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, May 4,2016 5/4/2016 4:30:24 PM

Symbol Security Name Market Category Trigger Time
FWM Fairway Group Hldgs Cl A Cmn Q 5/3/2016 9:30:00 AM
ULTR Ultrapetrol (Bahamas) Limited R 5/3/2016 9:30:00 AM
HBIO Harvard Bioscience, Inc. Q 5/3/2016 9:30:00 AM
QKLS QKL STORES INC R 5/3/2016 9:30:00 AM
KTWO K2M Group Holdings, Inc Cmn Q 5/3/2016 9:30:00 AM
PRGN Paragon Shipping Cl A Cmn Stk R 5/3/2016 9:30:00 AM
RVLT Revolution Lighting Tech Cmn R 5/3/2016 9:30:00 AM
XGTIW xG Technology, Inc R 5/3/2016 9:30:00 AM
GLBS Globus Maritime Limited R 5/3/2016 9:30:00 AM
CUR Neuralstem, Inc. R 5/3/2016 9:30:00 AM
APLP Archrock Partners, L.P. Q 5/3/2016 9:30:01 AM
BHACW Barington/Hilco Acq Cp Wts R 5/3/2016 9:30:01 AM
LLEX Lilis Energy, Inc. Cmn Stk R 5/3/2016 9:30:06 AM
EGLE Eagle Bulk Shipping NEW Q 5/3/2016 9:30:16 AM
GGACW Gernero Grp Acq Warrant R 5/3/2016 9:30:16 AM
DPRX Dipexium Pharmaceuticals Inc R 5/3/2016 9:30:25 AM
GLRI Glori Energy Inc Common Stock R 5/3/2016 9:30:31 AM
RAIL FreightCar America Inc Q 5/3/2016 9:30:51 AM
TNDM Tandem Diabetes Care, Inc. Q 5/3/2016 9:31:52 AM
AERI Aerie Pharmaceuticals, Inc. Q 5/3/2016 9:34:00 AM
TWER Towerstream Corporation Cmn R 5/3/2016 9:34:04 AM
TTOO T2 Biosystems, Inc. CS Q 5/3/2016 9:35:16 AM
PAVMU PAVmed Inc. Unit R 5/3/2016 9:35:16 AM
CDRB Code Rebel Corp Common Stk R 5/3/2016 9:35:56 AM
ADRO Aduro Biotech, Inc. Cmn Q 5/3/2016 9:36:02 AM
CCRC China Customer Relations ORDS R 5/3/2016 9:36:16 AM
SGNT Sagent Pharmaceuticals, Inc. Q 5/3/2016 9:36:54 AM
ABAC Aoxin Tianli Grp Inc R 5/3/2016 9:39:34 AM
CFRXW Contrafect Class A Warrants R 5/3/2016 9:39:39 AM
RDHL Redhill Biopharma ADR R 5/3/2016 9:40:42 AM
AEGN Aegion Corp Common Stock Q 5/3/2016 9:40:42 AM
MACK Merrimack Pharmaceuticals Inc Q 5/3/2016 9:40:45 AM
ININ Interactive Intelligence Grp Q 5/3/2016 9:41:21 AM
RGLS Regulus Therapeutics Inc. Q 5/3/2016 9:43:09 AM
GRSHW Gores Holdings, Inc WARR R 5/3/2016 9:47:06 AM
LXRX Lexicon Pharmaceuticals, Inc. Q 5/3/2016 9:47:26 AM
ABIL Ability Inc. R 5/3/2016 9:49:31 AM
SCTY SolarCity Corporation Q 5/3/2016 9:51:11 AM
CERU Cerulean Pharma Inc Com Stock Q 5/3/2016 9:51:37 AM
AMAG AMAG Pharmaceuticals, Inc. Q 5/3/2016 9:53:04 AM
WLRHW WL Ross Holding Corp Warrant R 5/3/2016 9:54:13 AM
LGCY Legacy Reserves LP Q 5/3/2016 10:01:13 AM
WHLRW Wheeler REIT Warrants R 5/3/2016 10:01:57 AM
