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, September 2,2014 9/2/2014 4:15:04 AM

Symbol Security Name Market Category Trigger Time
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