM
ESCA Escalade Incorporated Q 4/15/2014 9:30:23 AM
WHF WhiteHorse Finance, Inc. Q 4/15/2014 9:30:23 AM
JRCC James River Coal Company Q 4/15/2014 9:30:30 AM
MRVC MRV Communications Cmn R 4/15/2014 9:31:46 AM
CTG Computer Task Group, Inc. Q 4/15/2014 9:32:23 AM
JAXB Jacksonville Bancorp Inc R 4/15/2014 9:32:42 AM
MFRI MFRI Inc Q 4/15/2014 9:33:14 AM
CNET ChinaNet Online Holdings, Inc. R 4/15/2014 9:33:49 AM
CNSI Comverse, Inc. Q 4/15/2014 9:34:11 AM
NEWL NewLead Holdings Ltd Q 4/15/2014 9:43:04 AM
CBSTZ Cubist Pharmctcls CVR Q 4/15/2014 9:45:17 AM
ICLDW InterCloud Systems Wrnt R 4/15/2014 9:51:46 AM
FOLD Amicus Therapeutics, Inc. Q 4/15/2014 9:55:02 AM
SPEX Spherix Incorporated R 4/15/2014 10:00:53 AM
CNCE Concert Pharmaceuticals, Inc. Q 4/15/2014 10:05:13 AM
GEVO Gevo Inc Q 4/15/2014 10:05:42 AM
NVEEW NV5 Holdings, Inc. Wt R 4/15/2014 10:06:29 AM
TTHI Transition Therapeutics Inc Q 4/15/2014 10:12:05 AM
ROIA Radio One Inc Cl A R 4/15/2014 10:32:27 AM
GALE Galena Biopharma, Inc. R 4/15/2014 10:40:13 AM
CART Carolina Trust Bank R 4/15/2014 10:41:08 AM
CLTX Celsus Therapeutics Plc ADR R 4/15/2014 10:47:10 AM
KONE Kingtone Wirelessinfo Solution R 4/15/2014 10:47:25 AM
QURE uniQure NV Q 4/15/2014 10:49:41 AM
SGYPW Synergy Pharma AWarrants R 4/15/2014 10:53:21 AM
ASPX Auspex Pharmaceuticals, Inc. Q 4/15/2014 10:54:37 AM
TKMR Tekmira Pharmaceuticals Cmn R 4/15/2014 10:57:10 AM
ONCY Oncolytics Biotech Inc R 4/15/2014 10:58:05 AM
VSCP VirtualScopics, Inc. R 4/15/2014 10:58:12 AM
ONTY Oncothyreon Inc. Q 4/15/2014 11:02:56 AM
ACST Acasti Pharma, Inc. Cl A Cmn R 4/15/2014 11:06:39 AM
ARWR Arrowhead Research Corp Q 4/15/2014 11:09:36 AM
SEV Sevcon Inc R 4/15/2014 11:10:43 AM
DSCO Discovery Laboratories, Inc R 4/15/2014 11:11:20 AM
UNXL Uni-Pixel, Inc. Cmn Stk R 4/15/2014 11:14:42 AM
JRJC China Finance Online Co. Limit Q 4/15/2014 11:15:22 AM
CBLI Cleveland BioLabs Inc R 4/15/2014 11:15:36 AM
KPTI Karyopharm Therapeutics Inc. Q 4/15/2014 11:16:23 AM
DLIA dELiA*s Inc. Q 4/15/2014 11:24:49 AM
TGTX TG Therapeutics, Inc. Cmn Stk R 4/15/2014 11:25:12 AM
REPH Recro Pharma, Inc. R 4/15/2014 11:25:38 AM
QPACW Quinpario Acquisiton Wt R 4/15/2014 11:27:10 AM
VIMC Vimicro International Corp ADS Q 4/15/2014 11:28:27 AM
