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, May 31,2016 5/31/2016 4:15:24 AM

Symbol Security Name Market Category Trigger Time
CYHHZ Community Health Systems, Inc. Q 5/27/2016 9:30:00 AM
SGYPW Synergy Pharma AWarrants R 5/27/2016 9:30:00 AM
IDSA Industrial Services of America R 5/27/2016 9:30:00 AM
UNXL Uni-Pixel, Inc. Cmn Stk R 5/27/2016 9:30:00 AM
CNLMW CB Pharma Acquisition Wts R 5/27/2016 9:30:00 AM
HERO Hercules Offshore, Inc. Cm St Q 5/27/2016 9:30:00 AM
SPEX Spherix Incorporated R 5/27/2016 9:34:45 AM
MDSY ModSys International Ltd R 5/27/2016 9:35:02 AM
NXTDW Nxt-ID, Inc. Warrant R 5/27/2016 9:39:36 AM
REXX Rex Energy Corporation Q 5/27/2016 9:44:42 AM
CLRBW Cellectar Biosciences Wts R 5/27/2016 9:47:14 AM
GALTW Galectin Therapeutics Inc. Wts R 5/27/2016 9:49:53 AM
BIOD Biodel Inc. R 5/27/2016 9:51:41 AM
CREG China Recycling Energy Corp R 5/27/2016 9:52:37 AM
BIOC Biocept Inc R 5/27/2016 9:59:27 AM
TROVW Trovagene inc warrant R 5/27/2016 10:19:32 AM
CETC Hongli Clean Energy Tech Cp R 5/27/2016 10:30:23 AM
WOWO Wowo Limited ADS Q 5/27/2016 10:32:05 AM
AEHR Aehr Test Systems R 5/27/2016 10:32:49 AM
IDXG Interpace Diagnostics Grp Inc R 5/27/2016 10:33:18 AM
TRTLW Terrapin 2 Acquisition Corp R 5/27/2016 10:33:33 AM
AKER Akers Biosciences Inc Cmn R 5/27/2016 10:35:43 AM
BASI Bioanalytical Systems Inc R 5/27/2016 10:54:03 AM
VRML Vermillion, Inc. R 5/27/2016 11:07:17 AM
OPGNW OpGen, Inc. Warrant R 5/27/2016 11:08:35 AM
FLXN Flexion Therapeutics, Inc. Q 5/27/2016 11:09:28 AM
CMLS Cumulus Media Inc R 5/27/2016 11:09:59 AM
PRGN Paragon Shipping Cl A Cmn Stk R 5/27/2016 11:26:12 AM
RITTW RIT Technologies WT exp 2018 R 5/27/2016 11:33:11 AM
GLRI Glori Energy Inc Common Stock R 5/27/2016 11:35:36 AM
NERV Minerva Neurosciences Cmn Q 5/27/2016 11:39:52 AM
GRVY GRAVITY Co., Ltd. R 5/27/2016 11:43:18 AM
PDVW pdvWireless, Inc. Cmn Stk R 5/27/2016 11:47:03 AM
CDTI Clean Diesel Technologies, Inc R 5/27/2016 11:49:56 AM
CELGZ Celgene Cp Cntgnt Value Rts Q 5/27/2016 12:02:35 PM
DELT Delta Technology Hld Ltd Ord R 5/27/2016 12:05:00 PM
SPHS Sophiris Bio, Inc. Common Stk R 5/27/2016 12:12:50 PM
DWSN Dawson Geophysical Co Cm Q 5/27/2016 12:34:06 PM
GRSHW Gores Holdings, Inc WARR R 5/27/2016 12:47:32 PM
RIBTW RiceBran Technologies Warrant R 5/27/2016 12:48:23 PM
TLOG TetraLogic Pharmaceuticals Cor Q 5/27/2016 1:11:25 PM
FES Forbes Energy Services Ltd R 5/27/2016 1:22:11 PM
ARWAW Arowana Inc. Wts R 5/27/2016 1:49:15 PM
DNAI ProNAi Therapeutics, Inc. Cmn Q 5/27/2016 1:50:32 PM
ANDAR Andina Acq CP Right R 5/27/2016 2:20:21 PM
SUMR Summer Infant Inc. Cmn Stk R 5/27/2016 2:38:15 PM
CATB Catabasis Pharmac. CM Q 5/27/2016 3:05:25 PM
WLRHW WL Ross Holding Corp Warrant R 5/27/2016 3:05:36 PM
CHEKW Check-Cap Ltd. Srs A Wt R 5/27/2016 3:14:10 PM
AXSM Axsome Therapeutics, Inc. CS R 5/27/2016 3:24:42 PM
ETRM EnteroMedics Inc R 5/27/2016 3:35:17 PM
IKGH Iao Kun Group Holding Co. Ltd. Q 5/27/2016 3:37:12 PM
AUMAW AR Capital Acquisition R 5/27/2016 3:45:40 PM
MRUS Merus N.V. CS Q 5/27/2016 3:45:49 PM
AVIR Aviragen Therapeutics, Inc. Q 5/27/2016 3:59:36 PM
BHACW Barington/Hilco Acq Cp Wts R 5/27/2016 4:19:31 PM