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, July 21,2017 7/21/2017 4:15:20 AM

Symbol Security Name Market Category Trigger Time
CFRX Contrafect Corp Common R 7/20/2017 9:30:00 AM
SND Smart Sand, Inc. Cmn Stk Q 7/20/2017 9:30:00 AM
CLDC China Lending Corp Ord Shs R 7/20/2017 9:30:00 AM
SHLM A Schulman Inc Q 7/20/2017 9:30:00 AM
CLFD Clearfield, Inc Q 7/20/2017 9:30:00 AM
MDVXW Medovex Corp Cl A Wt R 7/20/2017 9:30:00 AM
IIIN Insteel Industries Inc Q 7/20/2017 9:30:05 AM
DSKEW Daseke, Inc. Warrant R 7/20/2017 9:30:35 AM
ADOM ADOMANI, Inc. CM R 7/20/2017 9:31:02 AM
ROSEW Rosehill Resources Inc. Wts R 7/20/2017 9:32:05 AM
INO Inovio Pharmaceuticals Cmn Q 7/20/2017 9:32:20 AM
RKDA Arcadia Biosciences, Inc. CS Q 7/20/2017 9:32:52 AM
ABEOW Abeona Therapeutics Wts R 7/20/2017 9:33:44 AM
XELAW Exela Tech Warrant R 7/20/2017 9:33:48 AM
POOL Pool Corporation Q 7/20/2017 9:37:51 AM
DCIX Diana Containerships Inc. Q 7/20/2017 9:40:29 AM
SORL SORL Auto Parts, Inc. Q 7/20/2017 9:49:03 AM
OMNT Ominto, Inc. Cm St R 7/20/2017 10:08:45 AM
NURO NeuroMetrix, Inc. Cmn R 7/20/2017 10:17:56 AM
MYSZ My Size, Inc. Cmn Stk R 7/20/2017 10:29:44 AM
BLFS BioLife Solutions Inc Cmn Stk R 7/20/2017 10:31:38 AM
NEOT Neothetics, Inc. Cmn R 7/20/2017 10:32:06 AM
DARE Dare Bioscience, Inc. R 7/20/2017 10:40:00 AM
APDNW Applied DNA Scien Warrant R 7/20/2017 10:44:12 AM
FALC FalconStor Software Inc R 7/20/2017 10:52:35 AM
VRAY ViewRay, Inc. Cm St Q 7/20/2017 10:56:55 AM
HOVNP Hovanian Enterprises Inc. Dep. Q 7/20/2017 11:03:13 AM
CYHHZ Community Health Systems, Inc. Q 7/20/2017 11:37:29 AM
EPIX ESSA Pharma Inc Common R 7/20/2017 11:43:30 AM
ONSIW Oncobiologics, Inc. Ser A Wt Q 7/20/2017 12:16:31 PM
MXPT MaxPoint Interactive Cm Stk Q 7/20/2017 12:25:25 PM
KAACW Kayne Anderson Acquisition WRT R 7/20/2017 1:45:58 PM
RGLS Regulus Therapeutics Inc. Q 7/20/2017 1:50:03 PM
SNOAW Sonoma Pharma Wts R 7/20/2017 2:01:00 PM
BUR Burcon NutraScience Corp Q 7/20/2017 2:28:04 PM
IZEA IZEA Inc Common Stock R 7/20/2017 2:37:47 PM
CKPT Checkpoint Therapeutics, CS R 7/20/2017 3:02:42 PM
BEBE bebe stores inc R 7/20/2017 3:45:03 PM
DRYS DryShips Inc. R 7/20/2017 3:50:00 PM
SHIPW Seanergy Maritime Holdings Cor R 7/20/2017 3:58:51 PM
NHLDW National Holdings Corp Wts R 7/20/2017 4:09:29 PM
XGTIW xG Technology, Inc R 7/20/2017 5:55:31 PM