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, September 20,2017 9/20/2017 4:15:19 AM

Symbol Security Name Market Category Trigger Time
MDWD MediWound Ltd. Ord Shs Q 9/19/2017 9:30:00 AM
CHEKW Check-Cap Ltd. Srs A Wt R 9/19/2017 9:30:00 AM
SNCR Synchronoss Technologies, Inc. Q 9/19/2017 9:30:00 AM
ALDX Aldeyra Therapeutics Cmn Stk R 9/19/2017 9:30:00 AM
ONSIW Oncobiologics, Inc. Ser A Wt Q 9/19/2017 9:30:00 AM
SUPN Supernus Pharmaceuticals, Inc. Q 9/19/2017 9:30:01 AM
ROSG Rosetta Genomics Ltd R 9/19/2017 9:30:10 AM
NXTDW Nxt-ID, Inc. Warrant R 9/19/2017 9:30:52 AM
SBBX Sussex Bancorp Q 9/19/2017 9:35:03 AM
ATEC Alphatec Holdings Inc Q 9/19/2017 9:35:16 AM
CBMXW CombiMatrix Corporation WT R 9/19/2017 9:42:28 AM
SLNOW Soleno Therapeutics Wts A R 9/19/2017 9:47:44 AM
LMFA LM Funding America Cmn Stk R 9/19/2017 9:48:32 AM
OMNT Ominto, Inc. Cm St R 9/19/2017 9:53:26 AM
ABUS Arbutus Biopharma Cp Cmn Stk Q 9/19/2017 10:07:38 AM
ARTW Arts-Way Manufacturing Co R 9/19/2017 10:26:06 AM
CERC Cerecor Inc. Cmn Stk R 9/19/2017 10:31:46 AM
JMU JMU Limited ADS Q 9/19/2017 10:39:09 AM
ADXSW Advaxis, Inc. Warrants R 9/19/2017 10:39:11 AM
RXIIW RXi Pharmaceuticals Corp R 9/19/2017 10:43:35 AM
MSDI Monster Digital, Inc. CS R 9/19/2017 10:55:13 AM
TNDM Tandem Diabetes Care, Inc. Q 9/19/2017 10:58:44 AM
AVIR Aviragen Therapeutics, Inc. Q 9/19/2017 10:58:45 AM
BPTH Bio-Path Holdings, Inc. R 9/19/2017 11:05:32 AM
CTXRW Citius Pharmaceuticals Wt R 9/19/2017 11:07:04 AM
ZIONZ Zions Bancorporation Q 9/19/2017 11:09:48 AM
TOPS TOP Ships Inc R 9/19/2017 11:10:32 AM
NEOS Neos Therapeutics, Inc. Cmn Q 9/19/2017 11:12:47 AM
PTLA Portola Pharmaceuticals Cmn St Q 9/19/2017 11:21:01 AM
CGNT Cogentix Medical, Inc. R 9/19/2017 11:24:12 AM
ALQA Alliqua BioMedical, Inc. R 9/19/2017 11:25:02 AM
SGLB Sigma Labs, Inc. Cm St R 9/19/2017 11:41:00 AM
NETE Net Element, Inc. R 9/19/2017 11:51:39 AM
KBSF KBS Fashion Group Ltd R 9/19/2017 12:01:03 PM
BDSI BioDelivery Sci Int Common R 9/19/2017 12:05:50 PM
CGIX Cancer Genetics, Inc. R 9/19/2017 12:09:15 PM
CHKE Cherokee Inc Q 9/19/2017 12:09:47 PM
MBVX MabVax Therapeutics CS R 9/19/2017 12:13:41 PM
CARV Carver Bancorp Inc R 9/19/2017 12:15:23 PM
OACQR Origo Acquisition Cp Rt R 9/19/2017 12:21:24 PM
PRPO Precipio, Inc. Cmn Stk R 9/19/2017 12:25:53 PM
FALC FalconStor Software Inc R 9/19/2017 12:40:27 PM
MNKD MannKind Corporation Q 9/19/2017 12:45:27 PM
DFBG Differential Brands Gp Cmn R 9/19/2017 1:01:27 PM
LTEA Long Island Iced Tea Corp. CM R 9/19/2017 1:15:49 PM
SLNO Soleno Therapeutics, Inc. R 9/19/2017 1:34:14 PM
ONS Oncobiologics, Inc. Cm St Q 9/19/2017 1:50:32 PM
JAGX Jaguar Health, Inc. Cmn R 9/19/2017 1:54:26 PM
LBIX Leading Brands Inc R 9/19/2017 2:01:43 PM
PRTO Proteon Therapeutics Cm Stk Q 9/19/2017 2:06:54 PM
PAVM PAVmed Inc. Common Stock R 9/19/2017 2:11:19 PM
MARPS Marine Peteroleum Trust Units R 9/19/2017 2:30:39 PM
STRM Streamline Health Solutions R 9/19/2017 3:20:30 PM
APOPW Cellect Biotechnology Ltd. WT R 9/19/2017 3:21:08 PM
SHIPW Seanergy Maritime Holdings Cor R 9/19/2017 3:25:55 PM
PRQR ProQR Therapeutics N.V. Ord Q 9/19/2017 3:30:44 PM
APDN Applied DNA Sciences Cmn R 9/19/2017 3:49:55 PM
KBLMR KBL Merger Corp. IV RTS R 9/19/2017 3:55:27 PM
TNTR Tintri, Inc. CM Q 9/19/2017 3:57:46 PM
SGLBW Sigma Labs, Inc. Wt R 9/19/2017 3:58:31 PM