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, December 7,2016 12/7/2016 4:30:18 PM

Symbol Security Name Market Category Trigger Time
GALTW Galectin Therapeutics Inc. Wts R 12/6/2016 9:30:00 AM
VNR Vanguard Natural Resources Cm Q 12/6/2016 9:30:00 AM
RGSE Real Goods Solar, Inc. R 12/6/2016 9:30:00 AM
MIK The Michaels Companies Cmn Q 12/6/2016 9:30:00 AM
RCII Rent-A-Center Inc Q 12/6/2016 9:30:00 AM
SNCR Synchronoss Technologies, Inc. Q 12/6/2016 9:30:02 AM
REXX Rex Energy Corporation Q 12/6/2016 9:30:17 AM
OPOF Old Point Financial Corp R 12/6/2016 9:30:33 AM
SCSS Select Comfort Corporation Q 12/6/2016 9:31:13 AM
IDXG Interpace Diagnostics Grp Inc R 12/6/2016 9:31:21 AM
MEMP Memorial Production Partners Q 12/6/2016 9:31:24 AM
VNRBP Vanguard Nat Rs 7.625% B Pfd Q 12/6/2016 9:32:40 AM
VNRCP Vanguard Ntl Rsc 7.75% Pf C Q 12/6/2016 9:33:08 AM
GLBS Globus Maritime Limited R 12/6/2016 9:33:14 AM
OPTT Ocean Power Technologies, Inc. R 12/6/2016 9:33:58 AM
CLNT Cleantech Solutions R 12/6/2016 9:36:20 AM
APWC Asia Pacific Wire & Cable Copr Q 12/6/2016 9:36:51 AM
TGA Transglobe Energy Corp Q 12/6/2016 9:38:01 AM
ONSIW Oncobiologics, Inc. Ser A Wt Q 12/6/2016 9:38:25 AM
RGLS Regulus Therapeutics Inc. Q 12/6/2016 9:38:37 AM
VNRAP Vanguard Ntl Rsc 7.857% Pf A Q 12/6/2016 9:38:59 AM
MBOT Microbot Medical Inc R 12/6/2016 9:45:10 AM
PRZM Prism Tech Grp Cmn Stk R 12/6/2016 9:46:31 AM
CERC Cerecor Inc. Cmn Stk R 12/6/2016 9:53:44 AM
CASI CASI Pharmaceuticals, Inc. R 12/6/2016 10:11:54 AM
ARCW ARC Group Worldwide, Inc. R 12/6/2016 10:13:32 AM
CERCZ Cerecor Inc. Cl B Wt R 12/6/2016 10:16:10 AM
ELECW Electrum Special Acquisitio WT R 12/6/2016 10:16:43 AM
SBSA Spanish Broadcasting Sys Cl A Q 12/6/2016 10:19:42 AM
BMRA Biomerica, Inc. CS R 12/6/2016 10:20:41 AM
SHOS Sears Hometown & Outlet Stores R 12/6/2016 10:30:12 AM
LLIT Lianluo Smart Limited R 12/6/2016 10:40:09 AM
SYRX Sysorex Global Common Stock R 12/6/2016 10:41:57 AM
PZRX PhaseRx, Inc. Cm St R 12/6/2016 10:45:42 AM
BASI Bioanalytical Systems Inc R 12/6/2016 10:46:36 AM
OACQR Origo Acquisition Cp Rts R 12/6/2016 10:47:20 AM
GBT Global Blood Theraptcs Cmn Q 12/6/2016 10:50:40 AM
CFRXW Contrafect Class A Warrants R 12/6/2016 11:02:44 AM
TBIO Transgenomic Inc. Cmn Stk R 12/6/2016 11:21:50 AM
DFFN Diffusion Pharmaceuticals Inc. R 12/6/2016 11:30:53 AM
ONSIZ Oncobiologics, Inc. Ser B Wt Q 12/6/2016 12:11:28 PM