ADEP Adept Technology Inc R 4/15/2014 11:30:41 AM
STML Stemline Therapeutics Inc R 4/15/2014 11:32:14 AM
DCTH Delcath Systems Inc R 4/15/2014 11:33:46 AM
CLDN Celladon Corporation Q 4/15/2014 11:41:00 AM
AERI Aerie Pharmaceuticals, Inc. Q 4/15/2014 11:43:57 AM
IDRA Idera Pharmaceuticals, Inc. R 4/15/2014 11:45:17 AM
TROV TrovaGene, Inc. Common Stock R 4/15/2014 11:46:41 AM
FLML Flamel Technologies S.A. Q 4/15/2014 11:48:14 AM
VIEW Viewtran Group, Inc. Q 4/15/2014 11:48:25 AM
ACAD ACADIA Pharmaceuticals Inc. Q 4/15/2014 11:50:15 AM
AMBI Ambit Biosciences Corporation Q 4/15/2014 11:50:33 AM
IPCI Intellipharmaceutics Int Inc R 4/15/2014 11:51:58 AM
XGTI xG Technology, Inc Common Stk R 4/15/2014 11:52:19 AM
FATE Fate Therapeutics Inc Cmn Q 4/15/2014 11:52:33 AM
VRNGW Vringo, Inc. Warrants R 4/15/2014 11:55:03 AM
CYTK CYTOKINETICS R 4/15/2014 11:57:12 AM
PRTA Prothena Corporation plc Q 4/15/2014 11:57:29 AM
ICPT Intercept Pharmaceuticals Inc Q 4/15/2014 11:57:36 AM
OXGN OXIGENE INC R 4/15/2014 11:57:56 AM
STXS Stereotaxis Inc R 4/15/2014 11:59:39 AM
MVIS Microvision Inc Q 4/15/2014 12:00:00 PM
EONC eOn Communications Corporation R 4/15/2014 12:02:12 PM
KOOL Cesca Therapeutics Inc. R 4/15/2014 12:03:04 PM
FREE FreeSeas Inc. R 4/15/2014 12:03:09 PM
KNDI Kandi Technologies Group Cmn Q 4/15/2014 12:05:31 PM
BIOD Biodel Inc. R 4/15/2014 12:05:55 PM
TWER Towerstream Corporation Cmn R 4/15/2014 12:07:37 PM
CBAK China BAK Battery, Inc. Q 4/15/2014 12:08:12 PM
BOSC BOS Better Online Solutions R 4/15/2014 12:09:30 PM
MBIS Mediabistro Inc. R 4/15/2014 12:09:41 PM
YOD YOU On Demand Holdings Cmn Stk R 4/15/2014 12:10:11 PM
CCIH ChinaCache Holdings Ltd ADR Q 4/15/2014 12:10:22 PM
NSPH Nanosphere, Inc. Q 4/15/2014 12:12:54 PM
VNET 21Vianet Group Inc Q 4/15/2014 12:13:24 PM
EVOK Evoke Pharma, Inc. Cmn R 4/15/2014 12:13:26 PM
DHRM Dehaier Medical Systems Limite R 4/15/2014 12:13:53 PM
YY YY Inc ADS Q 4/15/2014 12:14:39 PM
BLDP Ballard Power Systems Inc Q 4/15/2014 12:15:38 PM
INSM Insmed Inc. Q 4/15/2014 12:18:33 PM
WPCS WPCS INTL INC R 4/15/2014 12:19:28 PM
RTRX Retrophin, Inc. Common Stock Q 4/15/2014 12:19:49 PM
RGLS Regulus Therapeutics Inc. Q 4/15/2014 12:21:19 PM
PRAN Prana Biotechnology Ltd. ADS R 4/15/2014 12:21:48 PM
CERE Ceres, Inc. Q 4/15/2014 12:22:48 PM
