Product Restrictions

RG16-202 Restrictions on Transactions in Northwest Biotherapeutics, Inc. (NWBO)

December 22, 2016

RG16-202 Restrictions on Transactions in Northwest Biotherapeutics, Inc. (NWBO)

RG16-192 Restrictions on Transactions in Mateon Therapeutics, Inc. (MATN)

December 08, 2016

RG16-192 Restrictions on Transactions in Mateon Therapeutics, Inc. (MATN)

RG16-191 Restrictions on Transactions in A.M. Castle & Co. (CAS)

December 07, 2016

RG16-191 Restrictions on Transactions in A.M. Castle & Co. (CAS)

RG16-173 C2 Regulatory Circular RG16-059 Restrictions on Transactions in AVG Technologies NV (AVG)

November 08, 2016

RG16-173 C2 Regulatory Circular RG16-059 Restrictions on Transactions in AVG Technologies NV (AVG)

RG16-168 Restrictions on Transactions in Violin Memory, Inc. (VMEM & adj. VMEM1)

October 28, 2016

RG16-168 Restrictions on Transactions in Violin Memory, Inc. (VMEM & adj. VMEM1)

RG16-148 Restrictions on Transactions in InterCloud Systems, Inc. (ICLD)

August 31, 2016

RG16-148 Restrictions on Transactions in InterCloud Systems, Inc. (ICLD)

RG16-133 Restrictions on Transactions in Stereotaxis, Inc. (STXS)

August 04, 2016

RG16-133 Restrictions on Transactions in Stereotaxis, Inc. (STXS)

RG16-131 Restrictions on Transactions in Key Energy Services, Inc. (KEG)

July 28, 2016

RG16-131 Restrictions on Transactions in Key Energy Services, Inc. (KEG)

RG16-125 Restrictions on Transactions in C&J Energy Services, Ltd. (CJES)

July 21, 2016

RG16-125 Restrictions on Transactions in C&J Energy Services, Ltd. (CJES)

RG16-124 Restrictions on Transactions in General Steel Holdings, Inc. (GSI)

July 19, 2016

RG16-124 Restrictions on Transactions in General Steel Holdings, Inc. (GSI)

RG16-120 Restrictions on Transactions in Atlas Resource Partners, L.P. (ARP)

July 13, 2016

RG16-120 Restrictions on Transactions in Atlas Resource Partners, L.P. (ARP)

RG16-112 Restrictions on Transactions in J. G. Wentworth Co. (JGW)

June 21, 2016

RG16-112 Restrictions on Transactions in J. G. Wentworth Co. (JGW)

RG16-111 Restrictions on Transactions in Alexa Pharmaceuticals, Inc. (ALXA)

June 17, 2016

RG16-111 Restrictions on Transactions in Alexa Pharmaceuticals, Inc. (ALXA)

RG16-109 Restrictions on Transactions in Warren Resources, Inc. (WRES)

June 08, 2016

RG16-109 Restrictions on Transactions in Warren Resources, Inc. (WRES)

RG16-107 Restrictions on Transactions in Azure Midstream Partners, LP (AZUR)

June 06, 2016

RG16-107 Restrictions on Transactions in Azure Midstream Partners, LP (AZUR)

RG16-103 Restrictions on Transactions in Breitburn Energy Partners LP (BBEP)

May 25, 2016

RG16-103 Restrictions on Transactions in Breitburn Energy Partners LP (BBEP)

RG16-100 Restrictions on Transactions in Linn Co., LLC (LNCO)

May 24, 2016

RG16-100 Restrictions on Transactions in Linn Co., LLC (LNCO)

RG16-101 Restrictions on Transactions in Linn Energy, LLC (LINE)

May 24, 2016

RG16-101 Restrictions on Transactions in Linn Energy, LLC (LINE)

RG16-098 Restrictions on Transactions in Enzon Pharmaceuticals, Inc. (ENZN)

May 20, 2016

RG16-098 Restrictions on Transactions in Enzon Pharmaceuticals, Inc. (ENZN)

RG16-096 Restrictions on Transactions in Centrais Electricas Brasileiras SA (EBR.B/EBRB)

May 19, 2016

RG16-096 Restrictions on Transactions in Centrais Electricas Brasileiras SA (EBR.B/EBRB)

RG16-095 Restrictions on Transactions in Seventy Seven Energy Inc. (SSE)

May 18, 2016

RG16-095 Restrictions on Transactions in Seventy Seven Energy Inc. (SSE)

RG16-093 Restrictions on Transactions in Fairway Group Holding Corp. Class A (FWM)

May 13, 2016

RG16-093 Restrictions on Transactions in Fairway Group Holding Corp. Class A (FWM)

RG16-091 Restrictions on Transactions in Rediff.com India Limited (REDF)

May 09, 2016

RG16-091 Restrictions on Transactions in Rediff.com India Limited (REDF)

RG16-090 Restrictions on Transactions in Ultra Petroleum Corp. (UPL)

May 03, 2016

RG16-090 Restrictions on Transactions in Ultra Petroleum Corp. (UPL)

RG16-085 Restrictions on Transactions in Energy XXI, Ltd. (EXXI)

April 25, 2016

RG16-085 Restrictions on Transactions in Energy XXI, Ltd. (EXXI)

RG16-084 Restrictions on Transactions in Aeropostale, Inc. (ARO)

April 22, 2016

RG16-084 Restrictions on Transactions in Aeropostale, Inc. (ARO)

