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
Monday, September 26,2016 9/26/2016 4:15:17 AM

Symbol Security Name Market Category Trigger Time
IPCI Intellipharmaceutics Int Inc R 9/23/2016 9:30:00 AM
ONSIW Oncobiologics, Inc. Ser A Wt Q 9/23/2016 9:30:00 AM
WHLRW Wheeler REIT Warrants R 9/23/2016 9:30:00 AM
APRI Apricus Biosciences, Inc R 9/23/2016 9:30:00 AM
CYHHZ Community Health Systems, Inc. Q 9/23/2016 9:30:00 AM
ENPH Enphase Energy, Inc. Q 9/23/2016 9:30:00 AM
CRMT America's Car-Mart Inc Q 9/23/2016 9:30:10 AM
GALTW Galectin Therapeutics Inc. Wts R 9/23/2016 9:32:21 AM
CATB Catabasis Pharmac. CM Q 9/23/2016 9:33:52 AM
EXAS Exact Sciences Corporation R 9/23/2016 9:33:55 AM
RAVE Rave Restaurant Group, Inc. R 9/23/2016 9:34:23 AM
TKAI Tokai Pharmaceuticals Cmn Q 9/23/2016 9:35:05 AM
CPTA Capitala Finance Corp Q 9/23/2016 9:35:44 AM
SGYPW Synergy Pharma AWarrants R 9/23/2016 9:36:34 AM
MSDIW Monster Digital, Inc. WT R 9/23/2016 9:39:30 AM
DELT Delta Technology Hld Ltd Ord R 9/23/2016 9:46:28 AM
APPS Digital Turbine, Inc. Cmn Stk R 9/23/2016 9:49:41 AM
NOVN Novan, Inc. CM Q 9/23/2016 10:18:33 AM
ABEOW Abeona Therapeutics Wts R 9/23/2016 10:19:04 AM
GURE Gulf Resources, Inc. Q 9/23/2016 10:25:12 AM
MNKD MannKind Corporation Q 9/23/2016 10:27:02 AM
HMHC Houghton Mifflin Harcourt Comp Q 9/23/2016 10:29:34 AM
CRBP Corbus Pharma Hlds Cmn R 9/23/2016 10:31:54 AM
ONTXW Onconova Therapeutics, Inc. WT R 9/23/2016 10:37:47 AM
ANDAW Andina Acq CP WT R 9/23/2016 10:58:13 AM
OPGNW OpGen, Inc. Warrant R 9/23/2016 11:01:19 AM
DRRX DURECT Corporation Q 9/23/2016 11:01:49 AM
SMSI Smith Micro Software Inc R 9/23/2016 11:27:15 AM
GRVY GRAVITY Co., Ltd. R 9/23/2016 12:05:54 PM
RETA Reata Pharmaceuticals CLA CM Q 9/23/2016 1:08:01 PM
ABAC Aoxin Tianli Grp Inc R 9/23/2016 1:59:14 PM
RNVAZ Rennova Health, Inc. WTS R 9/23/2016 2:01:32 PM
MSDI Monster Digital, Inc. CS R 9/23/2016 2:01:53 PM
BHACW Barington/Hilco Acq Cp Wts R 9/23/2016 2:22:33 PM
SAEX SAExploration Hldgs Q 9/23/2016 2:38:17 PM
ANY Sphere 3D Corp. Q 9/23/2016 2:46:10 PM
ACUR Acura Pharmaceuticals Cmn R 9/23/2016 2:50:15 PM
EVBG Everbridge, Inc. Cmn Stk Q 9/23/2016 2:53:25 PM
VRAY ViewRay, Inc. Cm St Q 9/23/2016 3:47:54 PM