VSTM Verastem, Inc. Q 4/15/2014 12:25:54 PM
RGSE Real Goods Solar, Inc. R 4/15/2014 12:26:32 PM
ARIA ARIAD Pharmaceuticals Inc Q 4/15/2014 12:27:47 PM
QTWW QUANTUM FUEL SYS R 4/15/2014 12:30:50 PM
BIOC Biocept Inc R 4/15/2014 12:31:55 PM
OXBT OXYGEN BIOTHERAPEUTC R 4/15/2014 12:33:54 PM
ANIP ANI Pharmaceuticals, Inc. Q 4/15/2014 12:34:53 PM
CTRP Ctrip.com International, Ltd. Q 4/15/2014 12:35:08 PM
NWBO Northwest Biotherapeutics, Inc R 4/15/2014 12:37:10 PM
KUTV Ku6 Media Co., Ltd ADSs Q 4/15/2014 12:37:19 PM
TNDM Tandem Diabetes Care, Inc. Q 4/15/2014 12:37:26 PM
TRVN Trevena, Inc. Q 4/15/2014 12:37:34 PM
ATHX Athersys, Inc. R 4/15/2014 12:37:48 PM
TROVW Trovagene inc warrant R 4/15/2014 12:37:53 PM
PLUG Plug Power Inc R 4/15/2014 12:40:10 PM
BOTA Biota Pharmaceuticals, Inc. Q 4/15/2014 12:40:23 PM
RLYP Relypsa, Inc. Q 4/15/2014 12:42:59 PM
VSCI Vision-Sciences Inc R 4/15/2014 12:44:17 PM
CSIQ Canadian Solar Inc. Q 4/15/2014 12:47:14 PM
CDTI Clean Diesel Technologies, Inc R 4/15/2014 12:48:38 PM
CNYD CHINA YIDA HOLDING, CO R 4/15/2014 12:48:48 PM
ALTI ALTAIR NANOTECH INC R 4/15/2014 12:50:17 PM
MEET MeetMe, Inc. Common Stk R 4/15/2014 12:50:51 PM
DEPO Depomed, Inc. Q 4/15/2014 12:51:46 PM
CRME CARDIOME PHARMA CORP R 4/15/2014 12:52:08 PM
MNOV Medicinova Inc Q 4/15/2014 12:52:25 PM
REFR Research Frontiers Inc R 4/15/2014 12:52:28 PM
GOMO Sungy Mobile Limited ADS Q 4/15/2014 12:52:50 PM
ORMP Oramed Pharmaceuticals Cmn R 4/15/2014 12:53:54 PM
LIVE LiveDeal R 4/15/2014 12:54:21 PM
AMBT Ambient Corporation Cmn Stk R 4/15/2014 12:56:18 PM
CSII Cardiovascular Systems, Inc. Q 4/15/2014 12:56:56 PM
ITMN InterMune, Inc. Q 4/15/2014 12:57:09 PM
NXTM NxStage Medical Inc Q 4/15/2014 12:57:42 PM
SGYP Synergy Pharmaceuticals, Inc. Q 4/15/2014 12:57:45 PM
RCPT Receptos, Inc. Q 4/15/2014 12:57:58 PM
ZBRA Zebra Technologies Corporation Q 4/15/2014 12:58:06 PM
NVAX Novavax, Inc. Q 4/15/2014 12:58:20 PM
CARA Cara Therapeutics, Inc. Q 4/15/2014 12:58:20 PM
OPXA OPEXA THERAPEUTICS R 4/15/2014 12:59:10 PM
RXDX Ignyta, Inc. Common Stock R 4/15/2014 12:59:24 PM
AGIO Agios Pharmaceuticals, Inc. Q 4/15/2014 1:00:01 PM
NVFY Nova Lifestyle, Inc. Cmn Stk Q 4/15/2014 1:00:07 PM
TTPH Tetraphase Pharmaceuticals, In Q 4/15/2014 1:00:18 PM
