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 23,2014 4/23/2014 4:30:05 PM

Symbol Security Name Market Category Trigger Time
BEBE bebe stores inc Q 4/22/2014 9:30:00 AM
MDSO Medidata Solutions, Inc. Q 4/22/2014 9:30:00 AM
CTG Computer Task Group, Inc. Q 4/22/2014 9:30:33 AM
ZIONZ Zions Bancorporation Q 4/22/2014 9:30:43 AM
DARA DARA Biosciences, Inc. R 4/22/2014 9:34:07 AM
RMBS Rambus Inc. Q 4/22/2014 9:35:00 AM
ARTX Arotech Corporation Q 4/22/2014 9:35:25 AM
CBMXW CombiMatrix Warrants R 4/22/2014 9:40:31 AM
KIOR KiOR, Inc. Q 4/22/2014 9:44:37 AM
AKBA Akebia Therapeutics, Inc. Cmn Q 4/22/2014 9:54:43 AM
CYTXW Cytori Therapeutics Warrants Q 4/22/2014 10:37:17 AM
NEWL NewLead Holdings Ltd Q 4/22/2014 10:59:24 AM
SMLR Semler Scientific, Inc. R 4/22/2014 12:05:03 PM
CRMBW Crumbs Bake Shop, Inc. Wts R 4/22/2014 12:48:42 PM
AXAS Abraxas Petroleum Corporation R 4/22/2014 12:54:52 PM
CNIT China Information Technology Q 4/22/2014 1:00:03 PM
GLRIW Glori Energy Inc Warrants R 4/22/2014 1:23:20 PM
UNIS Unilife Corporation Q 4/22/2014 1:25:53 PM
STRZB Starz Series B Common Stock Q 4/22/2014 2:24:20 PM
UBIC UBIC, Inc Q 4/22/2014 2:34:38 PM
EDGW Edgewater Technology Inc Q 4/22/2014 3:09:58 PM
FSBK First South Bancorp Inc Q 4/22/2014 3:14:34 PM
HCACW Hennessey Capital Acq Warrants R 4/22/2014 3:16:52 PM
ZHNE Zhone Technologies Inc R 4/23/2014 9:30:00 AM
AMSG Amsurg Corporation Q 4/23/2014 9:30:00 AM
BBNK Bridge Capital Holdings Q 4/23/2014 9:30:05 AM
CBSTZ Cubist Pharmctcls CVR Q 4/23/2014 9:30:27 AM
GEVO Gevo Inc Q 4/23/2014 9:30:53 AM
PLUG Plug Power Inc R 4/23/2014 9:30:55 AM
AGTC Applied Genetic Technologies C Q 4/23/2014 9:30:59 AM
CRMB Crumbs Bake Shop, Inc. R 4/23/2014 9:33:25 AM
CREE Cree, Inc. Q 4/23/2014 9:36:22 AM
ICLDW InterCloud Systems Wrnt R 4/23/2014 9:39:41 AM
FDML Federal-Mogul Holdings Cp Cmn Q 4/23/2014 9:45:02 AM
HCACW Hennessey Capital Acq Warrants R 4/23/2014 10:01:49 AM
ZIXI Zix Corporation Q 4/23/2014 10:09:25 AM
PETX Aratana Therapeutics Cmn Stk Q 4/23/2014 10:22:33 AM
IRBT iRobot Corporation Q 4/23/2014 10:32:32 AM
JAKK JAKKS Pacific Inc Q 4/23/2014 11:09:16 AM
CRMBW Crumbs Bake Shop, Inc. Wts R 4/23/2014 11:17:12 AM
AMRK A-Mark Precious Metals, Inc. Q 4/23/2014 11:17:43 AM
ISRG Intuitive Surgical Inc Q 4/23/2014 12:17:15 PM
ICLD InterCloud Systems, Inc. Cmn R 4/23/2014 12:26:15 PM
CAMBW Cambridge Cap Acq Warrants R 4/23/2014 1:43:15 PM
XNPT XenoPort, Inc. Q 4/23/2014 1:49:25 PM
FPRX Five Prime Therapeutics Cmn Q 4/23/2014 2:16:12 PM
QPACW Quinpario Acquisiton Wt R 4/23/2014 2:26:03 PM
TGTX TG Therapeutics, Inc. Cmn Stk R 4/23/2014 2:31:56 PM
VSTM Verastem, Inc. Q 4/23/2014 2:33:50 PM
KBIO KaloBios Pharmaceuticals, Inc. Q 4/23/2014 2:37:08 PM
CNET ChinaNet Online Holdings, Inc. R 4/23/2014 2:44:35 PM
ROIA Radio One Inc Cl A R 4/23/2014 3:02:42 PM
VLYWW Valley Natl Bancorp Warrants R 4/23/2014 3:04:07 PM
NWBOW Northwest Biotherapeutics, Inc R 4/23/2014 3:10:40 PM
WB Weibo Corporation ADS Q 4/23/2014 3:47:39 PM
LEVYW Levy Acq. Corp. Warrants R 4/23/2014 3:51:38 PM