RNVAZ Rennova Health, Inc. WTS R 12/6/2016 12:18:36 PM
ARWAW Arowana Inc. Wts R 12/6/2016 12:19:48 PM
CYHHZ Community Health Systems, Inc. Q 12/6/2016 12:21:04 PM
FFHL Fuwei Films (Holdings) Co R 12/6/2016 12:26:46 PM
MTSL MER Telemanagement Sol R 12/6/2016 12:35:44 PM
OPXAW Opexa Therapeutics Warrant R 12/6/2016 12:39:29 PM
STLRW Stellar Acquisition III WRT R 12/6/2016 12:59:23 PM
MVIS Microvision Inc Q 12/6/2016 1:22:04 PM
AGFSW AgroFresh Solu Warrants Q 12/6/2016 1:33:32 PM
ECACR E-compass Acquisition Rts R 12/6/2016 1:57:17 PM
HCACW Hennessy Cpital Acq II Warran R 12/6/2016 1:59:00 PM
HDRAR Hydra Industries Acq Rights R 12/6/2016 2:00:21 PM
TRTLW Terrapin 2 Acquisition Corp R 12/6/2016 2:08:46 PM
CLDCW China Lending Corporation Wt R 12/6/2016 2:11:38 PM
TPIV TapImmune Inc. Cm St R 12/6/2016 2:42:48 PM
APDNW Applied DNA Scien Warrant R 12/6/2016 3:07:37 PM
BDSI BioDelivery Sci Int Common R 12/6/2016 3:14:49 PM
MDVXW Medovex Corp Cl A Wt R 12/6/2016 3:18:02 PM
CALA Calithera Biosciences Com Stk Q 12/6/2016 3:23:21 PM
KLREW KLR Energy Acq WT R 12/6/2016 3:30:21 PM
FLGT Fulgent Genetics, Inc. CM Q 12/6/2016 3:54:51 PM
MDGS Medigus Ltd ADS R 12/6/2016 3:56:18 PM
PERF Perfumania Holdings, Inc R 12/6/2016 3:58:19 PM
CAPNW Capnia, Inc. Series A Warrant R 12/6/2016 3:58:31 PM
HDRAW Hydra Industries Acq Wts R 12/6/2016 3:58:31 PM
VRA Vera Bradley Inc Q 12/7/2016 9:30:00 AM
OPXAW Opexa Therapeutics Warrant R 12/7/2016 9:30:00 AM
AHPI Allied Healthcare Products R 12/7/2016 9:30:00 AM
SIGM Sigma Designs Inc Q 12/7/2016 9:30:00 AM
CAPNW Capnia, Inc. Series A Warrant R 12/7/2016 9:30:00 AM
OHAI OHA Investment Corp Cmn Stk Q 12/7/2016 9:30:00 AM
AVAV Aerovironment, Inc. Q 12/7/2016 9:30:00 AM
ASMB Assembly Biosciences, Inc. R 12/7/2016 9:30:08 AM
POWL Powell Industries Inc Q 12/7/2016 9:31:59 AM
APDN Applied DNA Sciences Cmn R 12/7/2016 9:32:20 AM
RPRX Repros Therapeutics Inc. R 12/7/2016 9:32:32 AM
BHACW Barington/Hilco Acq Cp Wts R 12/7/2016 9:32:44 AM
NVCN Neovasc Inc. Cmn Shs R 12/7/2016 9:33:43 AM
ALOG Analogic Corporation Q 12/7/2016 9:35:13 AM
BNSO Bonso Electronics Int'l R 12/7/2016 9:39:10 AM
MEMP Memorial Production Partners Q 12/7/2016 9:40:46 AM
RXII RXi Pharmaceuticals Corp R 12/7/2016 9:43:07 AM
CHEKW Check-Cap Ltd. Srs A Wt R 12/7/2016 9:44:50 AM
HDRAW Hydra Industries Acq Wts R 12/7/2016 9:45:34 AM
UBIO ProShares UltraPro NQ Biotec Q 12/7/2016 9:46:48 AM