SNMX Senomyx Inc Q 4/15/2014 1:00:38 PM
ADMP Adamis Pharmaceuticals Inc R 4/15/2014 1:01:25 PM
ABIO ARCA BIOPHARMA, INC. R 4/15/2014 1:01:44 PM
CMGE China Mobile Games and Ent Grp Q 4/15/2014 1:02:35 PM
GALTW Galectin Therapeutics Inc. Wts R 4/15/2014 1:03:36 PM
SPHS Sophiris Bio, Inc. Common Stk Q 4/15/2014 1:04:40 PM
RARE Ultragenyx Pharmaceutical Inc Q 4/15/2014 1:05:34 PM
GLYC GlycoMimetics, Inc. Q 4/15/2014 1:08:30 PM
OMED OncoMed Pharmaceuticals, Inc. Q 4/15/2014 1:08:48 PM
AGTC Applied Genetic Technologies C Q 4/15/2014 1:09:24 PM
EGLT Egalet Corporation Q 4/15/2014 1:25:07 PM
CNAT Conatus Pharmaceuticals Inc Q 4/15/2014 1:26:37 PM
LXRX Lexicon Pharmaceuticals, Inc. Q 4/15/2014 1:29:29 PM
BLUE bluebird bio, Inc. Common Stk Q 4/15/2014 1:29:50 PM
CPRX Catalyst Pharmaceutical Partne R 4/15/2014 1:30:40 PM
AGEN Agenus Inc. R 4/15/2014 1:31:32 PM
CCCL China Ceramics Co Cmn Stk Q 4/15/2014 1:34:55 PM
HTBX Heat Biologics, Inc. R 4/15/2014 1:35:23 PM
SMSI Smith Micro Software Inc Q 4/15/2014 1:40:19 PM
ATOS Atossa Genetics Inc. R 4/15/2014 1:52:05 PM
CBMXW CombiMatrix Warrants R 4/15/2014 2:15:15 PM
GALTU Galectin Therapeutics Inc. R 4/15/2014 2:53:35 PM
CRDS Crossroads Systems Inc R 4/15/2014 3:02:41 PM
VRTB Vestin Realty Mortgage II, Inc Q 4/15/2014 3:20:48 PM
DGLY Digital Ally, Inc. Cmn R 4/15/2014 3:33:51 PM
ADXSW Advaxis, Inc. Warrants R 4/15/2014 3:59:39 PM
XGTI xG Technology, Inc Common Stk R 4/16/2014 9:30:00 AM
CBMXW CombiMatrix Warrants R 4/16/2014 9:30:02 AM
CNET ChinaNet Online Holdings, Inc. R 4/16/2014 9:31:18 AM
NEWL NewLead Holdings Ltd Q 4/16/2014 9:31:31 AM
CWTR Coldwater Creek Inc Q 4/16/2014 9:31:52 AM
CARV Carver Bancorp Inc R 4/16/2014 9:41:50 AM
XGTIW xG Technology, Inc R 4/16/2014 9:48:59 AM
SANWZ S&W Seed Company R 4/16/2014 10:20:07 AM
NRX NephroGenex Inc R 4/16/2014 10:34:17 AM
SPPRO Supetel Hospitality Inc. PrefB Q 4/16/2014 10:41:48 AM
AMBT Ambient Corporation Cmn Stk R 4/16/2014 10:58:36 AM
MBIS Mediabistro Inc. R 4/16/2014 11:16:43 AM
CBSTZ Cubist Pharmctcls CVR Q 4/16/2014 12:09:26 PM
RARE Ultragenyx Pharmaceutical Inc Q 4/16/2014 1:53:46 PM
JRCC James River Coal Company Q 4/16/2014 2:47:02 PM
NVEEW NV5 Holdings, Inc. Wt R 4/16/2014 2:48:31 PM
SORL SORL Auto Parts, Inc. Q 4/16/2014 3:51:37 PM