PXS Pyxis Tankers Inc Common Stk R 5/3/2016 10:02:10 AM
SALE RetailMeNot, Inc. Q 5/3/2016 10:05:19 AM
GOGL Golden Ocean Group Ltd Cmn Q 5/3/2016 10:05:44 AM
PBIB Porter Bancorp Inc R 5/3/2016 10:06:05 AM
ITIC Investors Title Company Q 5/3/2016 10:08:58 AM
CCCR China Commercial Credit, Inc. R 5/3/2016 10:14:40 AM
NETE Net Element, Inc. R 5/3/2016 10:18:45 AM
NRX NephroGenex Inc R 5/3/2016 10:19:28 AM
SMMT Summit Therapeutics plc ADR Q 5/3/2016 10:21:19 AM
CNLMW CB Pharma Acquisition Wts R 5/3/2016 10:31:01 AM
TREE LendingTree, Inc. Cmn Stk Q 5/3/2016 10:31:51 AM
DRYS DryShips Inc. R 5/3/2016 10:31:56 AM
CATB Catabasis Pharmac. CM Q 5/3/2016 10:33:34 AM
EVAR Lombard Medical, Inc. Ord Shs Q 5/3/2016 10:33:35 AM
GPRE Green Plains Inc. Cmn Stk Q 5/3/2016 10:37:14 AM
LGCYP Legacy Reserves Cum Pfd Sr A Q 5/3/2016 10:45:06 AM
GGACR Garnero Grp Acq Right R 5/3/2016 10:46:49 AM
REXX Rex Energy Corporation Q 5/3/2016 10:47:40 AM
APPY VENAXIS, INC. R 5/3/2016 10:50:11 AM
APDNW Applied DNA Scien Warrant R 5/3/2016 10:54:20 AM
INAP Internap Corp Cmn Stk Q 5/3/2016 10:59:53 AM
ACUR Acura Pharmaceuticals Cmn R 5/3/2016 11:04:02 AM
EFUT eFuture Holding Inc. R 5/3/2016 11:04:36 AM
KBSF KBS Fashion Group Ltd R 5/3/2016 11:10:40 AM
AREX Approach Resources Inc. Q 5/3/2016 11:11:59 AM
DRIOW LabStyle Innovations Corp. WT R 5/3/2016 11:14:03 AM
ZEUS Olympic Steel Inc Q 5/3/2016 11:14:28 AM
CYTX Cytori Therapeutics Inc. R 5/3/2016 11:19:21 AM
PEIX PACIFIC ETHANOL INC R 5/3/2016 11:21:06 AM
NVGN Novogen Limited ADR R 5/3/2016 11:27:12 AM
MTBCP MTBC 11% Series A Pref Stock R 5/3/2016 11:28:11 AM
AKTX Akari Therapeutics Plc ADR R 5/3/2016 11:28:44 AM
MCEP Mid-Con Energy Partners, LP Q 5/3/2016 11:29:44 AM
MOBL MobileIron, Inc. Cmn Stk Q 5/3/2016 11:32:58 AM
TRCH Torchlight Energy Rsrc Cmn R 5/3/2016 11:43:07 AM
AEHR Aehr Test Systems R 5/3/2016 11:48:48 AM
SRAQW Silver Run Acq CP WT R 5/3/2016 11:53:37 AM
TTHI Transition Therapeutics Inc Q 5/3/2016 11:56:28 AM
NVFY Nova Lifestyle, Inc. Cmn Stk Q 5/3/2016 11:59:08 AM
SYRX Sysorex Global Common Stock R 5/3/2016 12:06:35 PM
PRAH PRA Health Sciences, Inc. CS Q 5/3/2016 12:07:26 PM
GPACW Global Partner Acq. Corp Wrt R 5/3/2016 12:07:45 PM
INCR INC Research Hldg Cl A Cmn Q 5/3/2016 12:15:00 PM
ATRS Antares Pharma Inc Cmn Stk R 5/3/2016 12:17:48 PM
DELTW Delta Tech Hldgs. Warrant R 5/3/2016 12:28:51 PM
MIFI Novatel Wireless Inc Cmn Q 5/3/2016 12:29:15 PM