CALA Calithera Biosciences Com Stk Q 12/7/2016 9:48:20 AM
OGXI OncoGenex Pharmaceuticals Inc R 12/7/2016 9:52:52 AM
FNCX Function(x) Inc. R 12/7/2016 9:54:42 AM
VKTX Viking Therapeutics Inc Cmn R 12/7/2016 9:58:08 AM
HOTRW Chanticleer Warrants R 12/7/2016 10:15:06 AM
ARWAR Arowana Inc. Rights R 12/7/2016 10:17:41 AM
RGSE Real Goods Solar, Inc. R 12/7/2016 10:20:13 AM
CAAS China Automotive Systems, Inc. R 12/7/2016 10:21:35 AM
VNR Vanguard Natural Resources Cm Q 12/7/2016 10:27:39 AM
BLUE bluebird bio, Inc. Common Stk Q 12/7/2016 10:32:27 AM
PAVMW PAVmed Inc. Warrant R 12/7/2016 10:33:44 AM
APDNW Applied DNA Scien Warrant R 12/7/2016 10:37:33 AM
AXARW Axar Acquisition Cp. Wt R 12/7/2016 10:43:42 AM
PRKR ParkerVision Inc R 12/7/2016 10:52:30 AM
BHACR Barington/Hilco Acq Cp Rights R 12/7/2016 10:56:45 AM
ADRO Aduro Biotech, Inc. Cmn Q 12/7/2016 10:59:03 AM
SEAC SeaChange International Inc Q 12/7/2016 11:00:44 AM
SNMX Senomyx Inc Q 12/7/2016 11:10:16 AM
DRIOW DarioHealth Corp. Wts R 12/7/2016 11:12:31 AM
ARIA ARIAD Pharmaceuticals Inc Q 12/7/2016 11:24:37 AM
TRCH Torchlight Energy Rsrc Cmn R 12/7/2016 11:33:06 AM
BPMC Blueprint Medicines Corp Cm St Q 12/7/2016 11:59:53 AM
CRTN Cartesian, Inc. Common Stock R 12/7/2016 12:14:49 PM
INFI Infinity Pharmaceuticals, Inc. Q 12/7/2016 12:25:10 PM
VOXX VOXX Int'l Corp Cl A Q 12/7/2016 12:28:56 PM
DFFN Diffusion Pharmaceuticals Inc. R 12/7/2016 12:49:41 PM
OXBRW Oxbridge Re Hldgs Ltd Warrants R 12/7/2016 12:53:59 PM
STDY SteadyMed Ltd Ord Shares Q 12/7/2016 1:12:16 PM
FH FORM Holdings Cp R 12/7/2016 1:21:23 PM
XGTI xG Technology, Inc Common Stk R 12/7/2016 1:24:31 PM
OPHC OPTIMUMBANK HLDGS R 12/7/2016 1:39:20 PM
AGLE Aeglea BioTherapeutics, Inc CM Q 12/7/2016 2:18:35 PM
CTIC CTI BioPharma Corp R 12/7/2016 2:23:29 PM
OPGNW OpGen, Inc. Warrant R 12/7/2016 2:48:45 PM
PAVM PAVmed Inc. Common Stock R 12/7/2016 2:53:38 PM
APRI Apricus Biosciences, Inc. R 12/7/2016 2:58:23 PM
EXEL Exelixis, Inc. Q 12/7/2016 3:03:02 PM
LTBR Lightbridge Corp Cmn Stk R 12/7/2016 3:11:38 PM
DELT Delta Technology Hld Ltd Ord R 12/7/2016 3:14:05 PM
OCRX Ocera Therapeutics, Inc. Q 12/7/2016 3:27:50 PM
SNOAW Sonoma Pharma Wts R 12/7/2016 3:47:31 PM
ORPN Bioblast Pharma Ltd. Q 12/7/2016 3:47:44 PM
IPDN Professional Diversity Network R 12/7/2016 3:50:54 PM
FPRX Five Prime Therapeutics Cmn Q 12/7/2016 3:51:40 PM
ARWAW Arowana Inc. Wts R 12/7/2016 3:56:30 PM