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, September 19,2014 9/19/2014 4:30:04 PM

Symbol Security Name Market Category Trigger Time
QTNTW Quotient Limited Warrants Q 9/18/2014 9:30:00 AM
MCHX Marchex Inc Q 9/18/2014 9:30:00 AM
FLXN Flexion Therapeutics, Inc. Q 9/18/2014 9:30:00 AM
CYHHZ Community Health Systems, Inc. Q 9/18/2014 9:30:00 AM
PRTS US Auto Parts Network Inc Q 9/18/2014 9:30:04 AM
ATEA Astea International Inc R 9/18/2014 9:31:55 AM
RTGN Ruthigen, Inc. Cmn Stk R 9/18/2014 9:33:01 AM
WPCS WPCS INTL INC R 9/18/2014 9:35:57 AM
DAEG Daegis Inc R 9/18/2014 9:37:41 AM
NYNY Empire Resorts Inc Q 9/18/2014 9:38:56 AM
ARIS ARI Network Services Cmn R 9/18/2014 9:43:43 AM
RPRX Repros Therapeutics Inc. R 9/18/2014 9:47:25 AM
WHLRW Wheeler REIT Warrants R 9/18/2014 9:48:24 AM
LPCN Lipocine Inc. Common Stock R 9/18/2014 9:48:40 AM
RWLK ReWalk Robotics Ltd Ord Shares Q 9/18/2014 9:49:40 AM
GEVO Gevo Inc Q 9/18/2014 10:03:54 AM
IFON InfoSonic Corp R 9/18/2014 10:09:07 AM
SCOK SinoCoking Coal and Coke R 9/18/2014 10:16:00 AM
NXTD Nxt-ID, Inc. Common Stock R 9/18/2014 10:17:18 AM
SPPR Supertel Hospitality, Inc. Q 9/18/2014 10:21:38 AM
HERO Hercules Offshore Inc Q 9/18/2014 10:24:43 AM
CHYR CHYRONHEGO CORP CMN Q 9/18/2014 10:25:54 AM
TKAI Tokai Pharmaceuticals Cmn Q 9/18/2014 10:35:33 AM
ADXSW Advaxis, Inc. Warrants R 9/18/2014 10:38:43 AM
PDLI PDL BioPharma, Inc. Q 9/18/2014 10:44:49 AM
JACQW Collabrium Jpn Acq Warrant R 9/18/2014 10:47:45 AM
ECTE ECHO THERAPEUTICS R 9/18/2014 10:48:49 AM
BGMD BG Medicine, Inc. R 9/18/2014 10:50:00 AM
RADA Rada Electronic Industries Ltd R 9/18/2014 10:52:20 AM
RITTW RIT Technologies WT exp 2018 R 9/18/2014 10:56:39 AM
ONCY Oncolytics Biotech Inc R 9/18/2014 11:17:04 AM
GGACW Gernero Grp Acq Warrant R 9/18/2014 11:19:20 AM
TRTLW Terrapin 2 Acquisition Corp R 9/18/2014 11:21:40 AM
ALCS ALCO Stores, Inc. Q 9/18/2014 11:57:27 AM
SINO Sino-Global Shipping America, R 9/18/2014 11:59:08 AM
DLIA dELiA*s Inc. Q 9/18/2014 12:01:49 PM
CNET ChinaNet Online Holdings, Inc. R 9/18/2014 12:07:07 PM
MFNC Mackinac Financial Corporation R 9/18/2014 12:12:35 PM
CRESW Cresud S.A.C.I.F. y A. Q 9/18/2014 12:16:55 PM
VRNGW Vringo, Inc. Warrants R 9/18/2014 12:22:06 PM
AKER Akers Biosciences Inc Cmn R 9/18/2014 12:29:25 PM
MICTW Micronet Enertec Technolog Wts R 9/18/2014 12:31:50 PM
NVCN Neovasc Inc. Cmn Shs R 9/18/2014 12:36:07 PM
SANWZ S&W Seed Company R 9/18/2014 1:02:50 PM
INNL Innocoll AG ADS Q 9/18/2014 1:10:24 PM
NWBOW Northwest Biotherapeutics, Inc R 9/18/2014 1:14:30 PM
JASNW Jason Industries, Inc. Warrant R 9/18/2014 1:21:23 PM
RIBTW RiceBran Technologies Warrant R 9/18/2014 2:21:30 PM
HOTRW Chanticleer Warrants R 9/18/2014 2:42:06 PM
NEON Neonode Inc. R 9/18/2014 2:44:15 PM
CYTX Cytori Therapeutics Inc. Q 9/18/2014 2:56:54 PM
QRHC Quest Resource Holding Cp Cmn R 9/18/2014 3:04:42 PM
HGSH China HGS Real Estate Cmn Stk R 9/18/2014 3:15:19 PM
CNIT China Information Technology Q 9/18/2014 3:40:56 PM