SBLK Star Bulk Carriers Corp Q 5/3/2016 12:34:32 PM
DRIO LabStyle Innovations Corp. CM R 5/3/2016 12:44:48 PM
REXI Resource America Inc Q 5/3/2016 1:24:10 PM
ELECW Electrum Special Acquisitio WT R 5/3/2016 1:26:29 PM
OPTT Ocean Power Technologies, Inc. R 5/3/2016 1:28:44 PM
PODD Insulet Corporation Q 5/3/2016 1:38:00 PM
RKDA Arcadia Biosciences, Inc. CS Q 5/3/2016 2:01:36 PM
DRWIW DragonWave Inc Warrants R 5/3/2016 2:06:46 PM
BBEPP Breitburn Eng Prep Pfd Ser A Q 5/3/2016 2:14:41 PM
CHEKW Check-Cap Ltd. Srs A Wt R 5/3/2016 2:16:48 PM
MOKO MOKO Social Media Ltd ADR Q 5/3/2016 2:27:00 PM
GNCA Genocea Biosciences, Inc. Q 5/3/2016 2:40:59 PM
SHIP Seanergy Maritime Hld Corp R 5/3/2016 2:44:06 PM
HRMNW Harmony Merger Warrant R 5/3/2016 3:06:55 PM
EDUC Educational Development Corp Q 5/3/2016 3:13:38 PM
ALNY Alnylam Pharmaceuticals, Inc. Q 5/3/2016 3:14:33 PM
CHNR China Natural Resources, Inc. R 5/3/2016 3:51:47 PM
OSN Ossen Innovation Co Ltd R 5/3/2016 3:55:13 PM
BBRG Bravo Brio Restaurant Group Q 5/3/2016 3:57:36 PM
CBLI Cleveland BioLabs Inc R 5/3/2016 3:59:06 PM
TROVW Trovagene inc warrant R 5/3/2016 4:21:19 PM
EAGLW Double Eagle Acquisition WT R 5/3/2016 4:21:24 PM
RLOC ReachLocal, Inc. Q 5/4/2016 9:30:00 AM
PRGN Paragon Shipping Cl A Cmn Stk R 5/4/2016 9:30:00 AM
XGTI xG Technology, Inc Common Stk R 5/4/2016 9:30:00 AM
RLYP Relypsa, Inc. Q 5/4/2016 9:30:00 AM
TWER Towerstream Corporation Cmn R 5/4/2016 9:30:00 AM
CRAY Cray Inc Q 5/4/2016 9:30:00 AM
GLUU Glu Mobile Inc. Q 5/4/2016 9:30:00 AM
CALD Callidus Software Inc Q 5/4/2016 9:30:00 AM
BGFV Big5SportingGoodsCorporation Q 5/4/2016 9:30:00 AM
TNAV Telenav, Inc. Q 5/4/2016 9:30:00 AM
EIGI Endurance Int Grp Holdings Inc Q 5/4/2016 9:30:00 AM
LOXO Loxo Oncology, Inc. CS Q 5/4/2016 9:30:00 AM
FWM Fairway Group Hldgs Cl A Cmn Q 5/4/2016 9:30:00 AM
FSTR LB Foster Company Q 5/4/2016 9:30:01 AM
MXWL Maxwell Technologies Q 5/4/2016 9:30:02 AM
NDLS Noodles & Company Cl A Cmn Q 5/4/2016 9:30:05 AM
JAGX Jaguar Animal Health, Inc. Cmn R 5/4/2016 9:30:13 AM
EVK Ever-Glory IntLGrp Cmn Stk Q 5/4/2016 9:30:19 AM
ADXSW Advaxis, Inc. Warrants R 5/4/2016 9:30:31 AM
GAIA Gaiam Inc Cl A Q 5/4/2016 9:30:32 AM
CERS Cerus Corporation Q 5/4/2016 9:30:40 AM
EGLE Eagle Bulk Shipping NEW Q 5/4/2016 9:31:36 AM
HTWR Heartware International Inc Q 5/4/2016 9:32:07 AM
CRDS Crossroads Systems Inc R 5/4/2016 9:32:21 AM
ATRO Astronics Corporation Q 5/4/2016 9:33:21 AM