RG16-082 Restrictions on Transactions in SunEdison, Inc. (SUNE)

April 21, 2016

RG16-082 Restrictions on Transactions in SunEdison, Inc. (SUNE)

RG16-079 Restrictions on Transactions in Pacific Sunwear of California, Inc. (PSUN)

April 14, 2016

RG16-079 Restrictions on Transactions in Pacific Sunwear of California, Inc. (PSUN)

RG16-078 Restrictions on Transactions in Peabody Energy Corporation (BTU & adj. BTU1)

April 13, 2016

RG16-078 Restrictions on Transactions in Peabody Energy Corporation (BTU & adj. BTU1)

RG16-066 Restrictions on Transactions in Global Power Equipment Group, Inc. (GLPW)

March 31, 2016

RG16-066 Restrictions on Transactions in Global Power Equipment Group, Inc. (GLPW)

Restrictions on Transactions in China Sunergy Co., Ltd. (CSUN)

March 14, 2016

Restrictions on Transactions in China Sunergy Co., Ltd. (CSUN)

RG16-047 Restrictions on Transactions in SFX Entertainment, Inc. (RJET)

March 08, 2016

RG16-047 Restrictions on Transactions in SFX Entertainment, Inc. (RJET)

RG16-043 Restrictions on Transactions in Rare Element Resources Ltd. (REE)

February 29, 2016

RG16-043 Restrictions on Transactions in Rare Element Resources Ltd. (REE)

RG16-042 Restrictions on Transactions in Hanger, Inc. (HGR)

February 29, 2016

RG16-042 Restrictions on Transactions in Hanger, Inc. (HGR)

RG16-039 Restrictions on Transactions in Ascent Solar Technologies, Inc. (ASTI)

February 25, 2016

RG16-039 Restrictions on Transactions in Ascent Solar Technologies, Inc. (ASTI)

RG16-033 Restrictions on Transactions in Horsehead Holding, Corp (ZINC)

February 11, 2016

RG16-033 Restrictions on Transactions in Horsehead Holding, Corp (ZINC)

RG16-032 Restrictions on Transactions in SFX Entertainment, Inc. (SFXE)

February 10, 2016

RG16-032 Restrictions on Transactions in SFX Entertainment, Inc. (SFXE)

RG16-031 Restrictions on Transactions in Wave Systems Corp (WAVX & Adj. WAVX1)

February 10, 2016

RG16-031 Restrictions on Transactions in Wave Systems Corp (WAVX & Adj. WAVX1)

RG16-027 Restrictions on Transactions in Midstates Petroleum Company (MPO & Adj. MPO1)

February 04, 2016

RG16-027 Restrictions on Transactions in Midstates Petroleum Company (MPO & Adj. MPO1)

RG16-025 Restrictions on Transactions in CHC Group Ltd (HELI & Adj. HELI1)

February 02, 2016

RG16-025 Restrictions on Transactions in CHC Group Ltd (HELI & Adj. HELI1)

Restrictions on Transactions in Nu verra Environmental Solutions, Inc., (NES)

January 20, 2016

Restrictions on Transactions in Nu verra Environmental Solutions, Inc., (NES)

Restrictions on Transactions in Royale Energy, Inc., (ROYL)

January 20, 2016

Restrictions on Transactions in Royale Energy, Inc., (ROYL)

RG16-014 Restrictions on Transactions in Thompson Creek Metals Company Inc., (TC)

January 15, 2016

RG16-014 Restrictions on Transactions in Thompson Creek Metals Company Inc., (TC)

RG16-012 Restrictions on Transactions in Goodrich Petroleum Corp, (GDP)

January 14, 2016

RG16-012 Restrictions on Transactions in Goodrich Petroleum Corp, (GDP)

RG16-013 Restrictions on Transactions in Swisher Hygiene Inc., (SWSH)

January 14, 2016

RG16-013 Restrictions on Transactions in Swisher Hygiene Inc., (SWSH)

RG16-011 Restrictions on Transactions in Penn Virginia Corp, (PVA)

January 13, 2016

RG16-011 Restrictions on Transactions in Penn Virginia Corp, (PVA)

RG16-008 Restrictions on Transactions in Rubicon Minerals Corp, (RBY)

January 12, 2016

RG16-008 Restrictions on Transactions in Rubicon Minerals Corp, (RBY)

RG16-009 Restrictions on Transactions in Arch Coal, Inc (ACI)

January 12, 2016

RG16-009 Restrictions on Transactions in Arch Coal, Inc (ACI)

RG16-005 Restrictions on Transactions in SandRidge Energy Inc. (SD) - Updated

January 07, 2016

RG16-005 Restrictions on Transactions in SandRidge Energy Inc. (SD) - Updated

RG16-004 Restrictions on Transactions in Whiting USA Trust II (WHZ)

January 06, 2016

RG16-004 Restrictions on Transactions in Whiting USA Trust II (WHZ)

RG16-002 Restrictions on Transactions in RCS Capital Corporation (RCAP)

January 06, 2016

RG16-002 Restrictions on Transactions in RCS Capital Corporation (RCAP)

RG16-003 Restrictions on Transactions in Dex Media, Inc (DXM)

January 06, 2016

RG16-003 Restrictions on Transactions in Dex Media, Inc (DXM)

RG16-001 Restrictions on Transactions in Adjusted Ampio Pharmaceuticals Inc. (AMPE1)

January 05, 2016

RG16-001 Restrictions on Transactions in Adjusted Ampio Pharmaceuticals Inc. (AMPE1)