HMNY Helios and Matheson Analytics R 9/18/2014 3:48:43 PM
OHGI One Horizon Group Common Stk R 9/18/2014 3:50:43 PM
NIHD NII Holdings, Inc. Q 9/19/2014 9:30:00 AM
QRHC Quest Resource Holding Cp Cmn R 9/19/2014 9:30:00 AM
VIEW Viewtran Group, Inc. Q 9/19/2014 9:30:10 AM
BAGR Diversified Restaurant Hldgs R 9/19/2014 9:30:33 AM
ACTS Actions Semiconductor Co Ltd Q 9/19/2014 9:32:12 AM
CREG China Recycling Energy Corp Q 9/19/2014 9:32:56 AM
UNXL Uni-Pixel, Inc. Cmn Stk R 9/19/2014 9:47:04 AM
NXTD Nxt-ID, Inc. Common Stock R 9/19/2014 9:57:37 AM
DSKX DS Healthcare Group Cmn Stk R 9/19/2014 10:04:20 AM
KIOR KiOR, Inc. Q 9/19/2014 10:04:23 AM
MNGA MagneGas Corporation Cmn Stk R 9/19/2014 10:17:46 AM
BSDM BSD Medical Corporation R 9/19/2014 10:21:09 AM
KONE Kingtone Wirelessinfo Solution R 9/19/2014 10:30:14 AM
PTSX Point.360 Common Stock R 9/19/2014 10:34:23 AM
USLV VelocityShares 3x Long Silver Q 9/19/2014 10:49:00 AM
FREE FreeSeas Inc. R 9/19/2014 11:16:31 AM
NXTDW Nxt-ID, Inc. Warrant R 9/19/2014 11:26:41 AM
VPCO Vapor Corp. Common Stock R 9/19/2014 11:37:35 AM
NETE Net Element, Inc. R 9/19/2014 11:43:30 AM
MRNS Marinus Pharmaceuticals CS Q 9/19/2014 11:46:41 AM
NEON Neonode Inc. R 9/19/2014 11:53:00 AM
VIMC Vimicro International Corp ADS Q 9/19/2014 12:03:30 PM
GLBZ Glen Burnie Bancorp R 9/19/2014 12:04:16 PM
OTIV On Track Innovations Ordinary Q 9/19/2014 12:09:44 PM
VRNG Vringo, Inc. Common Stock R 9/19/2014 12:10:39 PM
LLEX Lilis Energy, Inc. Cmn Stk Q 9/19/2014 12:20:19 PM
CFRXW Contrafect Class A Warrants R 9/19/2014 12:52:52 PM
SGYPW Synergy Pharma AWarrants R 9/19/2014 12:58:37 PM
ACUR Acura Pharmaceuticals R 9/19/2014 12:59:27 PM
NYMX Nymox Pharmaceutical Corp R 9/19/2014 1:07:46 PM
GALTW Galectin Therapeutics Inc. Wts R 9/19/2014 1:10:29 PM
EROC Eagle Rock Energy Partners LP Q 9/19/2014 1:18:19 PM
CIDM CINEDIGM CORP Q 9/19/2014 1:41:03 PM
BIND BIND Therapeutics, Inc. Q 9/19/2014 1:45:18 PM
BSPM Biostar Pharmaceuticals, Inc. R 9/19/2014 2:15:02 PM
HGSH China HGS Real Estate Cmn Stk R 9/19/2014 2:19:58 PM
IKGH Iao Kun Group Holding Co. Ltd. Q 9/19/2014 2:28:15 PM
ENZN Enzon, Inc. R 9/19/2014 2:41:37 PM
GLRI Glori Energy Inc Common Stock R 9/19/2014 2:41:52 PM
INNL Innocoll AG ADS Q 9/19/2014 2:54:43 PM
RXDX Ignyta, Inc. Common Stock R 9/19/2014 3:00:46 PM
EVOK Evoke Pharma, Inc. Cmn R 9/19/2014 3:11:16 PM
QCCO QC Holdings, Inc. Q 9/19/2014 3:12:58 PM
ACTA Actua Corporation Common Stock Q 9/19/2014 3:24:59 PM
RPRX Repros Therapeutics Inc. R 9/19/2014 3:42:04 PM
SPEX Spherix Incorporated R 9/19/2014 3:49:10 PM
AMDA Amedica Corporation R 9/19/2014 3:50:09 PM
IMDZ Immune Design Corp Common Stk Q 9/19/2014 3:50:26 PM
RLYP Relypsa, Inc. Q 9/19/2014 3:52:55 PM
VRNGW Vringo, Inc. Warrants R 9/19/2014 3:58:31 PM
XNCR Xencor, Inc. Q 9/19/2014 3:59:00 PM
BBSI Barrett Business Services Q 9/19/2014 3:59:34 PM
SGRP SPAR Group Inc R 9/19/2014 4:00:00 PM
OHGI One Horizon Group Common Stk R 9/19/2014 4:00:00 PM