LPTN Lpath, Inc. Class A Cmn Stk R 5/4/2016 9:33:34 AM
NRX NephroGenex Inc R 5/4/2016 9:33:48 AM
RMTI Rockwell Medical, Inc. Q 5/4/2016 9:34:07 AM
KFRC Kforce Inc Q 5/4/2016 9:35:50 AM
ULTR Ultrapetrol (Bahamas) Limited R 5/4/2016 9:36:00 AM
NCBS Nicolet Bankshares Cmn R 5/4/2016 9:36:42 AM
CHEF The Chefs Warehouse Inc Q 5/4/2016 9:36:45 AM
ABAC Aoxin Tianli Grp Inc R 5/4/2016 9:38:00 AM
ENPH Enphase Energy, Inc. Q 5/4/2016 9:39:13 AM
KURA Kura Oncology, Inc. Cmn Stk Q 5/4/2016 9:40:35 AM
RPXC RPX Corporation Q 5/4/2016 9:40:46 AM
MDCA MDC Partners Inc Q 5/4/2016 9:42:03 AM
PBPB Potbelly Corp Common Stk Q 5/4/2016 9:45:45 AM
ARGS Argos Therapeutics, Inc. Q 5/4/2016 9:46:51 AM
VKTXW Viking Therapeutics, Inc. WTS R 5/4/2016 9:50:41 AM
NKTR Nektar Therapeutics Q 5/4/2016 9:51:25 AM
PCLN The Priceline Group Inc Cmn Q 5/4/2016 9:51:39 AM
CYTX Cytori Therapeutics Inc. R 5/4/2016 9:52:36 AM
RIGL Rigel Pharmaceuticals Inc Q 5/4/2016 9:55:09 AM
MBUU Malibu Boats, Inc. Cl A Cmn Q 5/4/2016 9:56:27 AM
BIOD Biodel Inc. R 5/4/2016 10:09:04 AM
ACUR Acura Pharmaceuticals Cmn R 5/4/2016 10:11:35 AM
TROV TrovaGene, Inc. Common Stock R 5/4/2016 10:12:48 AM
AMTX Aemetis, Inc. Common Stock Q 5/4/2016 10:21:01 AM
XGTIW xG Technology, Inc R 5/4/2016 10:29:01 AM
VVUS Vivus, Inc. Q 5/4/2016 10:29:24 AM
QURE uniQure NV Q 5/4/2016 10:36:07 AM
GOLD Randgold Resources Limited Q 5/4/2016 10:37:50 AM
ONCE Spark Therapeutics, Inc. Cmn Q 5/4/2016 10:49:34 AM
NWBO Northwest Biotherapeutics, Inc R 5/4/2016 10:54:23 AM
DCTH Delcath Systems Inc R 5/4/2016 10:57:52 AM
SCON SUPERCONDUCTOR TECH R 5/4/2016 11:02:04 AM
ESPR Esperion Therapeutics Cmn Q 5/4/2016 11:06:21 AM
COLL Collegium Pharmaceutical Cmn Q 5/4/2016 11:09:58 AM
DXYN The Dixie Group Inc Q 5/4/2016 11:14:15 AM
AEHR Aehr Test Systems R 5/4/2016 11:25:19 AM
UPIP Unwired Planet, Inc. Q 5/4/2016 11:27:45 AM
DFBG Differential Brands Gp Cmn R 5/4/2016 11:29:20 AM
LINK Interlink Electronics, Inc. CM R 5/4/2016 11:36:29 AM
EAGLW Double Eagle Acquisition WT R 5/4/2016 11:36:39 AM
HSGX Histogenics Corp Cmn Stk Q 5/4/2016 11:38:13 AM
DRWIW DragonWave Inc Warrants R 5/4/2016 11:41:07 AM
CTIC CTI BioPharma Corp R 5/4/2016 11:52:38 AM
FLXN Flexion Therapeutics, Inc. Q 5/4/2016 11:59:52 AM
CYRX CryoPort, Inc. Cmn Stk R 5/4/2016 12:03:41 PM
ESES Eco-Stim Energy Sltns Cmn R 5/4/2016 12:20:33 PM
OZRK Bank of the Ozarks Q 5/4/2016 12:28:51 PM
IDRA Idera Pharmaceuticals, Inc. R 5/4/2016 12:56:08 PM
ABIL Ability Inc. R 5/4/2016 12:57:52 PM
OVAS OvaScience, Inc. Cmn Stk Q 5/4/2016 12:59:40 PM
CDRB Code Rebel Corp Common Stk R 5/4/2016 1:05:04 PM
VTAE Vitae Pharmaceuticals Cmn St Q 5/4/2016 1:07:53 PM
UNXL Uni-Pixel, Inc. Cmn Stk R 5/4/2016 1:11:58 PM
DPRX Dipexium Pharmaceuticals Inc R 5/4/2016 1:15:33 PM
ARWAR Arowana Inc. Rights R 5/4/2016 1:20:23 PM
GBIM GlobeImmune, Inc Cmn R 5/4/2016 1:26:34 PM
ZIONW Zions Bancorporation Wts Q 5/4/2016 1:31:50 PM
RPRX Repros Therapeutics Inc. R 5/4/2016 1:35:18 PM
CLRB Cellectar Biosciences Cmn St R 5/4/2016 1:38:18 PM
VSAR Versartis, Inc. Cmn Stk Q 5/4/2016 1:42:23 PM
FCSC Fibrocell Science Inc Cmn Stk R 5/4/2016 1:44:15 PM
AMAG AMAG Pharmaceuticals, Inc. Q 5/4/2016 2:10:56 PM
EVLV EVINE Live Inc. Cl A Q 5/4/2016 2:16:57 PM
JSYNW Jensyn Acquistion Corp. WT R 5/4/2016 2:17:03 PM
URRE URANIUM RESOURCES R 5/4/2016 2:37:01 PM
AMRS Amyris, Inc. Q 5/4/2016 2:39:35 PM
CLUB Town Sports International Hold Q 5/4/2016 2:41:01 PM
HCACW Hennessy Cpital Acq II Warran R 5/4/2016 2:44:47 PM
EXAS Exact Sciences Corporation R 5/4/2016 2:49:37 PM
MCUR Macrocure Ltd. Ord Shares Q 5/4/2016 2:49:53 PM
TTPH Tetraphase Pharmaceuticals, In Q 5/4/2016 2:51:05 PM
HRTX Heron Therapeutics Cmn R 5/4/2016 2:56:12 PM
OXGN OXIGENE INC R 5/4/2016 2:57:10 PM
SCTY SolarCity Corporation Q 5/4/2016 3:05:12 PM
STML Stemline Therapeutics Inc R 5/4/2016 3:06:19 PM
CFRXW Contrafect Class A Warrants R 5/4/2016 3:08:19 PM
NWBOW Northwest Biotherapeutics, Inc R 5/4/2016 3:09:29 PM
PTCT PTC Therapeutics, Inc. Cmn Stk Q 5/4/2016 3:21:11 PM
AFMD Affimed N.V. Q 5/4/2016 3:29:07 PM
AVNW Aviat Networks, Inc. Cmn Stk Q 5/4/2016 3:38:53 PM
OCLR Oclaro, Inc Q 5/4/2016 3:44:44 PM
IDSA Industrial Services of America R 5/4/2016 3:50:02 PM
FLDM Fluidigm Corporation Q 5/4/2016 3:50:03 PM
BYFC Broadway Financial Corporation R 5/4/2016 3:50:27 PM
GIGM GigaMedia Limited R 5/4/2016 3:51:06 PM
NEOT Neothetics, Inc. Cmn Q 5/4/2016 3:51:20 PM
ESEA Euroseas Ltd. Common Stock R 5/4/2016 3:51:45 PM
IMI Intermolecular, Inc. Q 5/4/2016 3:55:21 PM
CCXI ChemoCentryx, Inc. Q 5/4/2016 3:58:29 PM
KOOL Cesca Therapeutics Inc. R 5/4/2016 3:58:31 PM
DAVE Famous Dave's of America Inc Q 5/4/2016 3:58:41 PM
ATEC Alphatec Holdings Inc Q 5/4/2016 3:59:40 PM
EGLT Egalet Corporation Q 5/4/2016 3:59:43 PM
CNTF China TechFaith Wireless Commu Q 5/4/2016 4:00:00 PM